ML24045A045

2023 Records Management Self-Assessment

ML24045A045
Person / Time
Issue date:	02/14/2024
From:	NRC/OCIO
To:	US National Archives & Records Admin (NARA)
Gilbert H
References
Download: ML24045A045 (25)

Text

2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment

2023 Records Management Self-Assessment

Thank you for completing the 2023 Records Management Self-Assessment!

Please DOWNLOAD this page by right clicking anywhere on this screen and selecting Print to PDF. This will be the only opportunity you have to make a PDF of this score report. If you do not see the downloaded report, please check the Downloads folder on your computer.

[NOTE: In your agency's score report below, the numbers to the right of each question indicate how many points your agency received for the answer options chosen out of how many points were possible. For example, "2/3" indicates your agency received two points out of three possible points. "0/0" indicates the question was not scored and, therefore, no points were possible. Please disregard the red and green X's and checkmarks.]

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94/100 94.0%

Are you the Agency Records Officer?

0/0

Yes No

Q1. Has your agency assigned an individual with operational responsibility for the agency records management program and provided contact information to NARA 3/3 as required? (36 CFR 1220.34(b) and NARA Bulletin 2017-02).

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Note: This is typically referred to as the designated Agency Records Officer (or Department Records Officer)

Yes, agency has formally notified NARA Yes, but my agency has not formally notified NARA No, the position is currently vacant No, the position does not exist Do not know

Q2. Does your agency have a network of designated employees within each program and administrative area who are assigned records management 3/3 responsibilities? (36 CFR 1220.34(d))

Note: These individuals are often called Records Liaison Officers (RLOs), though their titles may vary.

Yes No Do not know Not applicable, agency has less than 100 employees Not applicable, Departmental Records Of ficer - this is done at the component level

Q3. In addition to your agencys established records management policies and records schedules, has your agencys records management program developed 3/3 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

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhSpI2/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment Do not know

Q4. In addition to your agencys established policies and records schedules, has your agency developed and implemented internal controls to ensure that federal 3/3 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

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

Q5. In addition to your agencys records management policies and records schedules, has your agency developed and implemented internal controls to ensure 0/0 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

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Q6. Has your agency established performance goals for its records management program? (36 CFR 1222.26(e) and OMB Circulars A-123 and A-130) 3/3

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

Identifying and scheduling all paper and non-electronic (analog) 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 DA TE 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 Currently under development Do not know

Q7. Has your agencys records management program identified performance measures for records management activities such as training, records scheduling, 3/3 permanent records transfers, etc.? (36 CFR 1222.26(e) 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 No Pending final approval Currently under development

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Q8. Does your agency evaluate, by conducting inspections/audits/reviews, its records management program to ensure that it is efficient, effective, and compliant 3/3 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 and assessments conducted by NARA.

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

Q9. 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)) 1/3

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

Q10. Was a formal report written and subsequent plans of corrective action created and monitored for implementation as part of the most recent 0/0 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

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhSpI5/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment Do not know Not applicable, agency does not evaluate its records management program Not applicable, agency has less than 100 employees

Q11. Has your Agency Records Officer obtained the Agency Records Officer Credential (AROC)? (NARA Bulletin 2019-02) 0/0

Yes In progress No Do not know Not applicable, my agency does not currently have a designated Agency Records Officer

Q12. Does your agency have internal records management training*, based on agency policies and directives, for employees assigned records management 3/3 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

Q13. Has your agency developed mandatory internal, staff-wide, formal training*,

based on agency policy and directives, covering records in all formats, including 3/3 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 Y es if this is handled by the

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhSpI6/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment department. Department Records Officers may answer Y es if this is handled at the component level.

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

Q14. Which of the following best describes records management training at your agency? (NARA Bulletin 2017-01) 0/0

Records management training is informal and ad hoc There is only general records management information, and training is included with other non-records management related topics Records management training meets the minimum required standards without any additional training Records management training meets the minimum required standards with additional role-based or advanced training available None of the above Do not know

Q15. Which of the following best describes how records management training is conducted in your agency? (Choose all that apply) 0/0

Records management training is virtual and available through internal learning management system or equivalent General and other informational records management training are conducted in person by the Agency Records Of ficer (and/or Department Records Of ficer)

General and other informational records management training are conducted in person by other records management staf f (applies to staf f whose primary duty is records management but are not the Department Records Of ficer or Agency Records Of ficer)

General and other informational records management training are conducted by Records Liaison Of ficers or other staf f assigned records management responsibilities as an added duty within each agency of fice, program, or organization Records management training by self-training in the form of job-aids, frequently asked questions, special topic fact sheets, or similar Training materials from NARA s Records Management Training Program website are used All of the above None of the above

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Q16. Which of the following best describe records management training materials in your agency? (Choose all that apply) 0/0

Records management training materials are developed and maintained by the Agency Records Officer (and/or Department Records Officer)

Each of fice is responsible for developing and maintaining their own general and other informational records management training 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:

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 All of the above None of the above Do not know

Q17. Does your agency require that all senior and appointed officials, including those incoming and newly promoted, receive training on the importance of 3/3 appropriately managing records under their immediate control? (36 CFR 1220.34(f))

Yes No Do not know

Q18. 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 their3/3 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

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhSpI8/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment Not applicable, please explain:

Q19. Does your agency conduct and document for accountability purposes exit briefings for departing senior officials on the appropriate disposition of the records, 3/3 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. Does your agency routinely integrate language covering records management obligations into contracts for services and products? 0/0

Yes No Do not know

Q21. Please add any additional comments about your agency for Section I.

(Optional) 0/0

Q22. Does your agency have a documented and approved records management directive(s)? (36 CFR 1220.34(c)) 3/3

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

Q23. 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 3/3 1220.34(c))

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2023 - present 2021 - 2022 2019 - 2020 2018 or earlier Do not know Not applicable, agency does not have a records management directive

Q24. Does your agencys records management program have documented and approved policies and procedures that instruct staff on how your agencys 3/3 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

Q25. Does your agency have documented and approved policies against unauthorized use, alteration, alienation or deletion of all electronic (digital) records?0/0

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

Q26. 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? 3/3 (36 CFR 1236.22)

Yes No, pending final approval No, under development No, please explain:

Do not know

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Q27. Does your agency have documented and approved policies and procedures to implement the guidelines for the transfer of permanent email records to NARA 3/3 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

Q28. Does your agency have documented and approved policies that address when employees have more than one agency-administered email account, whether or not 3/3 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

Q29. 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 3/3 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

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhSp11/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment Do not know

Q30. Does your agency evaluate, monitor, or audit staff compliance with the agencys email preservation policies? (36 CFR 1220.18) 2/2

Yes No Do not know

Q31. Does your agency have documented and approved policies and procedures to ensure the capture and preservation of electronic messages, including when 0/0 hardware or software is upgraded?

Note: Electronic messages means electronic mail and other electronic messaging systems that are used for purposes of communicating between individuals. Electronic messages that satisfy the definition of a federal record under the Federal Records Act are electronic records. This includes email, text messages, chat messages, voicemail, social media posts, and other similar applications. (See: Email Management and 36 CFR 1236: Electronic Records Management)

Yes No Do not know

Q32. Please add any additional comments about your agency for Section II.

(Optional) 0/0

Q33. Has your agency incorporated and/or integrated internal controls to ensure the reliability, authenticity, integrity, and usability of agency electronic (digital) records3/3 maintained in electronic information systems? (36 CFR 1236.10)

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

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Q34. Has your agency implemented electronic recordkeeping systems to ensure that all permanent records are created/captured, classified, filed, managed and 0/0 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 Yes, but not fully implemented yet No, but plan to No, not being considered at this time Do not know Other, 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 3/3 disposition authority? (36 CFR 1236.26(a))

Yes No, please explain:

Do not know

Q36. Is your agency using NARAs digitization standards in 36 CFR 1236, Subpart D and Subpart E? 0/0

Yes No Do not know Not applicable, my agency is not currently digitizing records

Q37. Does NARAs digitization guidance in regulations and on NARA s website at https://www.archives.gov/records-mgmt/policy/digitization meet your agency s 0/0 expectations?

Yes No, please explain:

Do not know

Q38. Has your agency identified permanent series that will need to be digitized? (36 CFR 1236.40(a)(1) 0/0

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Yes To some extent No No, but are working on plans to identify Do not know

Q39. Does your agency plan to digitize permanent records in analog formats (e.g.,

microfiche, microfilm, analog video and analog audio) and transfer the digital 0/0 versions to NARA?

Yes No No, but are working on the strategy Do not know

Q40. Is your agency digitizing records in order to designate the digitized version as the recordkeeping copy? (36 CFR 1236.30(a) and(b)) 0/0

Yes No Do not know Not applicable, my agency is not currently digitizing records

Q41. When digitizing permanent records, have you established a validation process to ensure that your digitized versions comply with the requirements in 36 CFR 1236 0/0 Subpart E?

Yes No Do not know

Q42. When digitizing permanent records, has your agency identified an appropriate staff position to validate your digitized records? 0/0

Yes No

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Q43. Does your agencys digitization process include procedures to validate and retain documentation indicating that the digitized versions are of suitable quality to 0/0 replace the source records? (36 CFR 1236.34 and 1236.56)

Yes No Do not know

Q44. Does your agency's email system(s) retain the intelligent full names on directories or distribution lists to ensure identification of the sender and 3/3 addressee(s) for those email messages that are federal records? (36 CFR 1236.22(a)

(3))

Yes No Do not know

Q45. What method(s) does your agency employ to capture and manage email and other electronic records? (Choose all that apply) 0/0

Captured and stored in an archiving system 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 Captured and stored using cloud services but records management IS NOT included Captured and stored as PDF or other format in case files Print and file to paper Other, please be specific:

Q47. Is your agency using or exploring artificial intelligence to identify records and distinguish between temporary and permanent retention? 0/0

Yes No

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Q49. Please add any additional comments about your agency for Section III.

(Optional) 0/0

Q50. Has your agency identified the vital records of all its program and administrative areas? (36 CFR 1223.16) 3/3

• Components of departmental agencies may answer Y es if this is handled by the department Yes No Do not know

Q51. How often does your agency review and update its vital records inventory? (36 CFR 1223.14) 3/3

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

Q52. Is your vital records plan part of the Continuity of Operations (COOP) plan? (36 CFR 1223.14 and Federal Continuity Directive, Annex 1) 3/3

Yes No Do not know

Q53. Are records and information in your agency easily retrievable and accessible when needed for agency business? (36 CFR 1220.32(c)) 3/3

All records are easily retrieved and accessed when needed

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS16/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment 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

Q54. Does your agency ensure that records management functionality, including the capture, retrieval, and retention of records according to agency business needs 3/3 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 Y es if this is handled by the department.

Yes No, please explain:

Do not know Not applicable, please explain:

Q55. Does your agency have documented and approved procedures to enable the migration of records and associated metadata to new storage media or formats so 3/3 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

Q56. How much impact does the COVID-19 pandemic still have on your agencys FOIA processing? 0/0

Significant negative impact to backlog continues, please explain:

Moderate negative impact to backlog continues Minimal negative impact to backlog continues None - completely meets or exceeds pre-pandemic levels of backlogs Not applicable, my agency is exempt from FOIA

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Q57. How often are you proactively (i.e., before receiving any FOIA requests for the information) making records public by posting information appropriate for the 0/0 public?

Note: FOIA reading room pages include records that because of the nature of their subject matter, the agency determines have become or are likely to become the subject of subsequent requests for substantially the same records; or that have been requested three or more times (5 U.S.C. 552(a)(2)(D)(ii))

Annually Biannually Every two years Monthly Quarterly As needed Other, please explain:

Do not know Not applicable, my agency is exempt from FOIA

Q58. Which of the following does your agency/component have available on its FOIA website for requesting records? (Choose all that apply) 0/0

Guide to accessing agency information An index of all major agency information systems Description of major information Record locator information None of the above Do not know Not applicable, my agency is exempt from FOIA

Q59. Does your agency routinely integrate language covering FOIA obligations into contracts for services and products? 0/0

Yes No Do not know Not applicable, my agency is exempt from FOIA

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Q60. Please add any additional comments about your agency for Section IV.

(Optional) 0/0

Q61. When was the last time your agency submitted a records schedule to NARA for approval? (36 CFR 1225.10) 0/0

2022 - 2023 2020 - 2021 2018 - 2019 2016 - 2017 2015 or earlier Do not know

Q62. Are records and information in your agency managed throughout the lifecycle

[creation/capture, classification, maintenance, retention, and disposition] by being 2/3 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

Q63. Does your agency disseminate every approved disposition authority (including newly approved records schedules and General Records Schedule items) to agency 2/2 staff within six months of approval? (36 CFR 1226.12(a))

Yes No Do not know

Q64. Which of the following describes the disposition authority for email records being used by your agency? (Choose all that apply) 0/0

GRS 6.1: Email and other Electronic Messages Managed under a Capstone Approach; agency has an approved form NA-1005 GRS 6.1: Email and other Electronic Messages Managed under a Capstone Approach; agency does not have an approved form NA-1005

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS19/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment 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:

Q65. What is the current volume accumulation?

0/0

Less than 5 terabytes Greater than 5 terabytes but less than 10 terabytes Greater than 10 terabytes but less than 100 terabytes Greater than 100 terabytes but less than 1,000 terabytes More than 1 petabyte but less than 10 petabytes Greater than 10 petabytes but less than 100 petabytes Greater than 100 petabytes but less than 1,000 petabytes One or more exabytes

Q66. Does your agency plan on using GRS 6.1 for disposition authority for other types of electronic messages? 0/0

• Note: The GRS 6.1 scope has been expanded to include other types of electronic messages such as, but not limited to, chat and text messages.

Yes No - My agency is planning to submit an agency-specific schedule No - My agency is planning on using traditional records management (i.e., retention based on content, usually applied on a message-by-message basis, utilizing multiple NARA-approved disposition authorities)

Do not know

Q67. 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 0/0 NARA?

Yes No, but we plan to within the year

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS20/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment No, but we plan to within 1 to 5 years No, but we plan to within 6 to 10 years No, but we plan to after 10+ years Not applicable, my agency is not using a Capstone approach Do not know

Q68. Did your agency transfer permanent non-electronic (analog) records to NARA during 2023? (36 CFR 1235.12) 3/3

Yes No No - My agency has submitted the transfer request, but actual transfer has not yet taken place No - No non-electronic (analog) records were eligible for transfer during 2023 No - New agency, non-electronic (analog) records are not yet old enough to transfer No - My agency does not have any permanent non-electronic (analog) records Do not know Other, please explain:

Q69. Did your agency transfer permanent electronic (digital) records to NARA during 2023? (36 CFR 1235.12) 0/3

Yes No No - My agency has submitted the transfer request, but actual transfer has not yet taken place No - No electronic (digital) records/systems were eligible for transfer during 2023 No - New agency, electronic (digital) records/systems are not yet old enough to transfer No - My agency does not have any permanent electronic (digital) records Do not know Other, please explain:

Q70. When transferring permanent records, did your agency include detailed finding aids for each specific media format? 0/0

Examples: Electronic records and metadata, moving image and sound, still pictures, and https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS21/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment textual records

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 No Do not know

Q71. When transferring permanent electronic (digital) records, did the finding aids include the minimum set of metadata elements and other required documentation? 0/0 (36 CFR 1235.48 and Bulletin 2015-04: Metadata Guidance for the Transfer of Permanent Electronic Records)

Yes No Do not know Not applicable, my agency did not transfer permanent electronic (digital) records in 2023

Q72. Has your agency submitted a transfer request that has been returned by NARA for lack of a required detailed finding aid sufficient for providing access to the 0/0 records?

Yes No Do not know

Q74. Does your agency have permanently scheduled electronic records other than Capstone email with a current accumulation of over 5 TB? 0/0

Yes No Do not know

Q76. Does your agency have unscheduled, but potentially permanent, electronic records other than Capstone email with a current accumulation of over 5 TB? 0/0

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS22/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment

Yes No Do not know

Q80. Does your agency store inactive analog temporary and/or permanent records in a commercial records storage facility? 0/0

Yes No Do not know

Q82. Does your agency store inactive temporary and/or permanent analog records in an agency-operated records center? (Note: This does NOT include agency 0/0 staging areas and temporary holding areas.)

Yes No Do not know

Q88. How important is it that records be stored close to agency offices?

0/0

Not important Somewhat important Important Highly Important Extremely Important

Q89. Please add any additional comments about your agency for Section V.

(Optional) 0/0

Q90. How many full-time equivalents (FTE) are in your agency/organization?

0/0

500,000 or more FTEs

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS23/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment 100,000 - 499,999 FTEs 10,000 - 99,999 FTEs 1,000 - 9,999 FTEs 100 - 999 FTEs 1 - 99 FTEs Not Available

Q91. What other staff, offices, or program areas did you consult when you completed this self-assessment? (Choose all that apply) 0/0

Senior Agency Official Office of the General Counsel Chief Information Officer Chief Data Officer Program Managers FOIA Officer Information Technology staff Records Liaison Officers or similar Administrative staf f Other, please be specific:

None

Q92. How much time did it take you to gather the information to complete this self-assessment? 0/0

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 />

Q93. Did your agencys senior management review and concur with your responses to the 2023 Records Management Self-Assessment? 0/0

Yes No

https ://arc hiv es.qualtric s.c om/jfe/form/SV_bIudWFL7OhnoPZQ?Q_CHL=email&Q_DL=EMD_uPCBL9hT6KBrIYk _bIudWFL7OhnoPZQ_CGC_BhS24/25 2/13/24, 8:39 AM 2023 Rec ords Management Self-As s es s ment Do not know

Q94. Does your agency use your scores to the Records Management Self-Assessment and the Federal Electronic Records and Email Management (FEREM) 0/0 report to measure the effectiveness of the records management program?

Yes No Do not know

Q95. Please explain how:

0/0

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.

Q96. Do you have any suggestions for improving the Records Management Self-Assessment next year? 0/0

National Archives and Records Administration

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