ML21078A475

2020 Records Management Self-Assessment Report

ML21078A475
Person / Time
Issue date:	03/19/2021
From:	Margie Janney NRC/OCIO
To:	US National Archives & Records Admin (NARA)
Janney, Margie
References
Download: ML21078A475 (1)

Text

2020 Records Management Self-Assessment PREVIEW SCREEN ONLY.

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Please REVIEW your agencys RMSA response below. If you wish to make changes, you must hit the "Back" button at the bottom of the page to return to the desired question/answer within the survey.

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To SUBMIT your agencys response, please hit the "Next" button at the bottom of the page. You will see a message confirming that your response has been received, and you will have the opportunity to print your agency's score report.

Below is a summary of your Download PDF responses NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA) 2020 RECORDS MANAGEMENT SELF-ASSESSMENT Welcome to the 2020 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.

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 Departmental 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 contact us at rmselfassessment@nara.gov.

Please enter your contact information below.

First Name: Margie Last Name: Janney Job

Title:

Agency Records Officer and Chief, Digitization, Processing, and Records Branch Email Address: margie.janney@nrc.gov Phone Number: 301-415-7245 Please select the agency and, if applicable, component agency or office for which you are reporting by clicking on the drop down arrows below.

Department/Agency Nuclear Regulatory Commission Component Agency/Office PLEASE NOTE: If you need to exit the survey before completing each Section, you MUST click on the NEXT button at the bottom of the Section before exiting to

ensure your answers to that point are saved.

Section I: Management Support and Resourcing Management support and a strong positioning of an agencys records management program in the organizational structure is key to program success. This section includes questions related to the areas that support the records management program including responsibilities, internal controls, performance management, training, monitoring of program implementation, and the records of senior officials and executives.

The following series of questions relates to RM Program leadership.

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))

Yes No Do not know Q2. Please provide the persons name, position title, and office.

Margie Janney, CRM/NS/FED Agency Records Officer and Chief, Digitization, Processing, and Records Branch Office of the Chief Information Officer Q3. Does your agency have a Senior Agency Official for Records Management (SAORM)? (For components of a department this is most likely at the department level, and you may answer Yes, even if this is not being done at the component level.)

Yes No Do not know 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? (For components of a department, this is most likely at the department level.)

Yes No Do not know Q5. Does your agency have a network of designated employees within each program and administrative

Records Liaison Officers (RLOs), though their titles may vary. (36 CFR 1220.34(d))

Yes No Do not know Not applicable, agency has less than 100 employees Not applicable, Departmental Records Officer - this is done at the component level The following series of questions relates to RM Program Controls, Monitoring and Oversight.

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 provides 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 A-123, Managements Responsibility for Enterprise Risk Management

and Internal Control, July 15, 2016.)

Q6. 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 Q7. 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

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 Yes No No, pending final approval No, under development Do not know Q8. 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))

Yes No To some extent Do not know 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.

Q9. 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 DATE Developing computer-based records management training modules by the end of DATE Planning and piloting an electronic records management solution for email by the end of DATE Updating records management policies by the end of the year Conducting records management evaluations of at least one program area each quarter Yes No Pending final approval

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. See also https://www.performance.gov/.)

Q10. 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 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)

Q11. 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.

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 Q12. How often does your agency conduct formal evaluations of a major component of your agency (i.e., programs or offices)?

Annually Biennially Once every 3 years Ad hoc Do not know Not applicable, agency does not evaluate its records management program Q13. 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)

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 has less than 100 employees The following series of questions relates 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.

Q14. 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 werecustomized 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 Q15. Has your agency developed mandatory internal, staff-wide, formal training*, based on agency policy 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 werecustomized 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.

Yes No No, pending final approval No, under development Do not know The following series of questions relates to Senior Agency 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. (General Records Schedule (GRS) 6.1, item 010)

Q16. 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))

Yes No Do not know Q17. 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))

Yes Yes, but not documented No Do not know Not applicable, please explain Q18. 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 No, please explain Do not know Q19. 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))

Yes Yes, but not documented No Do not know Not applicable, please explain Q20. 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?

Yes No Do not know Q21. 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))

Yes No, please explain In a recent modification to the NRCs separation procedure, the Commission eliminated records management staff and other agency officials from the review and approval process for Commissioners who wish to remove from the agency copies of records in their office files. Instead, departing Commissioners now may, after signing a confidentiality agreement, remove copies of certain non-sensitive, non-public records in their office files.

Do not know Q22. Please add any additional comments about your agency for Section I. (Optional)

Click Next to save your current answers and move to Section II: Policies.

Section II: Policies A successful records management program has a governance framework, articulated policy, and clear standards. For electronic records management this is particularly important due to fragility, security vulnerabilities, and other unique characteristics of electronic records. This section covers records management directives and specific policies necessary for records management.

Q23. Does your agency have a documented and approved records management directive(s)? (36 CFR 1220.34(c))

Yes No, pending final approval No, under development No Do not know Q24. When was your agency's directive(s) last reviewed and/or revised to ensure it includes all new records management policy issuances and guidance?

FY 2020 - present FY 2018 - 2019 FY 2016 - 2017 FY 2015 or earlier Do not know Not applicable, agency does not have a records management directive Q25. 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))

Yes No No, pending final approval No, under development Do not know Q26. Does your agency have documented and approved policies against unauthorized use, alteration, alienation or deletion of all electronic records?

Yes

No No, pending final approval No, under development Do not know Q27. Does your agency have documented and approved policies for cloud service use that includes recordkeeping requirements and handling of Federal records?

Yes No No, pending final approval No, under development Do not know Q28. 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)

Yes No, pending final approval No, under development No, please explain Do not know Q29. 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 2014-04:

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

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

more than one agency-administered email account, whether or not allowed, 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 No, pending final approval No, under development Do not know Q31. 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)

Yes No No, pending final approval No, under development Do not know Q32. Does your agency evaluate, monitor, or audit staff compliance with the agencys email preservation policies? (36 CFR 1220.18)

Yes No Do not know Q33. Please add any additional comments about your agency for Section II. (Optional)

Click Next to save your current answers and move to Section III: Systems.

Section III: Systems 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.

Q34. 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

Q35. 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, please explain Do not know Q36. 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 To some extent No Do not know Q37. 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))

Yes No Do not know Q38. What method(s) does your agency employ to capture and manage email records? (Choose all that apply)

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 Captured and stored using cloud services with records management included Captured and stored using cloud services but records management IS NOT included Print and file Not captured and email is managed by the end-user in the native system Other, please be specific:

Q39. What new method(s) to create and maintain data are being explored and/or employed by your agency that will impact records management? (Choose all that apply)

(For more information on these topics see: https://www.archives.gov/files/records-mgmt/policy/nara-cognitive-technologies-whitepaper.pdf.)

Smart devices Sensors that collect and transmit data Geographic Information Systems Robotic Process Automation Software Robot or Bot Supervised Machine Learning Unsupervised Machine Learning Reinforced Machine Learning Standard Artificial Intelligence Open-source Artificial Intelligence Auto-classification Other, please be specific:

My agency is not exploring and/or employing new methods Q40. Please add any additional comments about your agency for Section III. (Optional)

Click Next to save your current answers and move to Section IV: Access.

Section IV: Access Records support an agencys ability to carry out its business functions. Access to records means they remain usable, retrievable, and protected throughout their lifecycle. This section contains questions relating to the access and usability of records to conduct agency business in accordance with the appropriate transfer and disposition schedule and that ensures records are searchable, retrievable, and usable for as long as they are maintained in agency custody.

The following series of questions relates to the impact of the COVID-19 pandemic on access to records.

Q41. Has the COVID-19 pandemic disrupted your agencys ability to access records?

Yes

No Do not know Q42. Please provide details on the impact of the COVID-19 pandemic and what your agency has done to mitigate the circumstances.

The COVID-19 pandemic has contributed 12 months of delays, and counting, to several projects. The agency is currently digitizing analog records, including paper that is stored at the Washington National Records Center. This effort has been impacted because the WNRC is closed and we cannot access these records. Digitization efforts of analog records also have been slowed by the restrictions on occupancy of agency facilities. In addition, producing responsive records to Freedom of Information Act (FOIA) requests has been hampered during the COVID-19 pandemic when they are in agency custody, but reside at a Federal Records Center (FRC).

The following series of questions relates to Vital or Essential records.

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))

Q43. 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 Do not know Q44. How often does your agency review and update its vital records inventory? (36 CFR 1223.14)

Annually Biennially Once every 3 years Ad hoc Never Do not know

Q45. Is your vital records plan part of the Continuity of Operations (COOP) plan?

Yes No Do not know The following questions relate to retrieval and access.

Q46. Are records and information in your agency easily retrievable and accessible when needed for agency business? (36 CFR 1220.32(c))

All records are easily retrieved and accessed 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 Q47. 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.

Yes No, please explain Do not know Not applicable, please explain The following question relates to migration.

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)

Q48. 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))

Yes No No, pending final approval No, under development Do not know The following questions are related to access to records under the Freedom of Information Act.

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.

Q49. Does your agency use e-Discovery tools to search for records when responding to FOIA and/or Legal Discovery?

Yes No, please explain Do not know Q50. For what purposes are e-Discovery tools used? (Choose all that apply)

Managing legal holds Lawsuit-related requests FOIA responses involving requests for email records FOIA responses NOT involving requests for email records Legal discovery or third-party subpoena requests De-duplication of records in responding to requests Congressional requests Internal research for or by staff Knowledge management

Q52. Has the COVID-19 pandemic disrupted your agencys ability to respond to FOIA requests?

Yes No Do not know Q53. Which of the following explains why FOIA has been impacted? (Choose all that apply)

Paper records are inaccessible due to office closure FOIA case processing system is not available by remote access Electronic records are not accessible remotely Agency staff are not available to conduct searches Other, please be specific:

The closure of the Federal Records Centers (FRCs) impacts responding to FOIA requests when the responsive records are in an FRC.

Q54. Which of the following actions did your agencys FOIA program take in response to the COVID-19 pandemic? (Choose all that apply) (DOJ, Guidance for Agency FOIA Administration in Light of COVID-19 Impacts, https://www.justice.gov/oip/guidance-agency-foia-administration-light-covid impacts, updated May 28, 2020.)

Worked directly with requesters to tailor their requests for most efficient processing Posted a notice on the FOIA website informing requesters of most efficient way to make a request Posted a notice on the FOIA website informing requesters of any anticipated delays Included information about any anticipated delays in requester communication, including acknowledgment letters Used multitrack processing to further triage requests that could be processed more efficiently remotely Posted additional proactive disclosures for high public interest topics related to the COVID-19 pandemic Assessed technology to ensure most efficient administration of FOIA Other, please explain Q55. Which of the following describes the working relationship between the Agency Records Officer and the Chief FOIA Officer? (Choose all that apply)

Work together on Information Technology (IT) requirements that benefit both programs Coordinate search terms to identify responsive records Identify programs or offices most likely to have responsive records

Work together on high-profile or complex FOIA requests Provide training on records management and FOIA to each others staff Training programs include the importance and relationship between FOIA and records management Other, please explain None of the above Q56. Please add any additional comments about your agency for Section IV. (Optional)

Click Next to save your current answers and move to Section V: Disposition.

Section V: Disposition This area is critical for successfully managing records. Agencies must follow the mandatory instructions contained in either agency-specific records schedules or the appropriate General Records Schedule to transfer permanent electronic records to NARAs legal custody. This section covers both creation and implementation of records schedules.

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 relates to your agencys efforts to schedule its records.

Q57. When was the last time your agency submitted a records schedule to NARA for approval? (36 CFR 1225.10)

FY 2019 - 2020 FY 2017 - 2018 FY 2015 - 2016 FY 2013 - 2014 FY 2012 or earlier Do not know

business needs, to identify gaps that may indicate unscheduled records, or to make needed revisions?

Note: An agency-specific records schedule means it covers items that are not covered by the General Records Schedules (GRS).

Yes No Do not know Q59. Does your agency have agency-specific records schedules currently in use that include items approved before January 1, 1990?

Yes No Do not know Q60. Are you currently reviewing agency-specific records schedules with items approved before January 1, 1990, for updating and/or rescheduling? (36 CFR 1225.22)

Yes, this is in progress Yes, this has been completed No, but are planning to do so No, and have no plans to do so Do not know Q61. 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)

Yes To some extent No Do not know Q62. 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))

Yes No Do not know

Q63. Which of the following describes the disposition authority for email records being used by your agency? (Choose all that apply)

GRS 6.1: Email Managed under a Capstone Approach; agency has an approved form NA-1005 GRS 6.1: Email Managed under a Capstone Approach; agency does not have an approved form NA-1005 Agency-specific email schedule Traditional records management (i.e., retention based on content, usually applied on an email-by-email basis, utilizing multiple NARA-approved disposition authorities)

Email retention method has not been decided/scheduled by agency Do not know Other, please explain Q64. Does the current NARA-approved form NA-1005 or agency-specific email schedule adequately reflect your existing organizational structure?

Yes To some extent No Do not know Q66. Does your agency track changes in Capstone accounts to ensure they are accurate and complete?

Yes To some extent No Do not know Q67. Please explain how your agency tracks changes to Capstone accounts.(Be specific)

The NRC, on an on-going basis, monitors the personnel changes that occur specifically at the Capstone executive level for this purpose. It maintains an updated database of all Capstone officials.

The database tracks the Capstone officials name, their position in the Agency, the entry and exit dates of their effective Capstone role, along with other items of interest (e.g., e-mail address, Network ID, etc.). This database is maintained up-to-date as changes in Capstone roles occur.

The next series of questions relates to transferring permanent records.

Q68. Did your agency transfer permanent non-electronic records to NARA during FY 2020? (36 CFR 1235.12)

Yes No No - Transfers were impacted by the COVID-19 pandemic No - No records were eligible for transfer during FY 2020 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 Q69. Did your agency transfer permanent electronic records to NARA during FY 2020? (36 CFR 1235.12)

Yes No No - Transfers were impacted by the COVID-19 pandemic No - No electronic records/systems were eligible for transfer during FY 2020 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 Q70. Does your agency track when permanent records are eligible for transfer to NARA?

Yes No No - My agency does not have any permanent records Do not know Q71. Please explain your response to the previous question. (If you answered Yes, please be specific on methods used. If you answered No, please explain why not.)

NARA informs the NRC when we have paper records eligible for permanent transfer. NARA provides us a list of accessions. We sort and distribute the list of records to the program offices for their review to approve/disapprove the transfer. Once the program offices respond, we create a list of the transfers to be entered into the ERA system. The automated tracking solution for transfer of permanent electronic records is in place and operational as part of the agencys records management solution. The solution

automatically sends an email and triggers a workflow when records are ready for transfer to NARA.

The next series of questions relates to the management of web sites and related records.

Q72. Does your agency ensure that all records on agency web sites are properly managed?

Yes No Do not know Q73. Did your agency take steps to capture and disposition web records in preparation for an administration change?

Yes No Do not know Q74. Please explain your response to the previous question. (If you answered Yes, please be specific on steps taken to capture, preserve, and prepare web records in preparation for an administration change. If you answered No, please explain why not, including any challenges.)

The NRC only has up to six political appointees (five Commissioners, who are all appointed for staggered 5-year terms, and the NRC Inspector General), so the management of agency web records is not affected by a change in administration. A new president often appoints a new Chairman, but changes in Chairmanship, Commissioners, and Inspector General are captured in our normal web operational procedures.

The next series of questions relates to where your agency stores its inactive temporary and/or permanent records, regardless of format.

Commercial records storage facilities are private sector commercial facilities that offer records storage, retrieval, and disposition services.

An agency-operated records center is a records storage facility, operated by a Federal agency and capable of storing more than 25,000 cubic feet of records. (36 CFR 1234)

Q75. Does your agency store inactive temporary and/or permanent records in a commercial records storage facility?

Yes No

Q77. Does your agency store inactive temporary and/or permanent records in an agency-operated records center? (Note: This does NOT include agency staging areas and temporary holding areas.)

Yes No Do not know Q81. Please add any additional comments about your agency for Section V. (Optional)

Click Next to save your current answers and move to Section VI: Agency Demographics.

Section VI: Agency Demographics This section covers some basic demographic-type information needed for analysis of the data gathered by the Records Management Self-Assessment.

Q82. How many full-time equivalents (FTE) are in your agency/organization?

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 Q83. Which of the following stakeholders significantly impact and/or support your RM program?

(Choose all that apply)

Chief Information Officer Chief Financial Officer Chief Management Officer Chief Data Officer Office of the General Counsel

FOIA Officer Records Managers and/or Records Liaison Officers (or equivalent)

Program Managers and/or Supervisors Other, please explain Q84. What other staff, offices, or program areas did you consult when you completed this self-assessment? (Choose all that apply)

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 Q85. How much time did it take you to gather the information to complete this self-assessment?

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 /> Q86. Did your agencys senior management review and concur with your responses to the 2020 Records Management Self-Assessment?

Yes No Do not know Q87. Are you the Agency Records Officer?

Yes

Q89. Does your agency use your Records Management Self-Assessment scores to measure the effectiveness of the records management program?

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

Q90. Do you have any suggestions for improving the Records Management Self-Assessment next year?

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