ML19100A197

2018 Records Management Self-Assessment

ML19100A197
Person / Time
Issue date:	12/31/2018
From:	Margie Janney NRC/OCIO/GEMSD/IMSB
To:	US National Archives & Records Admin (NARA)
Margie Janney, (301) 415-7245
Shared Package
Ml19100A191	List: ML19100A197
References
Download: ML19100A197 (33)

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA) 2018 RECORDS MANAGEMENT SELF-ASSESSMENT Welcome to the 2018 Records Management Self-Assessment!

Before you begin, please note the following information.

Except where indicated, the questions in this survey are intended to cover all records regardless of format, as defined in 44 U.S.C. 3301.

The questions apply regardless of whether your agencys work processes are conducted manually or electronically.

Unless otherwise indicated, the following questions refer to FY 2018 (October 1, 2017, through September 30, 2018).

Your answers to the self-assessment questions must be specific to records management activities in your agency. We have added a not applicable answer option to some questions. In general, use this option only if a question references an activity or action that is not conducted in your agency because of its size or if you are a Department Records Officer and are not responsible for the activity or action. In some cases, if the activity is being done by a departmental records management program, component agencies of that department may answer Yes.

NOTE: Please note that your responses to questions in this assessment may be subject to public release pursuant to the Freedom of Information Act (FOIA). However, we will not release responses to questions that contain detailed descriptions of agency activities.

NARA reserves the right to follow up with agencies to obtain additional information and/or documentation that supports their answers to the questions in this self-assessment.

As in previous years we will be conducting a validation process. Your agency may be selected at random to provide additional documentation and/or take part in interviews to discuss your records management program activities.

If you have any questions about this self-assessment or need additional information to answer a question(s), please send an email message to rmselfassessment@nara.gov.

Section I: Records Management Program - Activities

. The following series of questions relate to administration of the records management program.

Q1. Is there a person in your agency who is responsible for coordinating and overseeing the implementation of the records management program? (36 CFR 1220.34(a))

Q2.

Please provide the persons name, position title, and office.

Q3.

Does your agency have a Senior Agency Official for Records Management (SAORM)? (If you are a component of a department, you may answer Yes, even if this is not being done at the component level.)

Q4.

Does your Agency Records Officer meet regularly (four or more times a year) with the SAORM to discuss the agency records management programs goals?

Yes No Do not know Margie Janney, CRM/NS/FED Agency Records Officer & Chief, Information Management Services Branch Office of the Chief Information Officer Yes No Do not know Yes No Do not know

Q5. Does your agency have a network of designated employees within each program and administrative area who are assigned records management responsibilities? These individuals are often called Records Liaison Officers (RLOs), though their titles may vary. (36 CFR 1220.34(d))

The next series of questions relate to records management directives.

Q6. Does your agency have a documented and approved records management directive(s)? (36 CFR 1220.34(c))

Q7.

When was your agency's directive(s) last reviewed and/or revised to ensure it includes all new records management policy issuances and guidance?

Yes No Do not know Not applicable, agency has less than 100 employees Not applicable, Department Records Officer - this is done at the component level Yes No, pending final approval No, under development No Do not know FY 2018 - present FY 2016 - 2017 FY 2014 - 2015 FY 2013 or earlier Do not know Not applicable, agency does not have a records management directive

The following series of questions relate to records management training.

Formal records management training is the communication of standardized information that improves the records management knowledge, skills, and/or awareness of agency employees. Training can be either in a classroom setting or distance-based (e.g., web-based training), but it must:

• be regular (occurring more than just once);

• be repeatable and formal (all instructors must provide the same message, not in an ad hoc way); and

• communicate the agencys vision of records management.

Q8.

Does your agency have internal records management training*, based on agency policies and directives, for employees assigned records management responsibilities? (36 CFR 1220.34(f))

• Includes NARAs records management training workshops that were customized specifically for your agency or use of an agency-customized version of the Federal Records Officer Network (FRON) RM 101 course.

Yes No No, pending final approval No, under development Do not know Not applicable, please explain

Q9.

Has your agency developed mandatory internal, staff-wide, formal training*, based on agency policies and directives, covering records in all formats, including electronic communications such as email, text messages, chat, or other messaging platforms or apps, such as social media or mobile device applications, which helps agency employees and contractors fulfill their recordkeeping responsibilities?**

(36 CFR 1220.34(f))

• Includes NARAs records management training workshops that were customized specifically for your agency or use of an agency-customized version of the Federal Records Officer Network (FRON) RM 101 course.

• • Components of departmental agencies may answer Yes if this is handled by the department.

Department Records Officers may answer Yes if this is handled at the component level.

Senior officials are the heads of departments and independent agencies; their deputies and assistants; the heads of program offices and staff offices including assistant secretaries, administrators, and commissioners; directors of offices, bureaus, or equivalent; principal regional officials; staff assistants to those aforementioned officials, such as special assistants, confidential assistants, and administrative assistants; and career Federal employees, political appointees, and officers of the Armed Forces serving in equivalent or comparable positions. (General Records Schedule (GRS) 6.1, item 010)

Q10.

Does your agency require that all senior and appointed officials, including those incoming and newly promoted, receive training on the importance of appropriately managing records under their immediate control? (36 CFR 1220.34(f))

Q11. Please add any additional comments about your agency for Section I: Activities. (Optional)

Yes No No, pending final approval No, under development Do not know Yes No Do not know

. Section II: Records Management Program - Oversight and Compliance Agency records management programs must provide for effective controls over the creation, maintenance, and use of records in the conduct of current business. (36 CFR 1220.30(c)(1))

Internal controls are integral components of an organizations management that provide reasonable assurance of the effectiveness and efficiency of operations; reliability of financial reporting; and compliance with applicable laws and regulations. (Standards for Internal Control in the Federal Government (GAO-14-704G), U.S. Government Accountability Office, September 2014.)

Internal controls are:

• Geared to the achievement of objectives in one or more categoriesoperations, reporting, and compliance;

• Processes consisting of ongoing tasks and activitiesa means to an end, not an end in itself;

• Carried out by peoplenot merely about policy and procedure manuals, systems, and forms, but about people and the actions they take at every level of an organization to effect internal control;

• Able to provide reasonable assurance, but not absolute assurance, to an entitys senior management;

• Adaptable to the organizations entire structureflexible in application for the entire entity or for a particular regional office, division, operating unit, or business process.

Control activities occur throughout the organization, at all levels and in all functions. They include a range of activities as diverse as approvals, authorizations, verifications, reconciliations, reviews/audits of operating performance, security of assets (limited access to inventories or equipment), and segregation of duties (separate personnel with authority to authorize a transaction, process the transaction, and review the transaction). Monitoring the effectiveness of internal controls should occur in the normal course of business. Periodic assessments should be integrated as part of managements continuous monitoring of internal control, which should be ingrained in the agencys operations. (2013 Internal Control - Integrated Framework, Committee of Sponsoring Organizations (COSO) Executive Summary, May 14, 2013; and OMB Circular No. A-123, Managements Responsibility for Enterprise Risk Management and Internal Control, July 15, 2016.)

Q12.

In addition to your agencys established records management policies and records schedules, has your agencys records management program developed and implemented internal controls to ensure that all eligible, permanent agency records in all media are transferred to NARA according to approved records schedules? (36 CFR 1222.26(e))

• • These controls must be internal to your agency. Reliance on information from external agencies (e.g.,

NARAs Federal Records Centers) or other organizations should not be considered when responding to this question.

• Examples of records management internal controls include but are not limited to:

• Regular briefings and other meetings with records creators

• Monitoring and testing of file plans

• Regular review of records inventories

• Internal tracking database of permanent record authorities and dates Yes No No, pending final approval No, under development Do not know

Q13.

In addition to your agencys established policies and records schedules, has your agency developed and implemented internal controls to ensure that Federal records are not destroyed before the end of their retention period? (36 CFR 1222.26(e))

• • These controls must be internal to your agency. Reliance on information from external agencies (e.g.,

NARAs Federal Records Centers) or other organizations should not be considered when responding to this question.

• Examples of records management internal controls include but are not limited to:

• Regular review of records inventories

• Approval process for disposal notices from off-site storage

• Require certificates of destruction

• Monitoring shredding services

• Performance testing for email

• Monitoring and testing of file plans

• Pre-authorization from records management program before records are destroyed

• Ad hoc monitoring of trash and recycle bins

• Notification from facilities staff when large trash bins or removal of boxes are requested

• Annual records clean-out activities sponsored and monitored by records management staff

. An evaluation is an inspection, audit, or review of one or more records management programs for effectiveness and for compliance with applicable laws and regulations. An evaluation contains recommendations for correcting or improving records management practices, policies, and procedures as well as follow-up activities, including reporting on and implementing recommendations. Evaluations may be comprehensive (agency-wide) or specific to a program area or organizational unit. (36 CFR 1220.18)

Yes No No, pending final approval No, under development Do not know

Q14.

Does your agency evaluate, by conducting inspections/audits/reviews, its records management program to ensure that it is efficient, effective, and compliant with all applicable records management laws and regulations? (36 CFR 1220.34(j))

• • For this question, your agencys records management program, or a major component of the program (e.g., vital records identification and management, the records disposition process, records management training, or the management of your agencys electronic records) must be the primary focus of the inspection/audit/review.

Q15. How often does your agency conduct formal evaluations of a major component of your agency (i.e.,

programs or offices)?

Yes, evaluations are conducted by the Records Management Program Yes, evaluations are conducted by the Office of Inspector General Yes, evaluations are conducted by the Records Management Program AND the Office of Inspector General Yes, evaluations are conducted by:

No, please explain Do not know Annually Biennially Once every 3 years Ad hoc Do not know Not applicable, agency does not evaluate its records management program

Q16. Was a formal report written and subsequent plans of corrective action created and monitored for implementation as part of the most recent inspection/audit/review? (Choose all that apply)

An essential control for any records management program is the establishment of performance goals and associated performance targets and performance measures.

Performance goals are the target levels of performance. Performance goals should be specific, measurable, attainable, results-oriented, and time-bound.

Q17.

Has your agency established performance goals for its records management program?

• Examples of performance goals include but are not limited to:

• Identifying and scheduling all paper and non-electronic records by the end of FY 2018

• Developing computer-based records management training modules by the end of FY 2018

• Planning and piloting an electronic records management solution for email by the end of FY 2019

• Updating records management policies by the end of the year

• Conducting records management evaluations of at least one program area each quarter Yes, formal report was written Yes, plans of corrective action were created Yes, plans of corrective action were monitored for implementation No Do not know Not applicable, agency does not evaluate its records management program Yes No Pending final approval Currently under development Do not know

Performance measures are the indicators or metrics against which a programs performance can be gauged. Performance measures should provide a basis for comparing actual results with established performance goals. (Performance Measurement Challenges and Strategies, June 18, 2003, white paper associated with the Office of Management and Budgets Program Assessment Rating Tool (PART); and Government Performance and Results Modernization Act of 2010, Section 4, Performance Reporting Amendments.)

Q18.

Has your agencys records management program identified performance measures for records management activities such as training, records scheduling, permanent records transfers, etc.?

• Examples of performance measures include but are not limited to:

• Percentage of agency employees that receive records management training in a year

• A reduction in the volume of inactive records stored in office space

• Percentage of eligible permanent records transferred to NARA in a year

• Percentage of records scheduled

• Percentage of offices evaluated/inspected for records management compliance

• Percentage of email management auto-classification rates

• Development of new records management training modules

• Audits of internal systems

• Annual updates of file plans

• Performance testing for email applications to ensure records are captured

• Percentage of records successfully retrieved by Agency FOIA Officer in response to FOIA requests Yes No Pending final approval Currently under development Do not know

Q19. Does your agencys records management program have documented and approved policies and procedures that instruct staff on how your agencys permanent records in all formats must be managed and stored? (36 CFR 1222.34(e))

Vital records* (also known as Essential Records) are records needed to meet operational responsibilities under national security emergencies or other emergency conditions (emergency operating records) or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records). (36 CFR 1223.2)

• pending updates to regulations, the Records Management Self-Assessment still uses this terminology A program area is responsible for mission-related activities. An administrative area is responsible for activities not specific to the mission of the agency. (36 CFR 1220.34(d))

Q20.

Has your agency identified the vital records of all its program and administrative areas? (36 CFR 1223.16)

• Components of departmental agencies may answer Yes if this is handled by the department.

Yes No No, pending final approval No, under development Do not know Yes No Do not know

Q21. How often does your agency review and update its vital records inventory? (36 CFR 1223.14)

Q22. Is your vital records plan part of the Continuity of Operations (COOP) plan?

Agencies are required to have a Freedom of Information Act (FOIA) program (5 U.S.C. 552).

The ability to find records is essential for a successful FOIA program. The following questions related to your agencys FOIA program may require consultation with your agencys FOIA Officer.

Q23. Records needed to respond to a FOIA request are readily accessible and located by staff responsible for FOIA:

Annually Biennially Once every 3 years Ad hoc Never Do not know Yes No Do not know Always Most of the time Some of the time Never Do not know

Q24. At what point in the FOIA process does your agency inform requesters of the Office of Government Information Services (OGIS) dispute resolution services? (Choose all that apply)

Q25. How often does the FOIA program submit to agency leadership reports on such measures as pending requests and backlog?

Q26. Do your agencys employee performance work plans and appraisals include FOIA performance measures for non-FOIA professionals to ensure compliance with the requirements of FOIA? (Note: The 2016-2018 term of the Freedom of Information Act Advisory Committee endorsed inclusion of FOIA performance standards in Federal employee evaluations and work plans government-wide.)

When there is an adverse determination When notifying the requester that the agency needs more than 10 additional days to process a request When responding to the requester's appeal Never Do not know Other, please explain In our response to all FOIA requests, we include the following language: "If we have denied your request, you have the right to seek dispute resolution services from the NRC's Pubic Liaison or the Office of Government Information Services (OGIS)."

Annually Quarterly Monthly Weekly Never Other, please explain Yes No, please explain The NRC had not previously considered adopting the DOJ Sample Standards. We are considering adopting aspects that are not already covered by current NRC elements and standards for our Government Information Specialists beginning with the fiscal year 2020 rating period.

Do not know

Q27. Does your agency have procedures for preparing documents for posting on FOIA reading rooms?

(Note: The FOIA Improvement Act of 2016 amended Section 3102 of the Federal Records Act, 44 U.S.C.,

to include a requirement that agencies establish "procedures for identifying records of general interest or use to the public that are appropriate for public disclosure, and for posting such records in a publicly accessible electronic format. This requirement is now included in 5 U.S.C. 552(a)(2).)

Q28. Who is responsible for preparing the documents for posting? (Choose all that apply)

Q29. Please add any additional comments about your agency for Section II: Oversight and Compliance.

(Optional)

Section III: Records Management Program - Records Disposition Records disposition refers to actions taken with regard to Federal records that are no longer needed for current government business as determined by their appraisal pursuant to legislation, regulation, or administrative procedure. Disposition is a comprehensive term that includes both destruction and transfer of Federal records to the National Archives of the United States. (36 CFR Parts 1222, 1224, 1225 and 1226)

The next series of questions relate to your agencys efforts to schedule its records.

Yes No Do not know FOIA staff Program staff IT/web staff Other, please explain Do not know

Q30. When was the last time your agency submitted a records schedule to NARA for approval? (36 CFR 1225.10)

Q31. Are records and information in your agency managed throughout the lifecycle [creation/capture, classification, maintenance, retention, and disposition] by being properly identified, classified using a taxonomy, inventoried, and scheduled? (36 CFR 1222.34, 36 CFR 1224.10, and 36 CFR 1225.12)

Q32. Are records and information in your agency easily retrievable and accessible when needed for agency business? (36 CFR 1220.32(c))

Q33. Does your agency disseminate every approved disposition authority (including newly approved records schedules and General Records Schedule items) to agency staff within six months of approval?

(36 CFR 1226.12(a))

FY 2017 - 2018 FY 2015 - 2016 FY 2013 - 2014 FY 2011 - 2012 FY 2010 or earlier Do not know Yes To some extent No Do not know All records are easily retrievable and accessible when needed Most records can be retrieved and accessed in a timely manner Some records can be retrieved and accessed in a timely manner No Do not know Yes No Do not know

The next series of questions relate to permanent records.

Q34. In addition to your agencys records management policies and records schedules, has your agency developed and implemented internal controls to ensure that all permanent records are created/captured, classified, filed and managed according to their NARA-approved records schedules? (36 CFR 1220.34(i))

Q35.

Did your agency transfer permanent non-electronic records to NARA during FY 2018? (36 CFR 1235.12)

Q36. Did your agency transfer permanent electronic records to NARA during FY 2018? (36 CFR 1235.12)

Yes No Do not know Yes No No - No records were eligible for transfer during FY 2018 No - New agency, records are not yet old enough to transfer No - My agency does not have any permanent non-electronic records Do not know Other, please explain Yes No No - No electronic records/systems were eligible for transfer during FY 2018 No - New agency, electronic records/systems are not old enough to transfer No - My agency does not have any permanent electronic records Do not know Other, please explain

The next series of questions relate to your agencys handling of records for senior officials.

Senior officials are the heads of departments and independent agencies; their deputies and assistants; the heads of program offices and staff offices including assistant secretaries, administrators, and commissioners; directors of offices, bureaus, or equivalent; principal regional officials; staff assistants to those aforementioned officials, such as special assistants, confidential assistants, and administrative assistants; and career Federal employees, political appointees, and officers of the Armed Forces serving in equivalent or comparable positions.

Q37. Does your agency conduct and document for accountability purposes training and/or other briefings as part of the on-boarding process for senior officials on their records management roles and responsibilities, including the appropriate disposition of records and the use of personal and unofficial email accounts? (36 CFR 1222.24(a)(6) and 36 CFR 1230.10(a & b))

Q38.

Is the Agency Records Officer and/or Senior Agency Official for Records Management involved in on-boarding briefings or other processes for newly appointed senior officials?

Yes Yes, but not documented No Do not know Not applicable, please explain Yes No Do not know

Q39. Does your agency conduct and document for accountability purposes exit briefings for departing senior officials on the appropriate disposition of the records, including email, under their immediate control? (36 CFR 1222.24(a)(6) and 36 CFR 1230.10(a & b))

Q40.

Is the Agency Records Officer and/or Senior Agency Official for Records Management involved in exit briefings or other exit clearance processes for departing senior officials?

Q41.

Does the exit or separation process for departing senior officials include records management program staff or other designated official(s) reviewing and approving the removal of personal papers and copies of records by those senior officials? (36 CFR 1222.24(a)(6))

Q42. Please add any additional comments about your agency for Section III: Records Disposition.

(Optional)

. Section IV: Records Management Program - Electronic Records Yes Yes, but not documented No Do not know Not applicable, please explain Yes No Do not know Yes No, please explain Do not know

Electronic information system means an information system that contains and provides access to computerized Federal records and other information. (36 CFR 1236.2)

The following types of records management controls are needed to ensure that Federal records in electronic information systems can provide adequate and proper documentation of agency business for as long as the information is needed. Agencies must incorporate controls into the electronic information system or integrate them into a recordkeeping system that is external to the information system itself. (36 CFR 1236.10)

(a) Reliability: Controls to ensure a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities.

(b) Authenticity: Controls to protect against unauthorized addition, deletion, alteration, use, and concealment.

(c) Integrity: Controls, such as audit trails, to ensure records are complete and unaltered.

(d) Usability: Mechanisms to ensure records can be located, retrieved, presented, and interpreted.

(e) Content: Mechanisms to preserve the information contained within the record itself that was produced by the creator of the record.

(f) Context: Mechanisms to implement cross-references to related records that show the organizational, functional, and operational circumstances about the record, which will vary depending upon the business, legal, and regulatory requirements of the business activity.

(g) Structure: Controls to ensure the maintenance of the physical and logical format of the records and the relationships between the data elements.

Q43. Has your agency incorporated and/or integrated internal controls to ensure the reliability, authenticity, integrity, and usability of agency electronic records maintained in electronic information systems? (36 CFR 1236.10)

Yes To some extent No Do not know Not applicable, please explain

Migration is a set of organized tasks designed to achieve periodic transfer of digital materials from one hardware/software configuration to another, or from one generation of computer technology to a subsequent generation.

Metadata consists of preserved contextual information describing the history, tracking, and/or management of an electronic document. (36 CFR 1236.2)

Q44. Does your agency have documented and approved procedures to enable the migration of records and associated metadata to new storage media or formats so that records are retrievable and usable as long as needed to conduct agency business and to meet NARA-approved dispositions? (36 CFR 1236.20(b)(6))

Q45. Does your agency maintain an inventory of electronic information systems that indicates whether or not each system is covered by an approved NARA disposition authority? (36 CFR 1236.26(a))

Yes No No, pending final approval No, under development Do not know Yes No, please explain Do not know

Q46.

Does your agency ensure that records management functionality, including the capture, retrieval, and retention of records according to agency business needs and NARA-approved records schedules, is incorporated into the design, development, and implementation of its electronic information systems? (36 CFR 1236.12)

• Components of departmental agencies may answer Yes if this is handled by the department.

Q47. Does your agencys records management program staff participate in the design, development, and implementation of new electronic information systems?

Yes No, please explain Do not know Not applicable, please explain Yes To some extent No, please explain Do not know Not applicable, please explain

Q48. Which of these activities does your agencys records management program staff participate in to ensure that records requirements are part of the recommended solution? (Choose all that apply)

Q49.

Does your agency have documented and approved policies requiring permanent electronic records be managed in an electronic format for eventual transfer to NARA?

Q50.

Do the policies include requirements for preserving records until eligible for transfer to NARA?

Participate in review and acceptance of proposals for new systems Participate as stakeholder in requirements gathering Participate as stakeholder in the design phase Participate as stakeholder in the development phase including testing the system Provide sign off authority for the implementation of new systems Monitor system for adherence to standards, policies, and procedures Provide information only Do not know Other, please explain Yes No No, pending final approval No, under development Do not know Yes No Do not know

Q51. Does your agency have a process or strategy for managing permanent electronic records, and related metadata, in an electronic form?

Q52. Does your agency have documented and approved policies against unauthorized use, alteration, alienation or deletion of all electronic records?

Q53. Does your agency have a digitization strategy to reformat permanent records created in hard copy or other analog formats (e.g., microfiche, microfilm, analog video, and analog audio)?

Yes No No, pending final approval No, under development Do not know Yes No No, pending final approval No, under development Do not know Yes To some extent No Do not know

Q54. Does your agency use cloud services for any of the following? (Choose all that apply)

Q55.

Does your agency have documented and approved policies for cloud service use that includes recordkeeping requirements and handling of Federal records?

The next series of questions relate to email.

An electronic mail system is a computer application used to create, receive, and transmit messages and other documents. Excluded from this definition are file transfer utilities (software that transmits files between users but does not retain any transmission data), data systems used to collect and process data that have been organized into data files or databases on either personal computers or mainframe computers, and word processing documents not transmitted on an email system. (36 CFR 1236.2)

Email Communication tools other than email (calendars, messaging apps, etc..)

Administrative functions such as payroll, purchasing, and financial management Mission/program-related functions Customer Relationship Management Case management Office tools/software Streaming services Other, please explain My agency does not use cloud services Do not know Yes No No, pending final approval No, under development Do not know Not applicable, my agency does not use cloud services

Q56. Does your agency have documented and approved policies and procedures in place to manage email records that have a retention period longer than 180 days? (36 CFR 1236.22)

Q57. Does your agency have documented and approved policies and procedures to implement the guidelines for the transfer of permanent email records to NARA described in NARA Bulletin 2018-01:

Format Guidance for the Transfer of Permanent Electronic Records - Appendix A: Tables of File Formats, Section 9 - Email? (36 CFR 1236.22(e))

Regardless of how many Federal email accounts individuals use to conduct official business, agencies must ensure that all accounts are managed, accessible and identifiable according to Federal recordkeeping requirements. (36 CFR 1236.22)

Q58.

Does your agency have documented and approved policies that address when employees have more than one agency-administered email account that states that email records must be preserved in an appropriate agency recordkeeping system? (36 CFR 1236.22)

• Examples of business needs may include but are not limited to:

• Using separate accounts for public and internal correspondence

• Creating accounts for a specific agency initiative which may have multiple users

• Using separate accounts for classified information and unclassified information Yes No, please explain Do not know Yes No Do not know Yes No No, pending final approval No, under development Do not know

Q59.

Does your agency have documented and approved policies that address the use of personal email accounts, whether or not allowed, that state that all emails created and received by such accounts must be preserved in an appropriate agency recordkeeping system and that a complete copy of all email records created and received by users of these accounts must be forwarded to an official electronic messaging account of the officer or employee no later than 20 days after the original creation or transmission of the record? (36 CFR 1236.22(b) and P.L. 113-187)

Q60. Does your agency's email system(s) retain the intelligent full names on directories or distribution lists to ensure identification of the sender and addressee(s) for those email messages that are Federal records? (36 CFR 1236.22(a)(3))

Q61. What method(s) does your agency employ to capture and manage email records? (Choose all that apply)

Yes No No, pending final approval No, under development Do not know Yes No Do not know Captured and stored in an email archiving system Captured and stored in an electronic records management system Captured and stored as personal storage table (.PST) files Print and file Not captured and email is managed by the end-user in the native system Other, please be specific:

Q62.

What percentage of your email systems are cloud-based solutions?

Q63. Does your agency evaluate, monitor, or audit staff compliance with the agencys email preservation policies? (36 CFR 1220.18)

Q64.

How often does your agency evaluate, monitor, or audit staff compliance with the agencys email preservation policies?

100%

75%

50%

25%

Less than 25%

My agency does not use cloud services for email Do not know Yes No Do not know Annually Biennially Once every 3 years Ad hoc Do not know

Q65.

Does your agency have documented and approved policies and procedures in place to manage electronic messages including text messages, chat/instant messages, voice messages, and messages created in social media tools or applications?

Q66.

In which of the following areas does your agency have challenges with managing permanent electronic records, and related metadata, in an electronic form? (Choose all that apply)

Q67. Please add any additional comments about your agency for Section IV: Electronic Records.

(Optional)

. Section V: Agency Demographics Yes No No, pending final approval No, under development Do not know Other, please explain Email Communication tools other than email (calendars, messaging apps, etc.)

Administrative functions such as payroll, purchasing, and financial management Mission/program-related functions Customer Relationship Management Case management Office tools/software Streaming services Other, please explain My agency does not have challenges managing permanent electronic records and related metadata Do not know

Q68. How many full-time equivalents (FTE) are in your agency/organization?

Q69. What other staff, offices, or program areas did you consult when you completed this self-assessment? (Choose all that apply)

Q70. How much time did it take you to gather the information to complete this self-assessment?

500,000 or more FTEs 100,000 - 499,999 FTEs 10,000 - 99,999 FTEs 1,000 - 9,999 FTEs 100 - 999 FTEs 1 - 99 FTEs Not Available Senior Agency Official Office of the General Counsel Program Managers FOIA Officer Information Technology staff Records Liaison Officers or similar Administrative staff Other, please be specific:

None Under 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> More than 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> but less than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> More than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> but less than 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> Over 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />

Q71. Did your agencys senior management review and concur with your responses to the 2018 Records Management Self-Assessment?

Q72. Please provide your contact information.

Q73. Are you the Agency Records Officer?

Q75. Does your agency use your Records Management Self-Assessment scores to measure the effectiveness of the records management program?

Q76. Do you have any suggestions for improving the Records Management Self-Assessment next year?

Yes No Do not know Name:

Margie Janney, CRM/NS/FED Agency, Bureau, or Office:

U.S. Nuclear Regulatory Commission Job

Title:

Agency Records Officer & Chief, Information Management Services Branch Email Address:

margie.janney@nrc.gov Phone Number:

301-415-7245 Yes No Yes No Do not know Comments (Optional): (Please include in your comments how you use the Records Management Self-Assessment.)

Powered by Qualtrics NARA reserves the right to request additional documentation or a follow-up meeting to verify your responses. If you wish to provide supporting documentation for your answers or other information to NARA, please send it to rmselfassessment@nara.gov.

Thank you for completing the 2018 Records Management Self-Assessment! If you have any questions about the self-assessment, please send a message to rmselfassessment@nara.gov.

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