ML25071A042
| ML25071A042 | |
| Person / Time | |
|---|---|
| Issue date: | 04/01/2025 |
| From: | Gilbert H NRC/OCIO/DIME |
| To: | |
| References | |
| Download: ML25071A042 (1) | |
Text
Response Summary:
2024 Records Management Self-Assessment Welcome to the 2024 Records Management Self-Assessment!
Before you begin, please note the following information.
The reporting period is open January 13, 2025 through March 14, 2025. Reports are due no later than March 14, 2025.
Selecting the Most Appropriate Answer Choice Please respond to the questions based on the current state of your records management program.
Choose the answer choice that best matches the conditions at your agency. If none of the answer choices seem appropriate for your agency, please do one of the following:
Select the answer choice closest to your agencys state and add a comment in the end-of-section comment box. Be sure to include the question number being referenced.
Answer "Yes if another agency or a departmental records management program is providing this service or conducting this activity for your agency.
Answer "Yes if the activity is outsourced to a third party.
Use the Not Applicable answer choice (when available) and be sure to add an explanation where requested. In general, use this answer choice if a question references an activity or action that is not conducted at your agency because of its size
you are a Departmental Records Officer and are not responsible for the activity or action Validation As in previous years, we will be conducting validation of agency responses to selected questions using a variety of internal NARA resources. In addition, your agency may be selected at random to provide additional documentation and/or take part in interviews to discuss your records management program activities.
FOIA Please note that if NARA receives a FOIA request for your responses to questions in this assessment, we will refer the requester to your agency for a response.
Questions 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.
QID2. Please do not skip this section. This is your only chance to enter your contact information and the agency for which you are responding.
Please enter your contact information below.
First Name:
Helena Last Name:
Gilbert Job
Title:
Agency Records Officer Email Address:
helena.gilbert@nrc.gov Phone Number:
571-344-4934
QID3. Please select the agency and, if applicable, component or subordinate agency for which you are reporting by clicking on the drop down arrows below.
Department/Independent Agency:
Nuclear Regulatory Commission QID4. Are you the Agency Records Officer?
Yes 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 records management program leadership.
QID8. Q1. Has your agency assigned an individual with operational responsibility for the agency records management program and provided contact information to NARA as required? (36 CFR 1220.34(b) and NARA Bulletin 2017-02)
Note: This is typically referred to as the designated Agency Records Officer (or Department Records Officer)
Yes, agency has formally notified NARA QID9. Q2. Does your agency have a network of designated employees within each program and administrative area who are assigned records management responsibilities? (36 CFR 1220.34(d))
Note: These individuals are often called Records Liaison Officers (RLOs), though their titles may vary.
Yes Click Next to save your current answers and move to Section I: Management Support and Resourcing - RM Program Controls, Monitoring and Oversight The following series of questions relates to records management 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 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 categories operations, 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, "Management's Responsibility for Enterprise Risk Management and Internal Control July 15, 2016.)
QID12.
Q3. 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 records in all media are transferred to NARA according to approved records schedules? (36 CFR 1222.26(a)(5))
- 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
QID13.
Q4. 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(a)(5))
- 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 recycling 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
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.
QID15.
Q5. Has your agency established performance goals for its records management program? (36 CFR 1222.26(a)(5) and OMB Circulars A-123 and A-130)
- Examples of performance goals include but are not limited to:
Identifying and scheduling all unscheduled records by the end of DATE Developing computer-based records management training modules by the end of DATE Planning and piloting an electronic (digital) 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
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/.)
QID17.
Q6. Has your agencys records management program identified performance measures for records management activities such as training, records scheduling, permanent records transfers, etc.? (36 CFR 1222.26(a)(5) and OMB Circulars A-123 and A-130)
- 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
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)
QID19.
Q7. 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 (digital) records) must be the primary focus of the inspection/audit/review.
- Do not include inspections or assessments conducted by NARAor the RMSA.
Yes, evaluations are conducted by the Office of Inspector General QID21. Q8. How often does your agency conduct formal evaluations of a major component of your agency (i.e., programs or offices)?
(36 CFR 1220.34(j))
Ad hoc
QID23.
Q9. 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 Click Next to save your current answers and move to Section I: Management Support and Resourcing - RM Training.
The following series of questions relates to records management training.
QID26. Q10. Has your Agency Records Officer obtained the Agency Records Officer Credential (AROC)? (NARA Bulletin 2019-02)
Yes 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.
QID28.
Q11. 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 QID29.
Q12. 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 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.
Yes
QID30.
Q13. Which of the following best describes records management training at your agency? (NARA Bulletin 2017-01)
Records management training meets the minimum required standards with additional role-based or advanced training available QID31.
Q14. Which of the following best describes how records management training is conducted in your agency? (Choose all that apply)
All of the above QID32.
- 15. Which of the following best describes records management training materials in your agency? (Choose all that apply)
Records management training materials are developed and maintained by the Agency Records Officer (and/or Department Records Officer)
The Agency Records Officer (and/or Department Records Officer) drives the content of records management training but materials are developed by someone else. Please explain::
NRC Human Resources develops the online training module based entirely on content provided by ARO.
Additional training materials in the form of job-aids, frequently asked questions, special topic fact sheets, or other similar materials are created by the Department Records Officer/Agency Records Officer/records management staff and posted to intra-agency information boards, websites, SharePoint sites, learning management system or other employee informational places
Click Next to save your current answers and move to Section I: Management Support and Resourcing -
Senior Officials The following series of questions relates to training and briefings 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. (General Records Schedule (GRS) 6.1, item 010)
Note: This applies to all senior officials within an agency - NOT just the Senior Agency Official for Records Management.
QID35.
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
QID36.
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 QID37.
Q18. 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 Click Next to save your current answers and move to Section I: Management Support and Resourcing - RM Contracts.
QID38. Q19. Does your agency routinely integrate language covering records management obligations into contracts for services and products?
Yes Click Next to save your current answers and move to Section I: Management Support and Resourcing -
Comments.
QID39. Q20. Please add any additional comments about your agency for Section I. (Optional)
N/A 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 (digital) records management this is particularly important due to fragility, security vulnerabilities, and other unique characteristics of electronic (digital) records.
The following series of questions relates to records management directives and policies.
QID44.
Q21. Does your agency have a documented and approved records management directive(s)? (36 CFR 1220.34(c))
Yes QID45.
Q22. When was your agency's directive(s) last reviewed and/or revised to ensure it includes all new records management policy issuances and guidance? (36 CFR 1220.34(c))
2024 - present
QID46.
Q23. 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 QID47.
Q24. Does your agency have documented and approved policies against unauthorized use, alteration, alienation or deletion of all electronic (digital) records?
Yes QID48. Q25. 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 QID49. Q26. 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 - Email? (36 CFR 1236.22(e))
Yes 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)
QID51.
Q27. Does your agency have documented and approved policies that address when employees have 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 QID52.
Q28. 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
QID53. Q29. Does your agency evaluate, monitor, or audit staff compliance with the agencys email preservation policies? (36 CFR 1220.18)
Yes QID54. Q30. Please add any additional comments about your agency for Section II. (Optional)
N/A 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.
QID57.
Q31. Has your agency incorporated and/or integrated internal controls to ensure the reliability, authenticity, integrity, and usability of agency electronic (digital) records maintained in electronic information systems? (36 CFR 1236.10)
Yes
QID58.
Q32. Has your agency implemented electronic recordkeeping systems to ensure that all permanent records are created/captured, classified, filed, managed and retained with appropriate metadata according to their NARA-approved records schedules? (36 CFR 1220.34(i), 36 CFR 1236.12, 36 CFR 1236.14)
Yes QID59. Q33. 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 QID60.
Q34. Is your agency using NARAs digitization standards in 36 CFR 1236, Subpart D and/or Subpart E?
Yes QID61.
Q35. Has your agency identified permanent series that will need to be digitized? (36 CFR 1236.40(a)(1))
Yes QID62. Q36. When digitizing records, have you implemented a validation process to ensure that your digitized versions comply with the requirements in 36 CFR 1236, Subparts D and E?
Yes, for both Subpart D and E QID63. Q37. Does your agencys digitization process include procedures to retain documentation indicating that the digitized versions meet the standards in 36 CFR 1236.34 and 1236.56?
Yes
QID64. Q38. Does your agency's email system(s) retain the 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 QID65. Q39. What method(s) does your agency employ to capture and manage email and other electronic records? (Choose all that apply)
Captured and stored in an electronic records management system Captured and stored in shared drives or personal drives Captured and stored using cloud services with records management included QID66. Q40. Is your agency using or exploring artificial intelligence to identify records and distinguish between temporary and permanent retention?
No QID68. Q42. If your agency has NOT submitted an exception request from the requirements of NARA/OMB M-19-21/M-23-07, do you still plan on submitting one?
No QID69.
Q43. Does your agency still maintain paper-based business processes such as requiring wet-ink signatures or printed and mailed forms?
Yes
QID70. Q44. Do you have a plan in place to migrate to all-digital workflows?
Yes QID71.
Q45. Is your agency using guidance in NARA Bulletin 2023-04:
Managing Records Created on Collaboration Platforms?
Yes QID72. Q46. Please add any additional comments about your agency for Section III. (Optional)
N/A 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 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))
QID75.
Q47. 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 QID76. Q48. How often does your agency review and update its vital records inventory? (36 CFR 1223.14)
Annually QID77. Q49. Is your vital records plan part of the Continuity of Operations (COOP) plan? (36 CFR 1223.14 and Federal Continuity Directive, Annex 1)
Yes The following questions relate to retrieval and access.
QID79. Q50. 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
QID80.
Q51. 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 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)
QID82.
Q52. 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
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.
Please note that FOIA does not apply to Judicial Branch Agencies, as well as a few others. If FOIA does not apply to your agency, please do not skip these questions. Instead, select the Not applicable response provided.
QID84. Q53. Does your agency use artificial intelligence and/or machine learning to index/catalog/organize records to aid in searching for and retrieving records responsive to FOIA requests?
No QID85. Q54. Does your agency use e-discovery tools to search for records when responding to FOIA requests and/or Legal Discovery?
Yes QID86. Q55. Which of the following applies?
FOIA office purchased its own office-specific tools
QID88.
Q57. Has your agency found records responsive to FOIA requests that had already met their approved retention period (i.e., the records should have already been disposed of under your agencys NARA-approved records schedules)?
Yes QID89. Q58. Which of the following describes the working relationship between the Agency Records Officer and the Chief FOIA Officer? (Choose all that apply)
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 other's staff QID90. Q59. As the Agency Records Officer (or records management staff), have you received FOIA training?
Yes, I have received formal FOIA training (online or in-person instructor-led session)
QID91. Q60. Please add any additional comments about your agency for Section IV. (Optional)
N/A 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 (digital) 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.
QID94. Q61. When was the last time your agency submitted a records schedule to NARA for approval? (36 CFR 1225.10) 2023 - 2024 QID95.
Q62. 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)
To some extent
QID96. Q63. 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 This series of questions relates to the scheduling, management, and transfer of email and electronic messages records.
QID98. Q64. Which of the following best describes the disposition authority for email records being used by your agency?
GRS 6.1: Email and other Electronic Messages Managed under a Capstone Approach; agency has an approved form NA-1005 QID99. Q65. Which of the following best describes the disposition authority for electronic messages records being used by your agency?
Traditional records management (i.e., retention based on content, usually applied on a message-by-message basis, utilizing multiple NARA-approved disposition authorities)
QID100. Q66. Which of these options best describes how the recordkeeping version of records being managed under a Capstone approach is managed within your agency?
The live email system/platform (generally at the user level)
QID101. Q67. How does your agency track organizational changes (discontinued positions, additions of new positions, reorganizations, etc.) that may affect the management of permanent email records under a Capstone approach?
We utilize existing agency systems, such as an HR system
QID102. Q68. How does your agency track information related to specific Capstone officials (names, titles, start dates, end dates, etc.), including documenting when individuals in Capstone positions that are designated permanent change?
We use manual processes, such as a tracking spreadsheet QID103. Q69. What is the current volume accumulation of permanent email and electronic messages records in your agency?
Greater than 10 terabytes but less than 100 terabytes QID104.
Q70. Does your agency have the technical capabilities to facilitate the export and transfer of permanent email and electronic messages to NARA?
Yes QID105.
Q71. Has your agency transferred email and/or electronic messages managed under a Capstone approach (either using the GRS 6.1 or an agency-specific schedule) to NARA?
No, but we plan to within 6 to 10 years The next series of questions relates to transferring permanent records.
QID107. Q72. Did your agency transfer permanent non-electronic (analog) records to NARA during CY 2024? (36 CFR 1235.12)
Yes QID108. Q73. Did your agency transfer permanent electronic (digital) records to NARA during CY 2024? (36 CFR 1235.12)
Yes
QID109.
Q74. When transferring permanent records, did your agency include detailed finding aids for each specific media format?
Note: Detailed finding aids are required records management and archival lifecycle resources which ensure NARA can implement reference and retrieval procedures and controls on accessioned holdings. (https://www.archives.gov/records-mgmt/accessioning/finding-aid.html)
Yes QID110. Q75. Has your agency submitted a transfer request for analog records that has been returned by NARA for lack of a required detailed finding aid sufficient for providing access to the records?
No As NARA looks to the future, advanced planning is key to accessioning, preserving, and providing access to born-digital records. We are requesting all agencies provide the following information.
QID113.
Q77. Does your agency have permanently scheduled electronic records other than Capstone email with a current accumulation of over 5 TB?
Yes QID114. Q78. Which of the following best estimates the annual volume accumulation?
Greater than 5 terabytes but less than 10 terabytes
QID115. Q79. Does your agency have unscheduled, but potentially permanent, electronic records other than Capstone email with a current accumulation of over 5 TB?
No Q81. Please send your agencys completed inventory of both permanent and unscheduled records separately from your RMSA response by emailing it to rmselfassessment@nara.gov by March 14, 2025. (See archives.gov/records-mgmt/resources/reporting for the spreadsheet.)
Please note: If your agency needs more time to submit the spreadsheet, please contact rmselfassessment@nara.gov by March 14, 2025.
QID118. Q82. Which of the following are the primary types or categories of records? (Choose all that apply)
Digitized Paper and Photographic Prints 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)
QID120.
Q83. Does your agency store inactive temporary and/or permanent analog records in a commercial records storage facility or agency-operated records center? (Choose all that apply)
No QID123.
Q86. Please estimate the volume of inactive permanent analog records, in cubic feet, that your agency is storing in a non-NARA storage facility, pending digitization. (A cubic foot is equivalent to one records storage box.)
Not applicable, my agency is not using a non-NARA storage facility QID124. Q87. Please add any additional comments about your agency for Section V. (Optional)
For Question 78 the annual accumulation is LESS THAN 5 terabytes. There was no choice to provide that answer so I had to mark the one that contained the least amount.
Click Next to save your current answers and move to Section VI: Agency Demographics.
Section VI: Agency Demographics This section covers basic demographic-type information needed for analysis of the data gathered by the Records Management Self-Assessment.
QID127. Q88. How many full-time equivalents (FTE) are in your agency/organization?
1,000 - 9,999 FTEs
QID128. Q89. What other staff, offices, or program areas did you consult when you completed this self-assessment? (Choose all that apply)
Senior Agency Official Chief Information Officer Chief Data Officer FOIA Officer Information Technology staff Records Liaison Officers or similar QID129.
Q90. Did your agencys senior management review and concur with your responses to the 2024 Records Management Self-Assessment?
Yes QID130. Q91. How much time did it take you to gather the information to complete this self-assessment?
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 /> QID131. Q92. Does your agency use your scores to the Records Management Self-Assessment and the Federal Electronic Records and Email Management (FEREM) Report to measure the effectiveness of the records management program?
Yes, please explain:
We reference our score on the self-assessment in various informational and marketing efforts such as our quarterly service review processes, ad hoc Records Management trainings requested by Offices/Regions for their staff, Division and Office level meetings, etc.
QID132. Q93. Do you have any suggestions for improving the Records Management Self-Assessment next year?
Please take a look at Questions 77 and 78 and how they do or do not relate to one another.
REVIEW Click on the "Back" button below to REVIEW your agencys response before submitting. This is your only chance to change your answers. Once you are satisfied with your response, click on the "Next" button at the bottom of this screen. Caution: Once you select "Next," the "Back" button will no longer function.
Please note: If you have already reached the screen where the "Back" button is no longer available and you still need to make changes, you must email rmselfassessment@nara.gov.
Scoring Score: 97 Embedded Data:
Agency Nuclear Regulatory Commission First Name Helena Last Name Gilbert Q_URL https://archives.qualtrics.com/jfe/form/SV_eICifZkB04WAWJE?
Q_R=R_3ha4cUBcXiV1y1f&Q_R_DEL=1 Recipient Email Helena.gilbert@nrc.gov