ML19105B182

NRC-2019-000249 - Resp 1 - Final, Agency Records Subject to the Request Are Enclosed

ML19105B182
Person / Time
Issue date:	04/09/2019
From:	NRC/OCIO
To:
References
FOIA, NRC-2019-000249
Download: ML19105B182 (66)

Text

Initial Re ort " . Last Modified: 03/08/2016 1111111---~lmil .,/Yes 2 No 0 0%

Do not know 0 0%

Total 100%

2 No 0 0%

3 Do not know 0 0%

Total

. / FY 2015-present 2 . / FY2013-2014 0 0%

3 . / FY2011-2012 0 0%

4 FY 2010 or earlier 0 0%

5 Do not know 0 0%

Not applicable, agency does not have a records management directive 0 0%

Total Yes 0 0%

2 No 0 0%

3 No, unaware of these changes 0 0%

4 Under development 100%

5 Do not know 0%

6 Other, please explain 0%

Total

/e

7 Yes 100%

8 No 0 0%

9 To some extent 0 0%

10 Do nOtknow 0 0%

Total 2 No 0%

3 To some extent 0%

4 Do not know 0%

Total 2 No 0%

3 Do not know 0%

4 ../ Nol applicable, please explain 0%

. Total j

2 No 0 0%

3 Donat know 0 0%

4 ../ Not applicable, please explain 0 0%

Total 2 No 0 0%

3 Do not know 0 0%

4 ../ Nol applicable, please explain 0 0%

Total

11. Has your agency developed internal, staff-wide, formal training*, based on agency*policies and directives, on the retention and management of records createcl and maintained in electronic formats? (36 CFR 1220.34(f)) *Includes NARA's repords management training workshops that

. were customized spec_ifically for your agency. *

-(!)-, Clill'1rrl

.,/ Yes I~ ~ l I%

100%

2 No 0 0%

3 Do not know 0 0%

4 .,/ Not applicable, please explain 0 0%

Total

. .

12. Has your agency developed )nternal, staff-wide, formal training*, based on agency policies and directives, on the retention and management:

of records created through electronic communications including email, te,i:t messages, chat, or other messaging platforms or apps, such as social.

media or mobile device applications? (36 S,FR.12~0.34(f)) *Includes NARA's records management training workshops that were customized specifically for your ~gency.

a, 1 jB!lmm

.,/ Yes

". jfil'lr I ~

0

! Ill 0%

2 No 0 0%

3 Donat know 0 0%

5 .,/ Not applicable, please explain 1 100%

Total - 1 m:8~,ulffroa:ufkiti)

Our formal training covers retention and management of email. We do not retain or manage other electronic communications.

13. D9es your agericy *require that all. senior and-appointed officials, in.eluding those incoming and newly promoted, receive training on 'the * *

• , * * . * *. importance <?f appropriately managjng records_under th~ir i~mediate con_trol? (36 CFR 1220.34(f)). * . ..

0 1~ . IID'iti' I ~ I 'i2,

.,/ Yes 100%

2 No 0 0%

3 Do not know 0 0%

Total

14. Is the records management training descr!bed in questions 9 through 13 mandatory? * * .

.,/ Yes Imm  : ~ I Q6 100%

2 .,/ To Some Extent 0 0%

3 No 0 0%

4 Do not know 0 0%

5 Not applicable, agency has not developed internal records management training 0 0%

Total 0 ~ mai_. ~ w, 2 Agency employees 100%

3 Contractors 100%

4 Senior officials 100%

5 Employees assigned records management responsibilities 100%

Do not know 0 0%

16. Is records management training included in the new hire in-processing for new employees in your agency?

ml~= Yes 100%

2 No 0 0%

Do not know 0 0%

4 Not applicable, agency has not developed internal records management training 0 0%

Total

~HIMW..PFIMMIH:Ml:rl::ii:lililiiMH:ldH%11ii+IElnii\l@iiMMIH:il!~

- . * .. I

18. In addition to your agency's established records management policies and records schedules, has your agency's 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 GFR 1222.26(e)) ** These controls must be internal to your agency. Reliance on information from '

external agencies (for example, NARA's Federal Records Centers) or other organizations should not be considered when responding ,to this question.

I mm, I ~ I 'i'6

.{Yes 100%

2 No 0 0%

3 Do not know 0 0%

4 Not applicable, please explain 0 0%

Total

~*. ~ 'lb .

Regular briefings and oU,er meetings with records creators 100%

2 ~pproval P!oce$~ for transfe_r notices from Federal Records Centers 100%

3 Monitoring and testing of file plans 100%

4 Regular review of records inventories 100%

5 Internal tracking database of permanent record authorities and dates 100%

6 Other,.please explain 0 0%

20. In addition to your agency's 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 (for example, NARA's Federal Records Centers) or other organizations should not be considered when responding to this question.

. .{Yes

!rim .,,,-,.

~ l'Z, 100%

2 No 0 0%

3 Do not know 0 0%

4 Not applic_able, please explain 0 0%

Total

100%

2 Approval process for disposal notices from off-site stqrage 100%

3 Require certificates of destruction 0 0%

4 Monitoring shredding services 0 0%

5 Perfonnance testing for email 0 0%

6 Monitoring and testing of file plans 100%

7 Pre-authorization from records management program before records are destroyed 0 0%

8 Ad hoc monitoring of trash and recycle bins 0 0%

9 Notification from facilities staff when large trash bins or removal of boxes are requested 100%

10 Annual records clean out activities sponsored and monitored by records management staff 100%

11 other, please explain 0%

2 No 0 0%

3 Other, please explain 0 0%

Total 2 No . 0 0%

3 Do not know 0 0%

4 Not applicable, please explain 0 0%

Total

-:**~-

, / Every 1 -2 years 0%

2 .,/ Every 3 -4 yeara 100%

3 ' , / Every 5 years 0%

4 More than every 5 years 0%

5 Do not know 0%

7 Not applicable, agency does not evaluate Its records management program 0%

Total

25. Was a written report prepared as part of the most recent inspection/audiUreview?

• wj~ IDi.Ir ~ '?l,.

.,/ Yes 100%

2 No 0 0%

3 Do not know 0 0%

5 Not applicable, agency does not evaluate its records management program 0 0%

Total mm, ~ c;£,

Yes 100%

2 No 0 0%

3 Do not know 0 0%

4 Not applicable, agency does not evaluate its records manaQement program 0 0%

Total

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

iJ) 1 1~

.,/ Yes

. j 1To1? I ~

1 I w, 100%

2 No 0 0%

3 .,/ Currentiy under development 0 0%

4 Donat know 0 0%

5 Not applicable, please explain 0 0%

Total 1

~liro;Jl'.tl)lljm

28. Please describe your agency's records management program's pedormance goals.

The Records management program supports the agency's Information Technologynnforrnation Management Strategic Plan: Fiscal Years 2016-2020 (NUREG-1908, Volume 3), rrnM Strategic Plan Goal 2: Enhance instruction and guidance to users for accessing Information. There are individual project plans and ~ilestones in the Information and Records Management (IRM) Program Plan overseen by the Agency Records Officer which support this goal ...

Strategy 1 - Enhance methods for the capture, usage, storage, and disposlUon of Information "" Strategy 2 - Enhance instruction and guidance to users for accessing information '"' Strategy 3 - Enhance openness and transparency of Information by Improving electronic record-keeping (0MB M-12-18) Example -digitizing and electronically managing all permanentpaperrecords by 2019 ~ Strategy4 - Enhance methods for users to acquire Information

~ . ** * *** :1IMEIUIIIHIII-.**- *.***.* **

-- . . . . . I

30. Has your agency's records management program identified performance measures for records management activities such as training, records scheduling, p~rmanent records transfe_rs, etc.?

I IDllr I ~ I '7.6

.,/ Yes 100%

2 No 0 0%

3 .,,/ Currently under development 0 0%

4 Do not know 0%

5 Not applicable, please explain 0 0%

Total

2 Percentage of staff trained in r~cords managemeht 100%

3 Percentage of offices evaluated/inspected for records management compilance 0 0%

4 PerCEtnta!_;le of email managemen~ auto-claSsificatiOn ~tes 0 0%

5 Development of new re~ords managE3ment training modules *1 100%

6 Audiµ; ofintemai systems 100%

7 ArYnual.updates of file plans 0 oiyo 8 Performance testing for' email applications 'ta ~nsure records are captured 6 0%

9 Do not know 0 0%

10 Other, please explain 0 0%

2 'No 0 0%

3 Do not know 0 0%

, Total'

- --

2 No 0 "Oo/o,

• 3 Donat know. 0 0%

.I 4 Not applic"able, please* explain *O *0%

Total 2 , v' Eve!)'.2 -3 years 0 0%

3 j '1 Every 4 - 6 years 0 0%

'i 4 Never. 0 0%

5 Do not know 0 0%

• yotal 2 No 0%

3 Do not know 0%

Total

2 FY201,0-2012 100%

3 FY 2007-2009 0 0%

4 FY 2006 o, earlier 0 0%

7 Do not know, please.explain 0 0%

Total 2 N? 0%

3 Do not know 0%

Do not know 0%

Total

~Yes 0 0%

2 No 0 0%

4 ' ~No-No records were eligible for transfer during 2015 0 0%

5, 4

.,/ NO - Ne\.V agency, records are not yet old enough to. transfer 0 0%

7 Do not know 0 0%

8 Other, please explain, 100%

No - My agency does not have any permanent non-electronic records 0 0%

total On October 10, 2014, NRC requested a freeze on the transfer of all non--electronlc NRC records to allow time for correction of the schedules In NARA's tracking systems. Therefore no non-electronic records were transferred during FY2015.

42. Did your agency transfer permanent electronic records to NARA during FY 2015? (36 CFR 1235.12)

. . .

l].fi.tmw

.,/Yes 0%

No 0%

4 , ~ No - No electronic records/systems were eligible for transfer during.FY 2015 100%

5 ..,/ No - New agency, electronic records/systemS are not old enough to transfer 0%

7 Do not know 0 0%

8 Other, please explain* 0 0%

9 No - My agency does not have any permanent electronic records 0 0%

Total f

43. Were the permanent electronic records transferred during FY 20:15 using the Electronic Records Archives (ERA)?

tr 1~ Yes jmw ~  %*.

0 0%

2 No 0 0%

3 Do not know o., 0%

Total 0

44. Does your agency have a method for estimating the volume in bytes of permanent electronic records currently being maintained by your agency?

Imrr, ~ 'Pb Yes 0 0%

2 No 100%

3 Do not know 0 0%

4 Not applicable, my agency does not have any permanent electronic records 0 0%

Total

&m* ~ '?a FY2016 100%

2 FY2017 0 0%

3 FY2018 0 0%

4 FY2019 0 0%

5 FY2020 0 0%

AfterFY2020 100%

7 Do not know, please ~xplaln 0 0%

8 Not appli~ble, my agency do~s not have any permanent el~ctronic records 0 0%

46. Does your agency track when its permanent records (regardless of format) are due to be transferred to NARA? a 1' Yes

.

~*.** ,1 1000,.:o 2 No 0%

3 Do not know 0%

4 Not applicable, please explain 0%

Total

47. What methods does your agency use to track its *permanent records? (Choose all that apply)

.(J),~* Rely on Federal Records Center notifications 100%

2 Maintain an inventory 100%

Database or other automated tracking 100%

4 Manual tracking 0%

5 Other, please explain 0%

.

. **~ .

48. Does .

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

.

Yes

~.- 0%

2 No 100%

3 Do not know 0%

Total

49. Does the facility comply with the standards prescribed by 36 CFR 1234?

Yes 0%

2 No 0%

3 Do not know 0%

Total

50. Does your agency store inactive temporary and/or permanent records in an agency records center? (Note: Jhis does NOJ include agency staging areas and temporary holding areas.) ,

Yes 0 0%

2 No 100%

Do not know 0 0%

Total

51. Does the records center comply with the standards prescr-ibed by 36 CFR 1234?

Yes 0%

2 No 0%

3 Do not know 0%

Total 0

52. Does your agency store inactive temporary and/or permanent records in an agency r,ecords staging or holding area? . ,

No 0 0%

Do not know 0 0%

Total

No 0 0%

Do not know 0 0%

Total 2 No 0 0%

3 Do not know 0 0%

4 .,/ Not applicable, please explain 0 0%

Total Agency Records Officer 0%

Senior Agency Official for Records Management 0%

Chief Information Officer 0%

4 Other, please explain 100%

.,/Yes 0 0%

2. No 100%

3 Do not know 0%

4 Not applicable, agency does not provide exit briefings for senior officials 0%

---

Total No, please explain 0%

Do not know 0%

Total

59. Has your agency incorporated and/or integrated internal controls to ensure the reliability, authenticity, integrity, and usability of agency *

• electronic records maintained in electronic informatton systems? (36 CFR 1236.10) '

(/) .**

I

.,/ Yes 100%

No 0 0%

3 Do not know 0 0%

4 .,/ Notapplicable,pleaseexpla._ln_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _o __________o_%___

1 Total

60. 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))

w j lm:lm, ]~ ~ I *.'il!i*

.,/ Yes 100%

2 No 0 0%

3 Do not know 0 0%

Total

61. Ar~ records management staff,involved in developing procedures to ensure .that records are properly migrated from retired systems?

=-cJ_tMaWt_*_______~---------'------"--'j_IDJ?_,- - - - - - - - ' - I- - - "~

Yes

-- '?a' 100%

2 , No 0%

3 Do not know 0 0%

4 Not applicable, please explain 0 0%

Total

62. Does your agency maintain an inventory of electronip information systems that indicates whether or not each system is covered by an

• approved NARA disposition authority? (36 CFR 1236.26(a))

2 No, please explain 0%

3 Donat know 0%

Total

• . ' .' >>:

63. 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)

\'. .,:. ', !* :

(J) l~ I . T *-~* ,e:

.,/ Yes 100%

2 No, please explain 0%

3 Do not know 0%

4 .,/ Not applicable, please explain 0%

Total

64. Does your agei;icy's records management program staff participate in the design, development, and implementation of new electronic information systems?

~* ..

,/Yes 100%

2 . / To Some Extent 0 0%

3 No, please explain 0 0%

4 Do not know 0 0%

6 . / Not applicable, please explain 0 0%

Total

11) ~ !ill, Participate in review and acceptance of proposals for new systems 100%

2 Participate as stakeholder in requirements gathering 100%

3 Participate as stakeholder in design phase 100%

4 Participate as stakeholder in development phase Including testing the system 100%

5 Provide sign off authority for the implementation of new systems 100%

6 Monitor system for adherence to standards, policies, and procedures 100%

7 Provide infonnation only 0 0%

8 Do not know 0%

10 Other, please explain 0 0%

66. Does your agency have documented and approved policies and procedures in place to handle email records that have a retention period longer than 180 days? (36 CFR 1236.22) 0 1~ Ifu . I ~ I 'ill, 1 ,/Yes 1 100%

.******* '

2 No, please explain 0 0%

3 Do not know 0 0%

Total 1

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67. 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 2014-04: Appendix A, Revised Format Guidance for the Transfer of Permanent Electronic Records - Tables of File Formats Section 9 - Email (http:l/www.archives.gov/records-mgmt/policy/transfer-guidance-tab les.html)?

D 1~ ILim I *~ I ~

Yes 100%

2 No 0 0%

3 Donat know 0 0%

Total

68. Do employees in your agency have more than one agency-administered email account? (NARA Bulletin 2013.02) 0 ,~ Yes I [ilW I ~ ~

100%

2 No 0 0%

3 Do not know 0 0%

Total

69. '[)oes your agency have documented and approved :policies that address .these types .of accounts ,and that state that email records must be

• .,~**

p~eserved in an appropriate l'!gency recordkeepi~g system? (36 *CFR 1236.4¥(b))

Yes 2 No 0%

3 Do not know 0%

Total

70. Does your agency allow the use of personal email accounts to conduct official business? (36 CFR 1236.22(b))

@ &iB~

Yes 2 No 0 0%

3 Do not know 0 0%

Total No 0%

Do not know 0%

Yes 0%

No 100%

Do not know 0%

Total 2 Captured and stored as .PST 0%

3 Captured and stored in an electronic records management system 100%

4 Captured and stored in an email archiving system 0 0%

5 Not captured and email ls managed by the end-user In the native system 0 0%

6 other, please be specific 0 0%

74. Does your agency audit staff compliance with the agency's email preservation policies?

.,/ Yes 0%

2 No 100%

3 Do not know 0 0%

Total

75.

- Who audits staff compliance with the agency's emairpreservation policies? (Cho~se all that apply)

. .

-

Ill. ~. '~r' Inspector General 0 0%

2 Chief Information Officer 0 0%

3 Agency Records Officer 0 0%

4. QU,er, please explain 0 0%

5 Do not know 0 0%

76. How often does your agency audit staff compliance with the .agency's email preservation policies?

ax~ ' ,,/ Every 6 months

'-...;,

I ~***

0 0%

2 ,,/ Every year 0 0%

3 ,,/ Every 2 years 0 0%

4 ,,/ Less frequently than every 2 years 0 0%

5 Do not know 0 0%

6 Not applicable, agency does not auc;m staff compliance 100%

Total

77. Does your agency plan to adopt the "Capstone" approach to ma-naging email records as specified in NARA Bulletin 20.13-02, *Guidance on a New Approach to Managing Email Records?

.*!~***Yes 100%

No, please explain 0 0%

Do not know 0 0%

'Total rrm ~

5 Yes 0 0%

6 No, please explain 100%

7 Do not know 0 0%

8 Not applicable, planning to use GRS 6.1: Email Managed Under a Capstone Approach .0 0%

Total Proposed retention schedule Is c~rrenUy being developed.

Yes 2 No 0 0%

Do not know 0 0%

4 Other, pleas~ explain 0 0%

Total

Yes 0%

No 100%

3 Do not know . 0 0%

Total

81. Does your agency create and maintain any of the following types of metadata for electronic records? (Choose all that apply)

-~ ~,:11,<t'

' c.l'~;.,

Descriptive metadata 100%

2 Structural metadata 100%

3 Administrative metadata '100%

4 Rights management metadata 100%

5 Preservation metadata 100%

6 Not applicable, please explain 0%

7 Do not know 0%

a Other, please explain 0%

2 No 0 0%

3 Do not know 0 0%

4 ~er, please explain 0 0%

Total Yes 0 0%

2 No 0 0%

3 Do not know 0 0%

4 Other, please explain 100%

Total The NRC makes every attempt to maintain metadata for permanent records in accordance with NARA 2014-04 Appendix A, Revised Fonnat Guidance for the Transfei- of Permanent Electronic Records. At the same time, particularly because our some processes operate under a *pen and paper" environment with hand-written notes that are integral to the business process, the full array of metadata posslble for electronic records Is not easily or efficiently captured, The NRC has also worked closely with NARA to adapt additional technologies to meet NARA's requirements. In April 2015, the NRC had analysis completed on email to PDF conversions where NARA's Electronic Records Division described the NRC's test as "a relatively good implementation of email as PDFt but added that the test still raised areas of concern. The NRC will continue to worl<:,with NARA to plon~er new solutions and to use NARA's currently-recommended solutions wherever practicable.

No 0 0%

Do not know 0 0%

Total

86. Does your agency records officer meet regularly (four or more times a year) with the SAO for Records Management to discuss the agency records management program goals?

Yes 100%

No o_ 0%

Do not know 0 0%

Total Yes 0%

2 No 0%

3 Do not know 0%

4 Not applicable, all paper and other non-electronic records have been scheduled 100%

Total

-~-

Yes 100%

No 0%

Do not know 0%

Total Conduct routine Information inventories, participate in privacy Impact assessments and solution development lifecycle processes.

90. Has your agency identified any additional unscheduled records that have *not already been reported to NARA?

Yes 0%

No 100%

Do not know 0%

Total

91. Please send to rmselfassessment@nara.gov.by January 29, 2016, an updated spreadsheet containing only the newly identified unscheduled, records that have not already been reported to NARA. (The spreadsheet was sent to RMSA contacts on 'November 2, 2015, along with an advanced copy of the questionnaire. Please email rmselfas~es~!llent@nara.gov if you did not receive it or need another ~ne.)

rrA ; 1~ l' .--~

Sent 0%

2 Not Sent 0%

Total

92. Does your agency use cloud services?

" "

.:,

f,:.

.

Yes 2 No 0 0%

Do not know 0%

Total Email 0 0%

2 Administrative functions such as payroll, purchasing, and financial management 0 0%

3 Mi.ssion/program-related functions 0 0%

4 other, please explain 100%

5 Do not know 0%

The agency uses a recently implemented private cloud. The cloud hosts a variety of systems and services in support of administrative activities. No data is resident on the external cloud services.

2 No 0%

3 Do not know 0%

Total No 0 0%

Do not know 0 0%

4 Not applicable, my agency does not use the General Schedule (GS) job classifications 0 0%

Total

5 No 6 Comments: (Optional)

Yes 2 No 3 Comments: (Optional)

Yes 2 No 0 0%

3 Do not know 0 0%

4 Comments: (Optional)-Please include in your comrilents liow you use the RMSA, if applicable 0 0%

500,000 or more FTEs 0 0%

2 100,000-499,999 FTEs 0 0%

3 10,000-99,999 FTEs 0 0%

4 1,000 -9,999 FTEs 100%

5 100 - 999 FTEs 0 0%

6 1-99 FTEs 0 0%

7 Not Available 0 0%

Total Senior Agency Official 2 OffiC8 of the General Counsel 100%

3 Program Managers 0 0%

4 lnfonnation Technology staff 100%

5 Records Liaison Officers or slmilar 100%

6 Administrative staff 0 0%

7 Other (please be specific) 0 0%

8 None 0 0%

."':..:**;

Less than 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> 0 0%

2 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 /> 100%

3 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 /> 0 0%

4 More than 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 0 0%

Total

103. Did your agency's senior management review and concur with your responses to the 2015 Records 'Management Self-Assessment?

2 No 0 0%

3 Do not know 0 0%

Total 2 No 0 0%

Total*

Score Standard Deviation . 0.00 Weighted Mean of Items !o.73 Weighted .Standard Deviation of Items 1.25 Items I 119.00 I

0

, Initial Report . . . *' , - ** * , ** *.. " * * ' , '. , * * * ' * * , Last M~dified: 04/1?/2017 "

i X Do not know 0%

Total 2 . X3to4years 0 0%

3  : X 1 to2years 0 0%

l 4 X Less than a year 0 0%

Total 2 _. / No,'pending final approval 0 '0%

j 3 , . / No, under development 0 0%

4 'XNo 0 0%

5  : X Do not know 0 0%

---

Total 2 0 0%

3 i ./FY2012-2013 0 0%

4 X_FY2011 or earlier 0 0%

5 :X Do not know 0 0%

7 X Not applicable, agency does not have a records management directive 0 0%

Total

6. Jl)oes your agency have *<:1 netwerk. of designated ,employees within each program and ~dn,inistrc1tive area who are assigned records mana.gement responsibilities? These individuals c1re often Ci:!lied Records Liaison Officers (R:LOs~ :though their titles may vary. (36 C;FR *t22Q.34{d))

II~ ]~;* *.;:;:,r:,,,1*-**.~-- *13:=

1 '. ./Yes  ! 100%

2 X No 0 0%

3 X Do not know 0 0%

4 .,/ Not applicable, agency has less than 100, employees 0 0%

5 * . / Not applicable, Departmental Records Officer- this is done at the component level 0 0%

Total

7. Does your agency have internal records .management training*, based on agency policies and directives, for employ.ees assigned records managemenJ responsibilities? (36 CFR 1220.34(f)) *Includes NARA's records management :training woi:ks'h.ops .that were customized specificaHy tor your agency or use of an age.hey *customized version of the Federal Records

. *Offker Networ:k{FRON:) 'RM '101 course.

• e,. I~ ~ i

./Yes 100%

2 )(No 0 0%

3' ' . / No, pending final approval 0 0%

4  ;,/ No, under development 0 0%

5  : X Do not know 0 0%

6 . / Not applicable, please explain 0 0%

Total

• ~~

,.

8. Has your .agency ,developed :mandatory internal, staff,,wi.de, for,mal training*, based ,Orl agency pOlicy and directives,. wl:)ich heips agency er,npleyees and contractors fulfill the.if record keeping responsibilities an.d ,covers records Jh all form~ts, including *email, text messages, chat, .or other ~lectronic communication messaging .applications or platforms 'Such as social media or mobile device applic:;ations?** (36 CFR 1220.34{f.)) *Includes NARA's :records management training .workshops :that were customized specifically for your .agency or us.e of an a:gency customJ:zed version of the *Federal Records Officer Network (FRON) RM 101 .eourse. **Components of c;le,partmental ;ag~ncies may ;rnswer Yes" .if fhis is l')andled by cthe department.

• • Depar,trne.Fit Re cots.tis .Offic*ers* may answer "Yes': if :this is hancUec;I at .the component ,level.

!A '.;]~*; <': *.*.. 1 ~*~;:;:1*:~,.';;1;'..; m;:q/t;Jii,1\t

'. .,/Yes 100%

2 X No 0 0%

3 i .,/ No, pending final approval 0. 0%

4 . / No, µnder development 0 0%

5  ; X Do not know 0 0%

Total

..:.,\.0 ,I~ *; *:;('}*'l~*{t:.t,;:(  !< ~

./Yes 1 100%

• 2 XNo 0 0%

3 X Do not know 0 0%

Total

10. Is .records management training included in the ne~ hire in-processing for new employees in your agency?

f.iJ ]~,mrn i (;m I ~

! 9Z>

XYes 1 100%

2

• XNo 0 0%

3

• X No, pending final approval 0 0%

4 X No, under development 0 0%

5 X Do not know 0 0%

--

Total

(]) ,~

'. ./Yes I mm  ! ~

1 I ~

100%

2 XNO 0 0%

3 . / No, pending final approval 0 0%

4 . / No, under development 0 0%

5 X Do not know 0 0%

- - - -Total -

13. In addition .to your agency's established policies and rncords schedules, has your agency developed and implemented internal controls to ensur:e that Federal records at.e not destroyed before the end of the.ir retention period? .(36 CFR 1222.26(e)l

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

• Records Centers) or ,other organizations should not be considered when r;esponding 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

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

• Annual records clean out activities sponsored and monitored by*

rec.ords management staff fl) 1~ 1~ I I~

1

!

~

./Yes 100%

2 XNO 0 0%

3  : . / No, pending final approval 0 0%

4 . / No, under development 0 0%

5 X Donotknow 0 0%

--

Total

14. 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 managernent laws and regulations? ** For this qµestion, y.our agency's records management .program, or a major component .of the program (e.g., v:ital records identification and management, the records disposition process, records managementtraining, or the management of your agency's electronic records.), must be the ,primary focµs of Hie inspection/audit/review.

(ll ~ J;hm~m&lf~;'.'. *

~Yes 100%

2 X No, please explain 0 0%

3 X Do not know 0 0%

Total 1,

~~~-

15. How often is your records m,magement program, or a major component of your program, evaluated for compliance with agency records management policies and procedures?

...

~-**-*'*~-.

I Every 1 - 2 years

!ID!ri l~:-:~:-1.~<

0 0%

2 ~ Every 3 -4 years 100%

3 ~ Every 5 years 0 0%

4 X More than every 5 years 0 0%

5 , X Do not know 0 0%

7 X Not applicable, agency d_oes not evaluate Its records management program 0 0%

Total

16. Was a formal written repo.rt prepared as part ofthe most recent inspection/audit/review?

~:r~ xves

. *I,....,,.,.

~--.~

!'*'~*I-.<%

100%

2 XNo 0 0%

3 , X Do not know 0 0%

5 X Not applicable, agency does not evaluate Its records management program 0 0%

Total

17. Do your agency's evaluation procedures include creating plans of corrective action that are monitored for implementatioh?

01~:->: 'fJfffil*i$~i:: !{,:~:,,

xves 100%

2 XNO 0 0%

3 , X Do not know 0 0%

4 X Not applicable, agency does not e;,aluate its records management program 0 0%

Total

. 1'8.- Hasy*our agency,estal;>lish:ed periforrnance..goals for its record~ *manag,ement program?* *E:xamples of p~rforn;iaqce go~ls include but are '.noHirnited to: 1*

• ldenlifying arid sch"E!duling all paper and .non.electronic rii!cords by the end of FY 2017

• Developing computer-based records managemetit;training modules by the en.d of FY 2017 * * 'Planning and piioting an eleclron_ic records management solution-for ,email hy the end of FY 201.7

• Updating :records management policies by the end of they.ear * .Conducting records :mam1g.ement E!Valuations of at l~as't one pr:qgram arec1 each quarter e L~ [cim ...! ~  %

,./Yes 100%

2 XNo 0 0%

3 . / CurrenUy under development 0 0%

4

• X Do not know 0 0%

Total

19. Ha$ your agency's r~cprds management program identified *performance measures for .records management ~ctivities

• • • such as training'. 'records sc'j:leduling, permanent recor.ds*transfers,; etc1? *Examples of :performanc.e "measures include b.ut are not .limited t<?: * **Percentage ofagency employees :that receive :r~cords .'management training Jn a year

• A reduction in the volume of iinactive rncords stored ,in office space

• P~rcentage of eligil;>le*:permanent records transferred to NARA .in a yea*r * .Percentag!:l of records scheduled **

• Percentage of offices evaluated/inspected for records management

~ompliance * . Percentage of email *!11anagemenJauto-classifJcation rates

• D,evelopm.ent of new records rnanagem!'lnt training modules

• Auel its .of ,internal systems** *

• Annual opdates of file'planii

• Perforr:na:nce testing.for email

. . applicatJons to ensure records_ are captured

• y]~ Ifil\!;' , *l ~ I ~

,./Yes 1 100%

2 XNo 0 0%

3 . / CurrenUy under development 0 0%

4 X Donotknow 0 0%

--

Total io. *"Does your .ag~ncyfs r~cord~:manag~meot,prbgrart.i ,h'c1ve do;umented and approv~d polici!'!s and proce(:lures that ins~~1;1ct staff on how your ,agj:!ncy's permanent records in all formats *must be managed and stored? (36 CFR 1222,34(eY) fl) 1~ Imw -1* ~* I *f/h

,./Yes 1 100%

2 XNo 0 0%

3 . / No, pending final approval 0 0%

4 . / No, under deveiopment 0 0%

5 X Do not know 0 0%

--

Total

21. Has *your age.ncy identified the vital ,~ecords of all its program ar:id administrative areas? (36 CFR 1223.16)

(lJ 1

2

,~~Yes XNo

• Departmental agency, compone1;1ts may answer "Yes" .if thi~ is handled at the departmeflt level.

jam

..

r ~ '

1 0

I o/b 100%

0%

3 X Donotknow 0 0%

Total 1

2 .,/ Every 2 - 3 years 0 0%

3 .,/ Every 4 - 6 years 0 0%

4 X Never 0 0%

5 X Donotknow 0 0%

--

Total 2 0 0%

3 X Do not know 0 0%

Total 2 0 0%

3 X To some extent 0 0%

4 X Donotknow 0 0%

Total 2 XNo 0 0%

3 X No, pending final approval 0 0%

4 X No, under development 0 0%

5- . X Do not know 0 0%

--

Total 1

X Are the same person 0 0%

2 X Coordinate closely together 1 100%

3 , X Know each other but do not work together 0 0%

Total

xves 0 0%

2 XNo 0 0%

3 X To some extent 100%

4 X Donotknow 0 0%

Total

30. Please list the software or other technology used by your agency to process, track, de-duplicate responsive records,

. redact records, and respond to FOIA requests.

FOIAXpress Adobe Pro X To some extent 0%

X Under development 0%

, X Do not know 0%

Total 2 0 0%

3 X To some extent 0 0%

4 X Under development 0 0%

5 , X Do not know 0 0%

Total

X Do not know how to determine what performance measures are needed 0 0%

2 X My agency has performance measures bu! no! specific to FOIA o* 0%

3 ; X Do not understand U,e question 0 0%

4 X* Ottier, please explain 0 0%

Total 0 2 ci 0%

3 .X Do not know 0 0%

Total 2 X To some extent 0 0%

3 'XNo 0 0%

Total 2 0 0%

3 . X To some extent 0 0%

4 X Donotknow 0 0%

Total

2 XNo 0 0%

3 ../ To some extent 0 0%

4 X Do not know 0 0%

Total 2 ../ Most records can be retrieved and accessed in a timely manner 0 .0%

3 ../ Some records can be retrieved and accessed in a timely manner 0 0%

4 XNo 0 0%

5 X Do not know 0 0%

Total 100%

2 XFY2011-2013 0 0%

3 X FY2008-2010 0 0%

4 X FY 2007 or earlier 0 0%

7 X Do not know, please explain 0 0%

Total X Donotknow Total

2 )( FY2018 1 100%

3 X FY2019 1 100%

4 X FY2020 1 100%

5 X After FY 2020 1 100%

6 X Do not knc:,w, please explain 0 0%

2 XNo 0 0%

Total 2 0 0%

3 ;X Do not know 0 0%

Total' 2 ' X Memoranil~m or emafl notification 0 .0%."

3 X Update training materials 0 0%

4 X Update records management policies and/or handbo.oks 0 0%.

5 X Other, please explain 0 0%

46. Did your ~gency transfer permanent non-el~ctronic records to NARA during FY 2016? (36 CFR 1235.12)

~ 1,l11;jq1.

-'* _*_ e ~" ',ii ~ Cj~*l*****

,,* . ~ ,, ,91,

. ,./Yes 100%

2 X No

.. 0 0%

3 ../ No-No records were eligible for transfer during FY 2016 0 0%

4 .,/ No - New agency, records are not yet old enough to transfer 0 0%

5 .,/ No - My agency does not have any permanent non-electronic records

• 0 0%

6 X Do not know

• 0 0%

7 ** X Other, please explain 0 0%

Total

~

-  :;

~~:._.  !!)

47. Did your agency transfer permanent electronic records to NARA durfog FY 2016? (36 CFR 1235.12)

,,

~~ ~;,

lmw I ~ ;l:'Q'l>

1 ,./Yes 0 0%

J 2 XNo 0 0%

, 4 : ../ No - No electronic records/systems were eligible for transfer during FY 2016 1 100%

5 .,/ No - New agency, electronic records/systems are not old enough to transfer 0 0%

7 X Donotknow

'

0 0%

8 X Other, please explain 0 0%

. '

9  : ../ No - My agency does not have any permanent electronic records 0 ' 0%

Total 1

,' .

~~

er 2

1~

XYes

,~

48. Were the p~rrnanent electronic records transferred during FY 2016 using the .Electronic Records Archives (ERA)?

l I

i

~

0 0

,I '.<fl,'*

0%

0%

XNo 3 X Do not know 0 0%

Total 0

@ I t:.i,ii~\:z$'t'*,,

XYes 2* X No 0 0%

3 X Do not know 0 0%

4 X Not applicable, my agency does not have any permanent electronic records 0 0%

Total

2 0 0%

3 X Donotknow 0 0%

4 X Not applicable, please explain 0 0%

Total 2

• X Maintain an Inventory 1 100%

3 , X Database or other automated tracking 1 100%

4 X *Manual tracking 0 0%

5 X Other, please explain 0 0%

2 ../ Yes, but not documented 0 0%

3 , XNo 0 0%

4 X Donotknow 0 0%

5 __

,i ,./ Not applicable, please explain 0 0%

Total

'xves 0 0%

2 XNo 1 100%

3 , X Do not know 0 0%

--

Total

2 X No, please explain 0 0%

3 X Donotknow 0 0%

Total 2 XNO 0 0%

3 X Do not know 0 0%

4 .,/ Not applicable, please explain 0 0%

Total

, *,

-'<' ~*.,-

~..,

57. 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 cenduct agency business and to meet NARA-approved dispositions? (36 CPR 1236.20(b)(6))

.,/Yes 100%

2 XNo 0 0%

3 X Do not know 0 0%

Total xves 100%

2 XNo *o 0%

3 X Do not know 0 0%

4 X Not applicable, please explain 0 0%

Total

2 X No, please explain 0 0%

3 X Do not know 0 0%

Total 2 X No, please explain 0 0%

3 X Do not know 0 0%

4 ../ Not applicable, please explain 0 0%

Total 2 X To son:ie extent 0 0%

3 X No, please explain 0 0%

4 X Donotknow 0 '0%

5 X Not applicable, please explain "' 0 0%

--

Total 2 X Participate as stakeholder in requirements gathering 100%

3 X .Participate as stakeholder in design phase 100%

4 X Participate as stakeholder in development phase including testing the system 100%

5 X Provide sign off authority for the implementation of new systems 100%

6 X Monitor system for adherence to standards, policies, and procedures 100%

7 X Provide information only 0 0%

8 X Do not know 0 0%

9 X Other, please explain 0 0%

~~&;ijffi~tiif~~~L ,~-~*-

2 X No, please explain 0 0%

3

• X Do not know 0 0%

Total i X Do not know 0%

Total

65. Do employees in your agency have more than one agency-administered email account? (NARA Bulletin 2013-03)

• Examples of business need for more than one agency-administered email account may include but are not limited to: Using separate accounts for public and internal corres*pondence Creating accounts for a specific agency initiative which may have .

multiple users Using separi)te accounts for classified information and unclassified information '

2 xves XNo

~*-0 100%

0%

4 :X Do not know 0 0%

Total

66. Does your agency have documented and approved policies that address these types of accounts and that state that  :

email records must be preserved in an appropriate agency recordkeeping system? (36 CFR 1236.22)

.,/Yes 100%

2 XNo 0 0%

3 X Donotknow 0 0%

Total

67. Does your agency allow the use of personal email accounts to conduct official business? (36 CFR 1236.22(b))

~;: ~ 6 ., * \]'~;;:h{ ~' . ._--_.,j>~h xves 100%

2 XNo 0 0%

3 X Do not know 0 0%

Total

2 X No 0 0%

3 :X Do not know 0 0%

. Total

[.fa,t;;,,:£:*1~> *~**'.

.,/Yes 0 0%

2

• XNo 100%

3 X Do not know 0 0%

Total

!X Captured and stored in an email archiving system 0 0%

2 X Captured and stored in an electronic records management system 1 100%

3 :X Captured and stored as .PST 0 0%

4 X Print and file 1 100%

5 X Not captured and email is managed by the end-user in the native system 0 0%

6 X Other, please be specific 0 0%

2 100%

3 X Donotknow 0 0%

Total

2 X Chief Information ()fficer 0 0%

3 j X Agency Records Officer  ! j 0 0%

4 . X *Other, please explain 0 0%

5 i ~- Do not_know I_

0 0%

! X Every 6 months 0 tI 0%

I 2 X Every year 0 0%

3 X Every 2 years 0  ! 0%

4 . X Less frequ.ently than ~very 2years 0 0%

I

• 5  ; X Do not know 0 0%

• 6 :X Nqt applicable, agency does not audit staff compli!lni::e .1 100%

--*---- Total 2 ;X No.please explain 0 0%

3  ; X Do not know  ! 0 0%

Total 2 : X No, 'please explain 0 0%

3 ; X Do not know 0 0%

- - . ' ' . . . . .

4 X No,t applicable, already submitted NA-1005 to. use ~~s 6.1: Email Managed Under a CapstonirAp.proll.ch. 100%

5 ) X Notappl.icable, planning to use GRS 6.1 but have n.otyetsubmitted NA-1005 0 0%

Total

• X Do not know 0%

. Total X Donotknow 0%

'.Total X Do not know 0%

Total, 2 XNo 0 0%

1 3 X Do not know 0 0%

'Total 2 0 0%

3 ' X Do not know 0 0%

4 ' X Olher, please explain 0 0%

Toial

. .

81. Does your agency have an approved records schedule covering electronic messages including text messages, chat/instant messages, voice m.essa,ges, and messages created in social media tools or applications that meet the definition of

. a Federal record?

,

(Elm,' .~l*l1lil$ **.o/{,

'xves 0 0%

2 XNo 100%

3 X Donotknow 0 0%

Total

82. Which of the following best describes the steps your agency has taken to comply with metadata bulletin NARA 2015-04 Metadata Guidance for the Transfer of 'Permanent .Electronic Records to maintain metadata for permanent electronic records?

o1~

1

.2

X We have implemented measures to comply with NARA Bulletin 2015-04 X We have reviewed NARA Bulletin 2015-04 and are planning

*,.

to implement measures to comply with NARA Bulletin 2015:04

r, I~ ,~, 0 0

ir.6' 0%

0%

..

3  : X We have reviewed NARA2015-04 but have not taken steps to implement it 1 '100%

4 X We have not reviewed NARA 2015-04 0 0%

5 X Donotknow ' 0 J 0%

6 X None of the above, please expl~in 0 0%

Total 1

~r;:001©~~~ .,

83. Which oftlie following best describes the level at.which your organization is responsible for defining records management metadata schema* fo.r w:;e ~cross systems that main.fain permanent electrol'.lic records? *A schema is a .logical*

plan showing*the .relationships between metadata elements, n*o.rmally througl'i establishing ru'les for the use .and management of metadata spec;ifically as regar.ds Uie semantics, the syntax, and the optionality .(obli!,Jation level) of values (ISO 23081..1 s3.

• Terms and Definitions) 1

, X My agency has adopted an external standard (e.g., International Organization for Standardization (ISO), industry, or military 0 0%

. ; standard) * .

2 X Defining records management metadata schema is done at the department level and used enterprise wide (i.e. all entities 0 0%

within the department use the same one) .

3 X Defining records management metadata schema is done at the individual component agency/bureau/office level (i.e. each 0 0%

uses its own unique one) 4 X As an indep~ndent agency, records management metadata schema is defined and mandated for use across the agency by 100%

the Office of the Chief Information Officer .

5 X My agency/component/bureau/office does not have or use a metadata schema 0 0%

6 X Do not know 0 0%

7  ; X None of the above, please explain 0 0%

Total

X My agency/component developed its own based on internal practices 0 0%

2 X My agency/component has adopted an external standard (e.g., ISO, industry, military standard) 0 0%

3 X Controlled vocabularies, thesauri, or term lists are defined by the department and mandated for use by all 0 0%

agencies/bureaus/offices 4

X As an independent agency, controlled vocabularies, thesauri, or term lists are defined and mandated for use across the 0 0%

agency by the Office of the Chief Information Officer 5 X My agency/component does not use controlled vocabularies, thesauri, or term lists 100%

6 X Do not know 0 0%

7 X None of the above, please explain 0 0%

Total X Do not kn<;>w* 0%

---

'------'----------------------------'--------------'--------1 Total

XYes 100%

2 XNo 0 0%

3 *X Do not know 0 0%

Total 2 X Yes - Retention schedules have been submitted and are pending NARA approval 0 0%

3 X *No - Retention schedules are in draft form and have not yet been submitted to NARA 0 0%

4 XNo* 0 0%

5 X Donotknow 0 0%

6 X Other, please explain 0 0%

Total

2 XNo 0 0%

3 X Do not know 0 0%

Total X Regular surveys 0 0%

2 X Regular inventories 1 100%

3 , X Records management evaluations, site assessments, or audits of program offices 1 100%

4 X Work with program managers to identify new programs and related records 1 100%

5 :X Work with Privacy Officer and review SORNs (Systems of Records Notices) 1 100%

6 X Work with FOIA Officer 0 0%

7  : X Records Liaison Officers notify Agency Records Officer of new record series 1 100%

8 X Require use and annual update of file plans 1 100%

9  : X Participate in design and retirement of information systems and note changes in records 1 100%

10 X Outreach and awareness 0 0%

11 . X Other, plea~e explain 0 0%

xves 0 0%

2 XNo 1 100%

3  ; X Do not know 0 0%

Total 2 0 0%

3 X Doriotknow 0 0%

Total

2 X Administrative functions such as payroll, purchasing, and financial management 100%

3 X Mission/program-related functions 100%

4 X Other, please explain 100%

5 X Do not know 0 0%

Email o Limited trial use, in preparation to* move email to the cloud (Office 365) Administrative functions such as payroll, purchasing, and financial management o Financial management system is hosted In a cloud service Mission/program-related functions o Limited trial use, In preparation for moving high performance computing applications to the cloud *Other, please explain o Social media for public website: Facebook, Flickr, GovDelivery, Twitter, WordPress, YouTube o Web content delivery services for public website o Application security services o Enterprise mobility management o Web conferencing o Leaming content delivery, accessed from our lea ming management system (which is not cloud based) o EEO case management- in progress, targeted completion 6/17 2 *xNo 0 0%

3 X Donotknow 0 0%

Total 2 XNo 0 0%

3  : X Do not know 0 4 X Not applicable, my agency does not use the !,eneral Schedule (GS) job classifications 0 0%

Total 2 XNo 0 0%

3 X Do not know 0 0%

4 X Comments (Optional): Please include ih your comments how you use the RMSA 0 0%

..,,. -

..

~"t:; _" --~ - .- *"- ,._ $,_, ~

X 500,000 or more FTEs 0 0%

2 X 100,000-499,999 FTEs 0 0%

3 X 10,000-99,999FTEs 0 0%

4 X 1,000-9,999 FTEs 100%

5 X 100 -. 999 FTEs 0 0%

6 X 1-99FTEs 0 0%

7 ' X No!Available 0 0%

Total

~~*,:,-~~*

'V.

,.,,

X Senior ~gency Official 100%

2 X Office of the General Counsel 100%

3 X Program Managers 0 0%

4 X FOIA Officer 100%

5  : X Information Technology staff 100%

6 X Records Liaison Officers or similar 100%

7  ; X Administrative staff 0 0%

8 X Other, please be specific: 0 0%

9

• X None 0 0%

t X Under 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> 0 0%

2 X 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 /> 0 0%

3 X More than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> but les~ than 1O hours 100%

4 X Over 10 h_ours 0 0%

Total X Do not know 0%

Total 102. Please provide your contact information.

Margie Janney, CRM/NS U.S. Nuclear Regulatory Commission Chief, lnfonnation Management Services Branch & Agency Records Officer  : margie.janney@nrc.gov

• 301;415-7245

2 XNo 0 0%

Total Mean Score  : 94.00 Score Standard Deviation 0.00 Weighted Mean of Items  ; 0.81 Weighted Standard Deviation of Items 1.32 Items ' 116.00

"

. -

-

-

- . .

. ~

Initial Report . . Last Modified: D4/18f2018

. . .

. .

./Yes 100%

XNo 0%

X Do not know 0%

f-----------------------------------------,--------------------------------------1 Total

?* Please provide the person's.name, position' title, an.cf offi~e. ._ .

Margie Janney, CRM/NS Chief, Information Management Services Branch and Agency Records Officer Office of the Chief lnfonnation Officer

3. Hoy; long has this person b'een responsible for coordinating ~nd_ overse!'in9. the imp.lem!'ntation of the records management program?

0 . '

• .---~- I X Sor more years 100%

X 3to4years 0%

X1to2years 0%

X Less than a year 0%

Tolal

4. Does your agency have ~ Senior Agency Official for Records Management (SAO RM)? (If you ar~ a component of a department, you may answer "Y~s," even if this is not

. .

• being done at the component level.) * . .

0  !~---* *. I XYes 100%

XNo 0%

X Do not know 0%

Total

5. Doe_~ your Agency_ Records Officer meet regularly.(four or more times a ye:"r) with)he SAORM to.discuss thi,agency records management program's goals? * .

.

-, 0 I~ . ** . * .. I

'xves 100%

XNO 0%

X Do not know 0%

T6tal

. XYes 100%

XNo 0%

X Donotknow 0%

4 X Not applicable, my agency does not use the ~eneral Schedule (GS) job classification 0%

Total

'./Yes 100%

2 . XNo 0%

3 \ X Do not know 0%

4 .,,/ Not applicable, agency has less than 100 employees 0%

. .,,/ Not applicable, Departmental Records Officer-this Is done at the component level 0%

Total

X All records management staff are agency personnel 0%

X AJI records management ~ff are contractors 0%

.X Records management staff includes both agency pers~nnel and contractors 100%

Total

x<1 0%

x1_ 0%

• x2-10 100%

~ 10-20 0%

, X Morethan20 0%

X Donotknow 0%

,* .

, X Notavallable 0%

X Not applicable, all records management staff are contractors 0%

Tola!

".::~f.k

.~yi"~

x<1 0%

X' 100%

. x2-10 0%

X 10-20 0%

X Morethan20 0%

X Donotknow 0%

X Not available 0%

X Not appllcable, all records mana~ement staff are agency personnel 0 0%

Total 100%

,.,/ No, pending final approval 0%

.,/ No, under development 0%

XNO 0%

X Do not know 0%

Total 1 v4'FY2017-present 100%

,/FY2015-~016 0%

',I FY2013-2014 0%

X FY2012orearfier 0%

X Donotknow 0%

X Not applicable, agency does not have a records management directive 0%

• Total

" " - .

13. 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 NA:RA's records management training workshops that were customized specifically for your agency or use of an agency-cust9mized version of the Federal Records Officer Network (FRON) RM 101 course. . .

.0 . *-** Il.llmm

'. ,/Yes

.*. . I r;J!,.

100%

XN* 0%

, / No, pending final approval 0%

V No, under development 0%

X Do not know 0%

V Not appllcable, please explaln 0%

Total

14. Has your agency devel9ped 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 recordkeeplng responsibilities?** (36 CFR 1220.34(f)) *Includes NARA's 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.

<0 . /ti.li!:m:!1  : .. ;_ .,.:. c' * / ./

.,/Yes 100%

XNo 0%

.,,/ No, pending final approval 0%

../ No, underdevelopment 0%

X Do not know 0%

Total

15. 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))

0 I !1!ra:mJ !11& I ~ I .;i

. .,,/Yes 100%

XN* 0%

, X Do not know 0%

Total

16. Is records management training included in the in-pro!"essing fo_r new employee; in your agen~y? . . *

.;, ,~ xves IWill  ! ~ I ?i, 100%

XNo 0%

X No, pending final approval 0%

4 X No, u~der developme~t 0%

X Do not know 0%

Total

18. In addition to your agency's established records management policies and records schedules, has your agency's 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., NA:RA's Federal *~ecords 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 0 lt.°!lml'J7 i !lb?  :. I I

.,/Yes 100%

XN* 0%

../ No, pending final approval 0%

../ No, under development 0%

X Do not know 0%

Total

19. In addition to your agency's established policies and records schedules, has your agency developed and implemented internal controls to ensure that Federal records are not deslroyed 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 .., NA.RA's Federal Records Centers) or other;organizations should not be considered when responding to this question.

• Examples.of records management interna.l controls include but are not'lilnited to: ** Regular review of records invrntories

• Approval process for disposal notices 'from off-site storage

• Require certificates of destruction* Monitoring shredding services* Performance testing for email* M.onltoringand testing of file plahs

• Pre-authorization fromrncords management program before *records lire 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 iJ ,li:f=l <f*-~. ~il~i;{i-":~-:~ ,.- ,.?,~- ~;

1 .,/Yes 100%

XNo 0%

.,/ No, pending final approval 0%

• . .,/ No, under development 0%

X Donotknow 0%

Total

.,/ Yes, evaluations are conducted by the Records Management Program 0%

.,/ Yes, evaluations are conducted by the Office of Inspector General 0%

.,/ Yes, evaluations are conducted by the Records Managemen.t Program AND the Office of Inspector General 100%

.,/ Yes, evaluations are conducted by: 0%

X No, please explain 0%

X Donotknow 0%

Total

. ~.. -j ,-.:::> ,- '.,,.,,[~

.,,/ Annually 0%

.:; Bi-annually 0%

.,/ Once every 3 years 100%

.,/ Ad hoc 0%

X Donotknow 0%

X Not applicable, agency does not evaluate its records management program 0%

Total DI~ ;S3,:,

'xves 100%

XNo 0%

. X Do not know .0%

X Not applicable, agency does not evaluate Its reCOn::ts management prvgram 0%

Total

• 110,L~

'xves 100%

XNo 0%

X Donotknow 0%

X- Not applicable, agency does not evaluate its records managemeiit proQram* 0%

Total

24. Has yciur:agi3ncy:~stablished performance goals for its ricord,; m?hagement program? *Examples ofperto(mance ,goals include *!Jut.are not :limited to:

• ldentifyh,g and ,scheduling*a.11 paper and non-.electronic records by the end of FY 2017 ** neveloping compµter-based rncords managementfrainir:ig modules_by the:en\l-ofFY '2017 *.

Planning .and piloting an electronic records management solutic:infor emaUby the end of'FY 2018 * 'Updating ,records mijnagement policies by .the end ofthe year

• Conducting records nl'!tl'!!)ement ev'!luations of at least one *program area each quarter *

',/Yes

_XN* 0%

../ Currendy under development 0%

X Donotknow 0%

../ Pending final approval 0%

Total 0%

..,/ Cummdy under development 0%

X Donotknow 0%

../ Pending final approval 0%

Total

26. Does your.agencts-records managemf!nt,pr~g~am h11ve documented '!lld approved policies and procedures that instruct stli'ff.~ri J10W*your agency's perm<1nent records in all format~ n\List;be managed a_nd stored_? (36 F~ 1,222.34(1>))

0- I~ !w I ~

-- ----*--**

• 1 96

,/Yes 1 100%

XN* 0 0%

../ No, pending final approval 0 0%

~ No, under development 0 0%

X Donotknow 0 0%

Total

_27. Is your agency sµojec;t tq laws onegulations that require yo~*tp conduct busjness using paper or analog records?* *Comppl)ents of ,departmental ag!'ncies may answer

• , "Ye,s" .if this is handlettby the department.Department-Records Officers may:answer Yes"_it'thisis handled at,tl\e component !eve) ..

i') 1~- *rm:n. .... -, ~ l 'q.,,

xves 0%

XN* 100%

X Do not know 0%

Total OI~ filn.l ~ 1'1>

X Wet signatures are required for transactions with non-Federal entities [including the public) 0%

X Transactions are required to be conducted using paper/ hard copy 0%

X Agency is required to offer paper/ hard copy as an available option for transactions 0%

X Other, please be specific: 0°4 6 , X Do not know 0%

X, Comments: (Option~I) 0%

X Wei signatures are required for transactions between Federal agencies 0%

~~,

~ -

, 29. Has .your agency i~entif[ed the vit_al-~ecOrds of all ,its j

>rqgram and a*qmiriistrative areas?*{3.6*CFR 1223.16) 'Cpmponents of departmental agencies may answer Yes if thi.s fa handled by lhe department.

0 1~ ..* . . . .* * ' . .. * !0::a . . * . I . film1'= --- --1 Ill

,/Yes 1 100%

XN* 0 0%

3 X Donotknow 0 0%

Total

2 *.,/Bi-annually 0 0%

3  : .,/ Once every 3 years l 0 0%

4 X Never 0 0%

5 X Donotknow 0 0%

6 .,/ Ad tioc 1 100% ..

--

Total 2 0 0%

3 :X Do not know 0 0%

• . Total

(.

2 XNo 0 0%

3  : X No, pending final approval 0 0%

4 . X No, under development 0 0%

' X Do noi know i 5 0 0%

Total X Are the same person 0 0%

2 X Coordina_te closely together 1 100%

3 X Work together sometimes 0 0%

4 X Never work together 0 0%

--

Total

xves 100%

XNo 0%

X Do not know 0%

X Agency Records Officer and the FOIA Officer are the same person 0%

Total

35. Records need.ed to respond to a FOJA request are readily accessible and located by staff responsible for FOJA:

XAlways 0%

X Mostofthetime 100%

X Some of Iha time 0%

X Never 0%

X Donotknow 0%

Total

36. Staff responsible for FOIA can search for records without contacting others (i.e. ,program offices):

X Always

'I >l;,

0%

X Most of the time 0%

X Some oflhe time *, 100%

XNever 0%

X Do not know 0%

Total X When notifying the requester that the agency needs more than 1Oadditional days to process a request 100%

X When responding to the requester's appeal 100%

XNever 0%

X Do not know 0%

~ Other, please explain 0%

XEmail 0%

X Onlln8portal 100%

X U.S.mail 0%

X Other, please explain 0%

Total

• .~

39. In 2015, NARA and the Federal Records Management Council introduced the* Federal RIM Program Maturity Model. Are you familiar with this or other maturity models?

xves 100%

X No 0%

X Comments: (Optional) 0%

40. Are you using the Federal RIM Program Maturity ,Model or other maturity models to measure the maturity of the re~ords management program?

jt;urwti, .

'

xves 100%

XNo 0%

X Comments: (Optional) 0%

..

..

xves 100%

XN* 0%

X Donotknow 0%

X Comments (Optional): Please Include In your comments how you uSe the Records Management Self..Assessmenl 0%

.,/Yes 1 100%

XNo 0 0%

~ To some extent 0 0%

X Donotknow 0 0%

Total

..,/ Yes, all recofds are easily retrievable and accessible when needed 100%

.,/ Most records can be retrieved and accessed in a timely manner . 0% .

.,/ Some records can be retrieved and accessed In a timely manner 0%

XN* 0%

, X Do not know 0%

I To~!

vv~s 100%

XNO 6%

X Do not know 0%

Total X Post to Internal web~lte or.other shared lnfonnatlon location 100%

X Memorandum or email notification 0%

X Update training materials 0%

X Update records management policies andlor handbooks 0%

X Other, please explaln 0%

xves 100%

XN* 0%

X Donotknow 0%

Total

X Regular surveys 0%

X Regular Inventories 100%

X Records management evaluations, site assessments, or audits of program offices 100%

X Work with program managers to Identify new programs and related records 100%

X Work with Privacy Officer and review SORNs (Systems of Records Notices) 100%

X Work with FOIA Officer 0%

X Records Liaison Officers notify Agency Records Officer of new record series 100%

X Require use end ennu_al update of file plans 100%

X Participate in design and retirement of Information systems and note changes In records 100%

10 X outreach and awareness 0%

11 X Other, please explaln 0%

xves 100%

XNo 0%

X Donotknow 0%

Total xves 100%

XNo 0%

Total

51. Did your agency transfer permanent non-electronic records to NARA during FY 20H? (36 CFR 1235.12)

.,/Yes 100%

XNo 0%

.,I No - No records were ellgible for transfer during FY 2017 0%

v' No- New agency, records are not yet old enough to transfer 0%

. / No - My agency does not have any permanent non-electronic records 0%

X Do not know 0%

X Other, please explain 0%

Total

./Yes 0%

XNo 0%

,./ No - No electronic records/systems were el!gible for transfer during FY 2017 100%

v' No - New agency, electronic records/systems are not old enough to transfer 0%

X Donotknow 0%

X Other, please explain 0%

../ No - My agency does not have any permanent electronic records 0%

Total 0%

xoonot~ow 0%

X Notappllcable, please explain 0%

Total

X Rely on Federal Records Center notifications 100%

X Maintain an Inventory 100%

X Database or other automated tracking 100%

X Manual tracking 0%

X Other, please explaln 0%

.,I Yes, but not documented 0%

10 XN* 0%

11 X Donotknow 0%

12 .,/ Not appllcable, please explain 0%

Total xves 100%

XN* 0%

X Do not know 0%

Total

'.,/Yes 100%

,I Yes, but not documented 0%

XN* 0%

X Donotknow 0%

.,/ Not applicable, please explain 0%

Total

58. 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?

XYes 100%

XN* 0%

X Do not know 0%

Total

'XYes 100%

X NQ, please explaln 0%

, X Do not know 0%

Total

xves 0%

XNo 100%

X Do not know 0%

Total

61. Does the facility comply with the standards prescribed by 36 CFR 1234?

xves 0%

XNo 0%

X Donotknow 0%

Total

. -

62. Does your agency store inactive temporary and/or permanent records in an agency records center? (Note: This does NOT include agency staging areas and temporary f1olding areas.)

xves 100%

XNo 0%

X Do not know 0%

Total

, X Do not know .0 0%

Total X Donotkno~ 0%

Total XNo 0%

X Donotknow 0%

Total X 1.000 - 5,ooo 0%

X s.ooo -1s,ooo 0%

X 1s,000 - 2s,ooo 0%

X 2s.ooo -so.ooo 0%

X ~o,ooo -100.000 0%

X 100.000- 2so,ooo 0%

X 250,000 or greater 0%

Total

X 0-1,000 100%

X 1,000-s.ooo 0%

X s,ooo - 1s,000 0%

X 15,000-25,ooo 0%

X 2s,ooo - so,ooo 0%

X so.ooo -100,000 0%

X 100.ooo-2so,ooo 0%

X 250,000 or greater 0%

Total xves 100%

XN* 0%

X Donolknow 0%

X NotapplieablEI, my agency does not store records in the Federal Records Centers 0%

Total xves 100%

X No, please ell'.plaln 0%

X Do not know 0%

Total

,/Yes 100%

XN*' 0%

X Do not know 0%

../ Notappl!cable, please explain 0%

.,,/To some extent

,./Yes 100%

XN* 0%

X Donotknow 0%

../ No, pending final approval 0%

,./ No, under development 0%

Total

. .

73. Are records management staff involved in developing,procedures to ensu're that records are_pr~perly migrated from retired systems? {36 CFR 1235.20(b)(6))

fJ I lilimm ._

i xves 100%

XN* 0%

X Donotknow 0%

X Not applicable, please explain 0%

X To some extent 0%

Total

74. Does your agency maintain an inventoi:y of electronic information systems that indicates whether or not each system is covered by an approved NARA disposition

_ authority? (36 CFR 1236.26(a))

0 - . J-

../Yes 100%

X No, please explain 0%

X Do not know 0%

Total

75. Does your agency ensure that records management functionality, including the capture, ret~ieval, 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. *

-* l

..,/Yes 100%

X No, please explain 0%

X Donotknow 0%

../ Not applicable, please explain 0%

Total

" . " -

76. Does your agency's records management.program staff participate in the design, development,"and implementation of new electronic information systems? _

0 IGm I xves 100%

X To some extent 0%

X No, please explain 0%

X Donotknow 0%

X Not applicable, please explain 0%

Total

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

_Q___ j ~ I ~ <;'.:,'

X Participate in review end acceptance of proposals for new systems 100%

X Participate as stakeholder In requirements gatherln9 100%

X Participate as stakeholder in design phase 100%

X Participate as stakeholder In development phase including testing the system 100%

X Provide sign off authority for the implementation of new systems 100%

X Monitor system for adherence to standards, poll cl es, and procedures 100%

X Provide Information only 0%

X Donotknow 0%

X other, please explain 0%

.. '.

78. Does your agency have documented and approved policies r~quiring permanent electronic records be managed in an electronic format for eventual transfer1o NARA?

t] I ,;n=,- 10:fo ~ I ,'j xves 100%

XN* 0%

X No, under development 0%

X Donotknow 0%

Total

xves 0 0%

XNo 0 0%

X To some extent 1 100%

X Do not know 0 0%

Total xves 0 0%

XNo 0 0%

X To some extent 1 100%

xoonotknow 0 0%

Total

'81. Does your agency *complywithlhe requirements Linder Executive Ord¢rs 1'3526 .and 13556 for managing i:lassified ,ind cc,ntrglled unclassified information in systems tha't

!:bntain. electronic *,records?

XYes 0%

)('No 0%

X To some extent 100%

X Do not know 0%

X Not applicable, not an exea.itive branch agency 0%

Total xves 1 100%

XNO 0 0%

X To some extent 0 0%

X Do not know 0 0%

Total

83. Does your agency have a digitization strategy.to reforma_t,permanent records created in hard copy or other analog formats (e.g., microfiche, microfilm, analog video, and '

analog audio)? _

[": ~:~-, - .;:,,J ~~w;r-~;.J~~:~:~r:": ~~i", ~;~:~:-i-~'?i:/~;,;~~:-=~~,,:~:*,~;~~;;~ :;~ ..,;:; nB;r ~~:*~ ' ~ - -- ~r1 ~c1 ~ ~,f :~~- - ~~"~"-- . ~ ;;~oie~st ~;~  :~~~~:~;~;~~~"ilil $~~:=;:~ f, - t;idt~=~

xves 1 100%

XNo 0 0%

X To some extent 0 0%

X Do not know 0 0%

Total xves 0%

XNO 100%

X Donotknow 0%

Total

~!~~ , ~~~ ~ < -~ ~ , : : ,.- ~ , ; : ) ' . ~~~l :~:~: ~~~~;:Lr ~.:~i~t.~;~::Z~]££i~~i:Ji21~:!;~;,;~ 1/*~ '~;:: ~~ ~L:~ 'If:~ ts,L ~; ~ :~: :~- *~~ZJ ~;)~.~;

4 ~t~~~:~~~~\h1:J;]~;~~

~ Content ls p~nted and filed 0%

X Content is capture~ manually through periodic web snapshots 0%

X Content Is automatically harvested using specific tools 0%

X Donotknow 0%

X Other, please e)(plaln 0%

.at~ *,~j l"q "'ii'<

~1, ~

' X Identification of record copy whether on1ine Or off.line 0%

X Identifying the program office responslble for official re CO rd COpy 0%

, X Records retention scheduling of web *content 0%

X Preservation of record copy in accoJdance with retention schedule 0%

X Migration of content when website Is updated 0%

X Maintaining access throughout !Jle life-cycle even if removed from the website 0%

X Managing convenience copies as duplicates and applying disposition as needed 0%

X Tra_nsfer of pennanent web records to the Nati~nal Archives 0%

X Other, please explain 0%

xves 100%

. XN* 0%

X Donotknow 0%

Total X Email 100%

X Mmlnistratlve functions such as payroll, purchasing, and financial ~anagement 100%

3

• X Mission/program-related funcJ]ons 100%

X other, please explairi 0%

, X Do not know 0. 0%

xves 100%

XN* 0%

X Do not know 0%

Total xves 100%

XN* 0%

, X Do not know 0%

TOtal

,/Yes 1 100%

2 _ ~ No! please explain 0 0%

X Donotknow 0 0%

Total

,/Yes 100%

XN* 0%

X Donotknow 0%

Total

0%

X Donotknow 0%

Total

../Yes 100%

X No 0%

X Donotknow 0%

~ No, ~ending fi_nal approval 0%

../ No, under development 0%

Total XYes 0%

XN* 100%

X Donotknow 0%

Total y'Yes 100%

XN* 0%

X Do not know 0%

~ No, pending fincil approval 0%

,../ No, under development 0%

Total y'Yes 100%

XNo 0%

X Donotknow 0%

,Total

X Captured and stored in an email archiving system 100%

X Captured and stored in an electronic records manage~ent system 100%

X Captured and stored as personal storage table (.PST) files 0%

X Print and fil~ 0%

X Not capb.Jred and email is managed by the end.user in the native system 0%

X Other, please be specific 0%

.,(Yes 100%

XN* 0%

X Donotknow 0%

Total

II X Annually 0%

X Bi-annually 0%

X Once every 3 years 0%

X Ad hoc 100%

X Do not know 0%

Total X Agency-specific schedule 0%

X Combination of agency-specific schedule and GRS 6.1 0%

X Email retention has not been scheduled 0%

X Donotknow 0%

X Other, please explain 0%

Total XNo 0%

X Donotknow 0%

X To some extent 0%

Total 103.. Is your agency able to prevent una_utho~ized access, modification; or destruction of el)'lails? . * . .

• 100%

0%

X Donotknow 0%

X To some extent 0%

Total

• 104. Can your agency transfer permanent email records to the National Archives in accordance with agency records schedules or General Records Schedules and NARA .

• regulations and guidance? .

• xves 100%

XNo 0%

X Donotknow 0%

X To some extent 0%

Total xves XNo 0%

X Donotknow 0%

Total 106. Does ;,our agency have an approved records -~chedule covering electronic messages including text messages, chat/instant messages, voice messages, and messages

• .created in social media tools or applications that meet the definition of a Federal record?

xves 100%

XNo 0%

X Donotknow 0%

X No, pending final approval 0%

t X No, under development 0%

Total

107, Does your agency have documented and approved policies and procedures in place to manaie electronic messages. including text messages, chaUinstant messages, voice messages, and messages created in social media tools or applications? .

-.= -j - - A,ri5'wot- .: -.-_ ~ ~:,:% _,."'., _ :*_-=.

~ =

• ccr_-- -::": ~ ~ -~ _ -

• 11Bar - *= -- * , f', : . r""~ - Ros~h;o ~ "] . i -~ :_:-.-

xves 1 100%

XNo 0 0%

X Donotknow 0 0%

.4 X Other, please explain 0 0%

X No, pending final approval 0 0%

X No, under development 0 0%

Total

~*::til*il,il*iiMl+lululi,IM#MiifMHMiiiiM,Hfii.Nliiim:::::::::-,

xves 100%

XNo 0%

X Do not know 0%

Total X Please enter dollar amount (without the$ sign): 100%

X Donotknow 0%

X Prefer notto answer 0%

X Not appllcable, all records management staff are contractors 0%

Total X Please enter dollar amount (without the$ sign): 100%

)( Oonot~ow 0%

X Prefer not to answer 0%

Total X Please enter dollar amount (without the $ sign): 100%

X Doriotknow 0%

X Prefer not to answer 0%

Total 950,000

*::,-* **li&i:M_+i*§@j.jiiij*'.*_ii.+_*_n'*'*.j,."..;;...".'...*.'*.;,4*

[A:..,.,. * *~~ .*... ** Jn*".. . I:.. *:R**~~'c.... - J  % ** :.*]

X Please enter dollar amount (without the $ sign): 100%

X Donotknow 0%

X Prefer not to answer 0%

Total 0.00

2 )( Do not know 0 0%

3  : X Prefer not to answer 0 0%

----------------'----------*------1 Total

'. X Please enter dollar amount (without the$ sign): 0 0%

2 X Do not know 0 0%

3  : X Prefer not to answer 0 0%

4 X Not applicable 0 0%

5 .X Please enter additional category here: (Please be specific) 0 0%

X 500,000 or more FTEs 0 0%

2 X 100,000 ~ 499,999 FTEs 0 0%

3 ;X 10,000 - 99,999 FTEs 0 0%

4 X 1,000 - 9,999 FTEs 100%

5

• X 100-999FTEs 0 0%

i 6 X 1. -99 FTEs 0 0%'

7 )( NotAvailable 0 0%

Total 2 X Office of the General Counsel 100%

3 ;X Program Managers 0 0%

4 X FOIAOfficer 100%

5 ;X Information Technology staff 100%

6 X Records Liaison Officers or similar 100%

7 X Administrative staff 0 0%

8 X Other, please be specific: 0 0%

9  : X None 0 0%

. X Under 3 hours3.472222e-5 days <br />8.333333e-4 hours <br />4.960317e-6 weeks <br />1.1415e-6 months <br /> 0 0%

2 X 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 /> 0 0%

3 X 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 /> 100%

4 X Over 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 0 0%

Total

---

*

'X Do not know 0%

Total

• Total

I Mean Score i 96.00

!

Score Standard Deviation . o.oo Weighted Mean of Items 1 o.73 Weighted Standard Deviation of Items 1.27

'1 Items l. 132.00

___ .--