3/1712021 2020 Records Management Self-Assessment 

2020 Records Management Self-Assessment 

Thank you for completing the 2020 Records Management SelfAssessment! 

Please DOWNLOAD this page by right clicking anywhere on this screen 

and selecting Print. This will be the only opportunity you have to make a 

PDF of this score report. 

[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.] 

82.0% 

Q1. Is there a person in your agency who is responsible for coordinating and 

overseeing the implementation of the records management program? (36 CFR 3/3

1220.34(a)) 

Yes 

No 

Do not know 

Q2. Please provide the person's name, position title, and office. 0/0 

Crystal Zeh, Records Management Officer, Legal Division, Secretariat and 

Information Management Branch 

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Q3. Does your agency have a Senior Agency Official for Records Management 

(SAORM)? (For components of a department this is most likely at the department 0/0

level, and you may answer "Yes," even if this is not being done at the component 

level.) 

Yes 

No 

Do not know 

Q4. Does your Agency Records Officer meet regularly (four or more times a year) 0/0

with the SAORM to discuss the agency records management program's goals? (For 

components of a department, this is most likely at the department level.) 

Yes 

No 

Do not know 

Q5. Does your agency have a network of designated employees within each 

program and administrative area who are assigned records management 3/3

responsibilities? These individuals are often called Records Liaison Officers 

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

Yes 

No 

Do not know 

Not applicable, agency has less than 100 employees 

Not applicable, Departmental Records Officer - this is done at the component level 

Q6. In addition to your agency's established records management policies and 

records schedules, has your agency's 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., NARA's 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 

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• Regular review of records inventories 

• Internal tracking database of permanent record authorities and dates 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q7. In addition to your agency's 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., NARA's 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 

QB. In addition to your agency's records management policies and records 0/0

schedules, has your agency developed and implemented internal controls to ensure 

that all permanent records are created/captured, classified, filed and managed 

according to their NARA-approved records schedules? (36 CFR 1220.34(1)) 

Yes 

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No 

To some extent 

Do not know 

Q9. Has your agency established performance goals for its records management 

program? 3/3 

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

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

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

DATE 

• Planning and piloting an electronic records management solution for email by the 

end of DATE 

• Updating records management policies by the end of the year 

• Conducting records management evaluations of at least one program area each 

quarter 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q10. Has your agency's records management program identified performance 

measures for records management activities such as training, records scheduling, 3/3 

permanent records transfers, etc.? 

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

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

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

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

• Percentage of records scheduled 

• Percentage of offices evaluated/inspected for records management compliance 

• Percentage of email management auto-classification rates 

• Development of new records management training modules 

• Audits of internal systems 

• Annual updates of file plans 

• Performance testing for email applications to ensure records are captured 

• Percentage of records successfully retrieved by Agency FOIA Officer in response to 

FOIA requests 

Yes 

No 

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Pending final approval 

Currently under development 

Do not know 

Q11. Does your agency evaluate, by conducting inspections/audits/reviews, its 

records management program to ensure that it is efficient, effective, and compliant 0/3

with all applicable records management laws and regulations? (36 CFR 1220.340)) 

**For this question, your agency's 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 agency's electronic 

records) must be the primary focus of the inspection/audit/review. 

Yes, evaluations are conducted by the Records Management Program 

Yes, evaluations are conducted by the Office of Inspector General 

Yes, evaluations are conducted by the Records Management Program AND the Office 

of Inspector General 

Yes, evaluations are conducted by: 

No, please explain 

Do not know 

Q12. How often does your agency conduct formal evaluations of a major 

component of your agency (i.e., programs or offices)? 1/3 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q13. Was a formal report written and subsequent plans of corrective action created 

and monitored for implementation as part of the most recent 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 

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Do not know 

Not applicable, agency does not evaluate its records management program 

Not applicable, agency has less than 100 employees 

Q14. Does your agency have internal records management training*, based on 

ggency_Rolicies and directives, for employees assigned records management 3/3

responsibilities? (36 CFR 1220,34(1)) 

*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. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Not applicable, please explain 

Q15. Has your agency developed mandatory internal, staff-wide, formal training*, 

based on agency_Rolicy: 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(1)) 

*Includes NARA's records management training workshops that were customized 

specifically for your agency or use of an ggency:-customized version of the Federal 

Records Officer Network (FRON) RM 101 course. 

**Components of departmental agencies may answer "Yes" if this is handled by the 

department. Department Records Officers may answer "Yes" if this is handled at the 

component level. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

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Q16. Does your agency reguire 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(1)) 

Yes 

No 

Do not know 

Q17. Does your agency conduct and document for accountability purposes training 3/3

and/or other briefings as part of the on-boarding process for senior officials on 

their records management roles and responsibilities, including the appropriate 

disposition of records and the use of personal and unofficial email accounts? (36 CFR 

1222.24(a)(6) and 36 CFR 1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q18. Is the Agency Records Officer and/or Senior Agency Official for Records 

Management involved in on-boarding briefings or other processes for newly 0/0

appointed senior officials? 

Yes 

No, please explain 

Do not know 

Q19. Does your agency conduct and document for accountability purposes exit 3/3

briefings for departing senior officials on the appropriate disposition of the records, 

including email, under their immediate control? (36 CFR 1222.24(a)(6) and 36 CFR 

1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

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Q20. Is the Agency Records Officer and/or Senior Agency Official for Records 

Management involved in exit briefings or other exit clearance processes for 0/0

departing senior officials? 

Yes 

No 

Do not know 

Q21. Does the exit or separation process for departing senior officials include 

records management program staff or other designated official(s) reviewing and 0/0 

approving the removal of personal papers and copies of records by those senior 

officials? (36 CFR 1222.24(a)(6)) 

Yes 

No, please explain 

Do not know 

Q22. Please add any additional comments about your agency for Section I. 

(Optional) 0/0 

Q23. 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 

Q24. When was your agency's directive(s) last reviewed and/or revised to ensure it 

includes all new records management policy issuances and guidance? 0/3 

FY 2020 - present 

FY 2018 -2019 

FY 2016 -2017 

FY 2015 or earlier 

Do not know 

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Not applicable, agency does not have a records management directive 

Q25. Does your agency's records management program have documented and 

approved policies and procedures that instruct staff on how your agency's 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 

Q26. Does your agency have documented and approved policies against 

unauthorized use, alteration, alienation or deletion of all electronic records? 0/0 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q27. Does your agency have documented and approved policies for cloud service 

use that includes recordkeeping requirements and handling of Federal records? 0/0 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q28. Does your agency have documented and approved policies and procedures in 3/3

place to manage email records that have a retention period longer than 180 days? 

(36 CFR 1236.22) 

Yes 

No, pending final approval 

No, under development 

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No, please explain 

Do not know 

Q29. Does your agency have documented and approved policies and procedures to 1 /3 

implement the guidelines for the transfer of permanent email records to NARA 

described in NARA Bulletin 2014-04: Revised Format Guidance for the Transfer of 

Permanent Electronic Records - Appendix A: Tables of File Formats, Section 9 - Email? 

(36 CFR 1236.22(e)) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q30. Does your agency have documented and approved policies that address when 2/3

employees have more than one agency-administered email account, whether or not 

allowed, that states that email records must be preserved in an appropriate agency 

recordkeeping system? (36 CFR 1236.22) 

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

• Using separate accounts for public and internal correspondence 

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

• Using separate accounts for classified information and unclassified information 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q31. Does your agency have documented and approved policies that address the 

use of personal email accounts, whether or not allowed, that state that all emails 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 

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No 

No, pending final approval 

No, under development 

Do not know 

Q32. Does your agency evaluate, monitor, or audit staff compliance with the 

agency's email preservation policies? (36 CFR 1220.18) 0/2 

Yes 

No 

Do not know 

Q33, Please add any additional comments about your agency for Section IL 

(Optional) 0/0 

Q34. Has your agency incorporated and/or integrated internal controls to ensure the2/3 

reliability, authenticity, integrity, and usability of agency electronic records 

maintained in electronic information systems? (36 CFR 1236.10) 

Yes 

To some extent 

No 

Do not know 

Not applicable, please explain 

Q35. Does your agency maintain an inventory of electronic information systems 

that indicates whether or not each system is covered by an approved NARA 3/3

disposition authority? (36 CFR 1236.26(a)) 

Yes 

No, please explain 

Do not know 

Q36. Does your agency have a digitization strategy to reformat permanent records 

created in hard copy or other analog formats (e.g., microfiche, microfilm, analog 0/0

video, and analog audio)? 

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Yes 

To some extent 

No 

Do not know 

Q37. Does your agency's email system(s) retain the intelligent full names on 

directories or distribution lists to ensure identification of the sender and 3/3

addressee(s) for those email messages that are Federal records? (36 CFR 

1236.22(a)(3)) 

Yes 

No 

Do not know 

Q38. Whal method(s) does your agency employ to capture and manage email 

records? (Choose all that apply) 0/0 

Captured and stored in an email archiving system 

Captured and stored in an electronic records management system 

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

Captured and stored using cloud services with records management included 

Captured and stored using cloud services but records management IS NOT included 

Print and file 

Not captured and email is managed by the end-user in the native system 

Other, please be specific: 

Q39. What new method(s) to create and maintain data are being explored and/or 

employed by your agency that will impact records management? (Choose all that 0/0 

apply) 

(For more information on these topics see: https://www.archives.gov/files/recordsmgmt/policy/nara-cognilive-technologies-whilepaper.pdf,) 

Smart devices 

Sensors that collect and transmit data 

Geographic Information Systems 

Robotic Process Automation 

Software Robot or Bot 

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Supervised Machine Learning 

Unsupervised Machine Learning 

Reinforced Machine Learning 

Standard Artificial Intelligence 

Open-source Artificial Intelligence 

Auto-classification 

Other, please be specific: 

My agency is not exploring and/or employing new methods 

Q40. Please add any additional comments about your agency for Section Ill. 

(Optional) 0/0 

Q41. Has the COVID-19 pandemic disrupted your agency's ability to access 

records? 0/0 

Yes 

No 

Do not know 

Q42. Please provide details on the impact of the COVID-19 pandemic and what your 0/0 

agency has done to mitigate the circumstances. 

There have been some circumstances where access to archived paper records 

was not possible. In an effort to respond, staff searched for electronic equivalents. 

If paper records are responsive, but inaccessible due to the pandemic, we notify 

the requester that the portion of the request that involves paper records cannot be 

completed until the office is open again. 

Q43. 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 "Yes" if this is handled by the 

department. 

Yes 

No 

Do not know 

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Q44. How often does your agency review and update its vital records inventory? (36 3/3

CFR 1223.14) 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Never 

Do not know 

Q45. Is your vital records plan part of the Continuity of Operations (COOP) plan? 3/3 

Yes 

No 

Do not know 

Q46. Are records and information in your agency easily retrievable and accessible 

when needed for agency business? (36 CFR 1220.32(c)) 2/3 

All records are easily retrieved and accessed when needed 

Most records can be retrieved and accessed in a timely manner 

Some records can be retrieved and accessed in a timely manner 

No 

Do not know 

Q47. Does your agency ensure that records management functionality, including 3/3

the capture, retrieval, and retention of records according to agency business needs 

and NARA-approved records schedules, is incorporated into the design, 

development, and implementation of its electronic information systems? (36 CFR 1236.12) 

*Components of departmental agencies may answer "Yes" if this is handled by the 

department. 

Yes 

No, please explain 

Do not know 

Not applicable, please explain 

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Q48. Does your agency have documented and approved procedures to enable the 

migration of records and associated metadata to new storage media or formats so 1/3

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 

Q49. Does your agency use e-Discovery tools to search for records when 

responding to FOIA and/or Legal Discovery? 

Yes 

No, please explain 

Do not know 

0/0 

Q50. For what purposes are e-Discovery tools used? (Choose all that apply) 

Managing legal holds 

Lawsuit-related requests 

FOIA responses involving requests for email records 

FOIA responses NOT involving requests for email records 

Legal discovery or third-party subpoena requests 

De-duplication of records in responding to requests 

Congressional requests 

Internal research for or by staff 

Knowledge management 

0/0 

Q52. Has the COVID-19 pandemic disrupted your agency's ability to respond to 

FOIA requests? 0/0 

Yes 

No 

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Do not know 

Q53. Which of the following explains why FOIA has been impacted? (Choose all that0/0

apply) 

Paper records are inaccessible due to office closure 

FOIA case processing system is not available by remote access 

Electronic records are not accessible remotely 

Agency staff are not available to conduct searches 

Other, please be specific: 

Q54. Which of the following actions did your agency's FOIA program take in 

response to the COVID-19 pandemic? (Choose all that apply) (DOJ, "Guidance for 0/0

Agency FOIA Administration in Light of COVJD-19 Impacts," 

htlps://www.juslice.gov/oip/guidance-agency-foia-administration-light-covid-19-

impacts, updated May 28, 2020.) 

Worked directly with requesters to tailor their requests for most efficient 

processing 

Posted a notice on the FOIA website informing requesters of most efficient way 

to make a request 

Posted a notice on the FOIA website informing requesters of any anticipated 

delays 

Included information about any anticipated delays in requester communication, 

including acknowledgment letters 

Used multitrack processing to further triage requests that could be processed more 

efficiently remotely 

Posted additional proactive disclosures for high public interest topics related to the 

COVID-19 pandemic 

Assessed technology to ensure most efficient administration of FOIA 

Other, please explain 

Q55. Which of the following describes the working relationship between the Agency 0/0

Records Officer and the Chief FOIA Officer? (Choose all that apply) 

Work together on Information Technology (IT) requirements that benefit both 

programs 

Coordinate search terms to identify responsive records 

Identify programs or offices most likely to have responsive records 

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Work together on high-profile or complex FOIA requests 

Provide training on records management and FOIA to each other's staff 

Training programs include the importance and relationship between FOIA and 

records management 

Other, please explain 

None of the above 

Q56. Please add any additional comments about your agency for Section IV. 

(Optional) 0/0

Q57. When was the last time your agency submitted a records schedule to NARA 

for approval? (36 CFR 1225.10) 0/0 

FY 2019 - 2020 

FY 2017 -2018 

FY 2015 -2016 

FY 2013 -2014 

FY 2012 or earlier 

Do not know 

Q58. Does your agency periodically review agency-specific records schedules to 

ensure they still meet business needs, to identify gaps that may indicate 0/0

unscheduled records, or to make needed revisions? 

Note: An agency-specific records schedule means it covers items that are not covered by 

the General Records Schedules (GRS). 

Yes 

No 

Do not know 

Q59. Does your agency have agency-specific records schedules currently in use 

that include items approved before January 1, 1990? 0/0

Yes 

No 

Do not know 

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Q61. 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 

Q62. Does your agency disseminate every approved disposition authority 

(including newly approved records schedules and General Records Schedule 2/2

items) to agency staff within six months of approval? (36 CFR 1226.12(a)) 

Yes 

No 

Do not know 

Q63. Which of the following describes the disposition authority for email records 

being used by your agency? (Choose all that apply) 0/0 

GRS 6.1: Email Managed under a Capstone Approach; agency has an approved 

form NA-1005 

GRS 6.1: Email Managed under a Capstone Approach; agency does not have an 

approved form NA-1005 

Agency-specific email schedule 

Traditional records management (i.e., retention based on content, usually applied on 

an email-by-email basis, utilizing multiple NARA-approved disposition authorities) 

Email retention method has not been decided/scheduled by agency 

Do not know 

Other, please explain 

Q64. Does the current NARA-approved form NA-1005 or agency-specific email 

schedule adequately reflect your existing organizational structure? 0/0 

Yes 

To some extent 

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No 

Do not know 

Q65. Why does the email schedule not adequately reflect, or only to some extent 

reflect, your existing organizational structure? (Choose all that apply) 0/0

Agency-wide reorganization has taken place 

New positions that meet the criteria for permanent disposition need to be added 

Positions need to be removed because they have been removed from the organization 

Positions need to be removed because they no longer meet the criteria for 

permanent disposition 

Position title(s) need to be updated or changed 

Number of email accounts for a specific posilion(s) needs to be updated or 

changed 

Scope statements are inaccurate, or need to be changed 

Other, please explain 

Q66. Does your agency track changes in Capstone accounts to ensure they are 

accurate and complete? 0/0

Yes 

To some extent 

No 

Do not know 

Q67. Please explain how your agency tracks changes to Capstone accounts. (Be 

specific) 0/0 

The Records Management Office tracks the senior staff level roles through 

agency-wide announcements. If there are changes to those roles we provide the 

appropriate briefing based on the new or reassigned position. We work closely with 

the Forensics and e-Law teams to ensure we capture email of our senior officials as 

they vacate positions. 

Q68. Did your agency transfer permanent non-electronic records to NARA during 

FY 2020? (36 CFR 1235.12) 3/3 

Yes 

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No 

No -Transfers were impacted by the COVID-19 pandemic 

No - No records were eligible for transfer during FY 2020 

No - New agency, records are not yet old enough to transfer 

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

Do not know 

Other, please explain 

Q69. Did your agency transfer permanent electronic records to NARA during FY 

2020? (36 CFR 1235.12) 3/3 

Yes 

No 

No -Transfers were impacted by the COVID-19 pandemic 

No - No electronic records/systems were eligible for transfer during FY 2020 

No - New agency, electronic records/systems are not old enough to transfer 

No - My agency does not have any permanent electronic records 

Do not know 

Other, please explain 

Q70. Does your agency track when permanent records are eligible for transfer to 

NARA? 0/0 

Yes 

No 

No - My agency does not have any permanent records 

Do not know 

Q71. Please explain your response to the previous question. (If you answered 

"Yes," please be specific on methods used. If you answered "No," please explain 0/0

why not.) 

The Records Management Office is regularly in touch with most of the divisions 

and offices that hold permanent records, in both paper and electronic formats, and 

we are aware of the transfer dates. In 2016 the Records Management Office 

embarked on a project, which is almost completed, to send all of the agency's 

permanent paper records to the Washington National Records Center (WNRC). We 

are preparing the final few paper records for transfer to the WNRC. For the 

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3/1712021 2020 Records Management Self-Assessment 

electronic permanent records, we know which offices hold them. None are eligible 

for transfer at this time. The Records Management Office maintains a separate 

Capstone tracker to track the transfer dates for the agency's Capstone Senior 

Official account records. 

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

managed? 0/0

Yes 

No 

Do not know 

Q73. Did your agency take steps to capture and disposition web records in 

preparation for an administration change? 0/0 

Yes 

No 

Do not know 

Q74. Please explain your response to the previous question. (If you answered 

"Yes," please be specific on steps taken to capture, preserve, and prepare web 0/0 

records in preparation for an administration change. If you answered "No," please 

explain why not, including any challenges.) 

CFTC does not typically delete content from its website following a change in 

administration. There are small updates to names and positions, but the website is 

largely unchanged as a result of the change in administration. Some months after 

the change, new leadership may request a website redesign and then we would 

capture the structure and documents as appropriate. 

Q75. Does your agency store inactive temporary and/or permanent records in a 

commercial records storage facility? 0/0 

Yes 

No 

Do not know 

Q76. Has the facility been approved by NARA? (36 CFR 1234.30(a)(2)&(e)) 0/0 

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3/17/2021 2020 Records Management Self-Assessment 

Yes 

No 

Do not know 

Q77. Does your agency store inactive temporary and/or permanent records in an 

agency-operated records center? (Note: This does NOT include agency staging 0/0 

areas and temporary holding areas.) 

Yes 

No 

Do not know 

Q81. Please add any additional comments about your agency for Section V. 

(Optional) 0/0

Q82. How many full-time equivalents (FTE) are in your agency/organization? 0/0 

500,000 or more FTEs 

100,000- 499,999 FTEs 

10,000 - 99,999 FTEs 

1,000 - 9,999 FTEs 

100 - 999 FTEs 

1-99 FTEs 

Not Available 

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

RM program? (Choose all that apply) 0/0 

Chief Information Officer 

Chief Financial Officer 

Chief Management Officer 

Chief Data Officer 

Office of the General Counsel 

FOIA Ofiicer 

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3/17/2021 2020 Records Management Self-Assessment 

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

Program Managers and/or Supervisors 

Other, please explain 

Q84, Whal 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 

Program Managers 

FOIA Officer 

Information Technology staff 

Records Liaison Officers or similar 

Administrative staff 

Other, please be specific: 

None 

QBS. How much time did it take you to gather the information to complete this selfassessment? 0/0

Under 3 hours 

More than 3 hours but less than 6 hours 

More than 6 hours but less than 10 hours 

Over 10 hours 

Q86. Did your agency's senior management review and concur with your responses 0/0

to the 2020 Records Management Self-Assessment? 

Yes 

No 

Do not know 

Q87. Are you the Agency Records Officer? 0/0 

Yes 

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3/1712021 2020 Records Management Self-Assessment 

No 

Q89. Does your agency use your Records Management Self-Assessment scores to 

measure the effectiveness of the records management program? 0/0 

Yes 

No 

Do not know 

Comments (Optional): (Please include in your comments how you use the Records 

Management Self-Assessment.) 

Q90. Do you have any suggestions for improving the Records Management SelfAssessment next year? 0/0 

National Archives and Records Administration 

Powered by Qualtrics C 

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2021 Records Management Self-Assessment 

Thank you for completing the 2021 Records Management SelfAssessment! 

Please DOWNLOAD this page by right clicking anywhere on this screen 

and selecting Print. This will be the only opportunity you have to make a 

PDF of this score report. 

[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.] 

84.0% 

Q1. Is there a person in your agency who is responsible for coordinating and 

overseeing the implementation of the records management program? (36 CFR 

1220.34(a)) 

Yes 

No 

Do not know 

Q2. Please provide the person's name, position title, and office. 

Crystal Zeh, Records Management Officer, Secretariat and Information 

Management Branch, Legal Division 

3/3 

0/0 
Q3. Does your agency have a Senior Agency Official for Records Management 

(SAORM)? (For components of a department this is most likely at the department 0/0 

level, and you may answer "Yes," even if this is not being done at the component 

level.) 

Yes 

No 

Do not know 

Not applicable, not an Executive Branch Agency 

Q4. Does your Agency Records Officer meet regularly (four or more limes a year) 0/0

with the SAORM to discuss the agency records management program's goals? (For 

components of a department, this is most likely at the department level.) 

Yes 

No 

Do not know 

Q5. Does your agency have a network of designated employees within each 

program and administrative area who are assigned records management 3/3 

responsibilities? These individuals are often called Records Liaison Officers 

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

Yes 

No 

Do not know 

Not applicable, agency has less than 100 employees 

Not applicable, Departmental Records Officer - this is done at the component level 

Q6. In addition to your agency's established records management policies and 

records schedules, has your agency's 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., NARA's Federal Records Centers) or other organizations should not be 

considered when responding to this question. 
*Examples of records management internal controls include but are not limited to: 

• Regular briefings and other meetings with records creators 

• Monitoring and testing of file plans 

• Regular review of records inventories 

• Internal tracking database of permanent record authorities and dates 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q7. In addition to your agency's 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,, NARA's 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 

QB. In addition to your agency's records management policies and records 0/0

schedules, has your agency developed and implemented internal controls to ensure 
that all permanent records are created/captured, classified, filed and managed according 

to their NARA-approved records schedules? (36 CFR 1220.34(i)) 

Yes 

No 

To some extent 

Do not know 

Q9. Has your agency established performance goals for its records management 

program? 3/3 

*Examples of pertormance goals include but are not limited to: 

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

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

DATE 

• Planning and piloting an electronic records management solution for email by the 

end of DATE 

• Updating records management policies by the end of the year 

• Conducting records management evaluations of at least one program area each 

quarter 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q10. Has your agency's records management program identified performance 

measures for records management activities such as training, records scheduling, 3/3 

permanent records transfers, etc.? 

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

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

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

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

• Percentage of records scheduled 

• Percentage of offices evaluated/inspected for records management compliance 

• Percentage of email management auto-classification rates 

• Development of new records management training modules 

• Audits of internal systems 

• Annual updates of file plans 

• Performance testing for email applications to ensure records are captured 

• Percentage of records successfully retrieved by Agency FOIA Officer in response to 

FOIA requests 
Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q11. Does your agency evaluate, by conducting inspections/audits/reviews, its 

records management program to ensure that it is efficient, effective, and compliant 0/3

with all applicable records management laws and regulations? (36 CFR 1220.340)) 

**For this question, your agency's 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 agency's electronic 

records) must be the primary focus of the inspection/audit/review. 

Yes, evaluations are conducted by the Records Management Program 

Yes, evaluations are conducted by the Office of Inspector General 

Yes. evaluations are conducted by the Records Management Program AND the Office 

of Inspector General 

Yes, evaluations are conducted by: 

No, please explain 

Do not know 

Q12. How often does your agency conduct formal evaluations of a major 

component of your agency (i.e., programs or offices)? 1/3 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q13. Was a formal report written and subsequent plans of corrective action created 

and monitored for implementation as part of the most recent 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 

Do not know 

Not applicable, agency does not evaluate its records management program 

Not applicable, agency has less than 100 employees 

Q14, Has your Agency Records Officer obtained NARA's Certificate of Federal 

Records Management Training or the Agency Records Officer Credential (AROC)? 0/0 

Yes, NARA's Certificate of Federal Records Management Training 

Yes, NARA's Agency Records Officer Credential 

In Progress 

No 

Do not know 

Q15. Does your agency have internal records management training*, based on 

ggency_golicies and directives, for employees assigned records management 3/3

responsibilities? (36 CFR 1220.34(1)) 

*Includes NARA's records management training workshops that were customized 

specifically for your agency or use of an ggency-customized version of the Federal 

Records Officer Network (FRON) RM 101 course. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q16. Has your agency developed mandatory internal, staff-wide, formal training*, 

based on agency_golicy 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(1)) 

*Includes NARA's records management training workshops that were customized 

specifically for your agency or use of an ggency-customized version of the Federal 

Records Officer Network (FRON) RM 101 course. 
**Components of departmental agencies may answer "Yes" if this is handled by the 

department. Department Records Officers may answer "Yes" if this is handled at the 

component level. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q17. Does your agency ret1uire that all senior and appointed officials, including 

those incoming and newly promoted, receive training on the importance of 

appropriately managing records under their immediate control? (36 CFR 1220.34(f)) 

Yes 

No 

Do not know 

3/3 

Q18. Does your agency conduct and document for accountability purposes training 3/3 

and/or other briefings as part of the on-boarding process for senior officials on 

their records management roles and responsibilities, including the appropriate 

disposition of records and the use of personal and unofficial email accounts? (36 CFR 

1222.24(a)(6) and 36 CFR 1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q19, Is the Agency Records Officer and/or Senior Agency Official for Records 

Management involved in on-boarding briefings or other processes for newly 

appointed senior officials? 

Yes 

No, please explain 

Do not know 

0/0 
Q20. Does your agency conduct and document for accountability purposes exit 3/3

briefings for departing senior officials on the appropriate disposition of the records, 

including email, under their immediate control? (36 CFR 1222.24(a)(6) and 36 CFR 

1230.10(a & bl) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q21. Is the Agency Records Officer and/or Senior Agency Official for Records 

Management involved in exit briefings or other exit clearance processes for 

departing senior officials? 

Yes 

No 

Do not know 

Q22. Does the exit or separation process for departing senior officials include 

records management program staff or other designated official(s) reviewing and 

approving the removal of personal papers and copies of records by those senior 

officials? (36 CFR 1222.24(a)(6)) 

Yes 

No, please explain 

Do not know 

Q23. Which of the following stakeholders significantly impact and/or support your 

RM program? (Choose all that apply) 

Chief Information Officer 

Chief Financial Officer 

Chief Management Officer 

Chief Data Officer 

Office of the General Counsel 

FOIA Officer 

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

0/0 

0/0 

0/0 
Program Managers and/or Supervisors 

Other, please explain 

Q24. Please add any additional comments about your agency for Section I. 

(Optional) 0/0 

Q25. 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 

Q26. When was your agency's directive(s) last reviewed and/or revised to ensure it 

includes all new records management policy issuances and guidance? 0/3 

FY 2021 - present 

FY 2019 - 2020 

FY 2017 -2018 

FY 2016 or earlier 

Do not know 

Not applicable, agency does not have a records management directive 

Q27. Does your agency's records management program have documented and 

approved policies and procedures that instruct staff on how your agency's 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 
Q28. Does your agency have documented and approved policies against 

unauthorized use, alteration, alienation or deletion of all electronic records? 0/0 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q29. Does your agency have documented and approved policies for cloud service 

use that includes recordkeeping requirements and handling of federal records? 0/0 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q30. Does your agency have documented and approved policies and procedures in 3/3 

place to manage email records that have a retention period longer than 180 days? 

(36 CFR 1236.22) 

Yes 

No, pending final approval 

No, under development 

No, please explain 

Do not know 

Q31. Does your agency have documented and approved policies and procedures to 1 /3 

implement the guidelines for the transfer of permanent email records to NARA 

described in NARA Bulletin 2014-04: Revised Format Guidance for the Transfer of 

Permanent Electronic Records - Appendix A: Tables of File Formats, Section 9 - Email? 

(36 CFR 1236.22(e)) 

Yes 

No 

No, pending final approval 

No, under development 
Do not know 

Q32. Does your agency have documented and approved policies that address when 2/3

employees have more than one agency-administered email account, whether or not 

allowed, that states that email records must be preserved in an appropriate agency 

recordkeeping system? (36 CFR 1236.22) 

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

• Using separate accounts for public and internal correspondence 

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

• Using separate accounts for classified information and unclassified information 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q33. 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 

Do not know 

Q34. Does your agency evaluate, monitor, or audit staff compliance with the 

agency's email preservation policies? (36 CFR 1220.18) 

Yes 

No 

Do not know 

0/2 
Q35. Please add any additional comments about your agency for Section II. 

(Optional) 0/0 

Q36. Has your agency incorporated and/or integrated internal controls to ensure the3/3

reliability, authenticity, integrity, and usability of agency electronic records 

maintained in electronic information systems? (36 CFR 1236.10) 

Yes 

To some extent 

No 

Do not know 

Not applicable, please explain 

Q37. 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 

Q38. Does your agency have a digitization strategy to reformat permanent records 

created in hard copy or other analog formats (e.g., microfiche, microfilm, analog 0/0 

video, and analog audio)? 

Yes 

To some extent 

No 

Do not know 

Q39. Does your agency's email system(s) retain the intelligent full names in 

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 
0/0 Q40. What method(s) does your agency employ to capture and manage email 

records? (Choose all that apply) 

Captured and stored in an email archiving system 

Captured and stored in an electronic records management system 

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

Captured and stored using cloud services with records management included 

Captured and stored using cloud services but records management IS NOT included 

Print and file 

Not captured and email is managed by the end-user in the native system 

Other, please be specific: 

Q41. What new method(s) to create and maintain data are being explored and/or 

employed by your agency that will impact records management? (Choose all that 0/0 

apply) 

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

Smart devices 

Sensors that collect and transmit data 

Geographic Information Systems 

Robotic Process Automation 

Software Robot or Bot 

Supervised Machine Learning 

Unsupervised Machine Learning 

Reinforced Machine Learning 

Standard Artificial Intelligence 

Open-source Artificial Intelligence 

Auto-classification 

Other. please be specific: 

My agency is not exploring and/or employing new methods 

Q42. Please add any additional comments about your agency for Section Ill. 

(Optional) 0/0 
0/0 Q43. Has the COVID-19 pandemic disrupted your agency's ability to access 

records? 

Yes 

No 

Do not know 

Q44. Please provide details on the impact of the COVID-19 pandemic and what your 0/0 

agency has done to mitigate the circumstances. 

In the few circumstances where offices were relying on paper records, out of 

necessity, those offices needed to switch to electronic business processes and 

electronic records. In FY21, there were also still some instances in which access to 

legacy paper records stored in records centers was not immediately possible. 

Q45. 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 "Yes" if this is handled by the 

department. 

Yes 

No 

Do not know 

Q46. How often does your agency review and update its vital records inventory? (36 3/3 

CFR 1223.14) 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Never 

Do not know 

Q47. 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 

Q48. Are records and information in your agency easily retrievable and accessible 

when needed for agency business? (36 CFR 1220.32(c)) 2/3

All records are easily retrieved and accessed when needed 

Most records can be retrieved and accessed in a timely manner 

Some records can be retrieved and accessed in a timely manner 

No 

Do not know 

Q49. Does your agency ensure that records management functionality, including 3/3

the capture, retrieval, and retention of records according to agency business needs 

and NARA-approved records schedules, is incorporated into the design, 

development, and implementation of its electronic information systems? (36 CFR 1236.12) 

*Components of departmental agencies may answer "Yes" if this is handled by the 

department. 

Yes 

No, please explain 

Do not know 

Not applicable, please explain 

Q50. Does your agency have documented and approved procedures to enable the 

migration of records and associated metadata to new storage media or formats so 1/3

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 
Q51. Has the COVID-19 pandemic disrupted your agency's ability to respond to 

FOIA requests? 0/0 

Yes 

No 

Do not know 

Not applicable, Judicial Branch Agency/FOIA does not apply 

Q52. Which of the following explains why FOIA has been impacted? (Choose all that0/0 

apply) 

Paper records are inaccessible due to office closure 

FOIA case processing system is not available by remote access 

Electronic records are not accessible remotely 

Agency staff are not available to conduct searches 

Other, please be specific: 

Q53. Which of the following actions did your agency's FOIA program take in 

response to the COVID-19 pandemic? (Choose all that apply) ("Guidance for 0/0 

Agency FOIA Administration in Light of COVID-19 Impacts," DOJ, updated May 28, 

2020, https://www.justice.gov/oip/guidance-agency-foia-administration-light-covid-19-

impacts) 

Worked directly with requesters to tailor their requests for most efficient 

processing 

Posted a notice on the FOIA website informing requesters of most efficient way 

to make a request 

Posted a notice on the FOIA website informing requesters of any anticipated 

delays 

Included information about any anticipated delays in requester communication, 

including acknowledgment letters 

Used multitrack processing to further triage requests that could be processed more 

efficiently remotely 

Posted additional proactive disclosures for high public interest topics related to the 

COVID-19 pandemic 

Assessed technology to ensure most efficient administration of FOIA 

Other, please explain 

Not applicable, Judicial Branch Agency/FOIA does not apply 
Q54. Which of the following describes the working relationship between the Agency 0/0

Records Officer and the Chief FOIA Officer? (Choose all that apply) 

Work together on Information Technology (IT) requirements that benefit both 

programs 

Coordinate search terms to identify responsive records 

Identify programs or offices most likely to have responsive records 

Work together on high-profile or complex FOIA requests 

Provide training on records management and FOIA to each other's staff 

Training programs include the importance and relationship between FOIA and 

records management 

Other. please explain 

None of the above 

Not applicable. Agency Records Officer and the Chief FOIA Officer are the same 

person 

Not applicable. Judicial Branch Agency/FOIA does not apply 

Q55. Please add any additional comments about your agency for Section IV. 

(Optional) 0/0 

Q56. When was the last time your agency submitted a records schedule to NARA 

for approval? (36 CFR 1225.10) 0/0 

FY 2020 · 2021 

FY 2018 -2019 

FY 2016 -2017 

FY 2014 -2015 

FY 2013 or earlier 

Do not know 

Q57. Does your agency periodically review agency-specific records schedules to 

ensure they still meet business needs, to identify gaps that may indicate 

unscheduled records, or to make needed revisions? 

Note: An agency-specific records schedule means it covers items that are not covered by 

the General Records Schedules (GRS). 

Yes 

0/0 
No 

Do not know 

Q58. Does your agency have agency-specific records schedules currently in use 

that include items approved before January 1, 1990? 0/0 

Yes 

No 

Do not know 

Q60. Are records and information in your agency managed throughout the lifecycle 

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

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 

Q61. Does your agency disseminate every approved disposition authority 

(including newly approved records schedules and General Records Schedule 2/2

items) to agency staff within six months of approval? (36 CFR 1226.12(a)) 

Yes 

No 

Do not know 

Q62. 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 Managed under a Capstone Approach; agency has an approved 

form NA-1005 

GRS 6.1: Email Managed under a Capstone Approach; agency does not have an 

approved form NA-1005 

Agency-specific email schedule 

Traditional records management (i.e., retention based on content, usually applied on 

an email-by-email basis, utilizing multiple NARA-approved disposition authorities) 
Email retention method has not been decided/scheduled by agency 

Do not know 

Other, please explain 

Q63, Does the current NARA-approved form NA-1005 or agency-specific email 

schedule adequately reflect your existing organizational structure? 0/0 

Yes 

To some extent 

No 

Do not know 

Q65, Does your agency track changes in Capstone accounts to ensure they are 

accurate and complete? 0/0 

Yes 

To some extent 

No 

Do not know 

Q66, Please explain how your agency tracks changes to Capstone accounts. (Be 

specific) 0/0 

The Records Management Office tracks the Sr staff level roles through agencywide announcements. If there are changes to those roles we provide the 

appropriate briefing based on the new or reassigned position. We work closely with 

Forensics and e-Law teams to ensure we capture email of our Sr Officials as they 

vacate positions. 

Q67. Did your agency transfer permanent non-electronic records to NARA during 

FY 2021? (36 CFR 1235, 12) 3/3 

Yes 

No 

No - Transfers were impacted by the COVID-19 pandemic 

No - No records were eligible for transfer during FY 2021 

No - New agency, records are not yet old enough to transfer 
No - My agency does not have any permanent non-electronic records 

Do not know 

Other, please explain 

Q68, Did your agency transfer permanent electronic records to NARA during FY 

2021? (36 CFR 1235, 12) 3/3 

Yes 

No 

No - Transfers were impacted by the COVID-19 pandemic 

No. No electronic records/systems were eligible for transfer during FY 2021 

No - New agency, electronic records/systems are not old enough to transfer 

No - My agency does not have any permanent electronic records 

Do not know 

Other, please explain 

Q69. Does your agency ensure that all records on agency websites are properly 

managed? 0/0 

Yes 

No 

Do not know 

Q70. Does your agency store inactive temporary and/or permanent records in a 

commercial records storage facility? 0/0 

Yes 

No 

Do not know 

Q71, Has the facility been approved by NARA? (36 CFR 1234,30(a)(2)&(e)) 

Yes 

No 

Do not know 

0/0 
0/0 Q72. Does your agency store inactive temporary and/or permanent records in an 

agency-operated records center? (Note: This does NOT include agency staging 

areas and temporary holding areas.) 

Yes 

No 

Do not know 

Q76. Please add any additional comments about your agency for Section V. 

(Optional) 0/0 

Q77. How many full-time equivalents (FTE) are in your agency/organization? 0/0 

500,000 or more FTEs 

100,000- 499,999 FTEs 

10,000 - 99,999 FTEs 

1,000 - 9,999 FTEs 

100 - 999 FTEs 

1 - 99 FTEs 

Not Available 

Q78. 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 

Program Managers 

FOIA Officer 

Information Technology staff 

Records Liaison Officers or similar 

Administrative staff 

Other, please be specific: 

None 
0/0 Q79. How much time did ii take you to gather the information to complete this selfassessment? 

Under 3 hours 

More than 3 hours but less than 6 hours 

More than 6 hours but less than 10 hours 

Over 10 hours 

Q80. Did your agency's senior management review and concur with your responses 0/0 

to the 2021 Records Management Self-Assessment? 

Yes 

No 

Do not know 

Q81. Are you the Agency Records Officer? 0/0 

Yes 

No 

Q83. Does your agency use your Records Management Self-Assessment scores to 

measure the effectiveness of the records management program? 0/0

Yes 

No 

Do not know 

Comments (Optional): (Please include in your comments how you use the Records 

Management Self-Assessment.) 

Q84. Do you have any suggestions for improving the Records Management SelfAssessment next year? 0/0

National Archives and Records Administration 
Powered by Qualtrics L:'.: 
2022 Records Management Self-Assessment 

Thank you for completing the 2022 Records Management SelfAssessment! 

Please DOWNLOAD this page by right clicking anywhere on this screen 

and selecting Print. This will be the only opportunity you have to make a 

PDF of this score report. 

[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.] 

88.0% 

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) 

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

Department Records Officer) 

Yes 

Yes, but my agency has not formally notified NARA 

No, the position is currently vacant 

No 

Do not know 
02. Please provide the person's name, position title, and office. 0/0 

Crystal Zeh, Records Management Officer Secretariat and Information 

Mangement Branch, Office of the General Counsel 

Q3. Does your agency have a Senior Agency Official for Records Management 

(SAORM)? (For components of a department this is most likely at the department 0/0 

level, and you may answer "Yes," even if this is not being done at the component 

level.) 

Yes 

Yes, but my agency has not formally notified NARA 

No, the position is currently vacant 

No 

Do not know 

Not applicable, not an Executive Branch Agency 

Q4. Does your Agency Records Officer meet regularly (four or more times a year) 0/0

with the SAORM to discuss the agency records management program's goals? (For 

components of a department, this is most likely at the department level.) 

Yes 

No 

Do not know 

Not applicable, my agency does not currently have a designated Agency Records 

Officer 

Q5. 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 Officer - this is done at the component level 
Q6. In addition to your agency's established records management policies and 

records schedules, has your agency's 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., NARA's Federal Records Centers) or other organizations should not be 

considered when responding to this question. 

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

• Regular briefings and other meetings with records creators 

• Monitoring and testing of file plans 

• Regular review of records inventories 

• Internal tracking database of permanent record authorities and dates 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

07. In addition to your agency's 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., NARA's 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 

• Pertormance 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 

QB. In addition to your agency's records management policies and records 0/0

schedules, has your agency developed and implemented internal controls to ensure 

that all permanent records are created/captured, classified, filed and managed 

according to their NARA-approved records schedules? (36 CFR 1220.34(i)) 

Yes 

No 

To some extent 

Do not know 

Q9. Has your agency established performance goals for its records management 

program? (36 CFR 1222.26(e) and 0MB 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 DATE 

• Updating records management policies by the end of the year 

• Conducting records management evaluations of at least one program area each 

quarter 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q10. Has your agency's 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 0MB Circulars A-123 and A130) 

*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 

• Pertormance testing for email applications to ensure records are captured 

• Percentage of records successfully retrieved by Agency FOIA Officer in response to 

FOIA requests 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q11. Does your agency evaluate, by conducting inspections/audits/reviews, its 

records management program to ensure that ii is efficient, effective, and compliant 0/3

with all applicable records management laws and regulations? (36 CFR 1220.34(j)) 

**For this question, your agency's 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 agency's 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 

Q12. How often does your agency conduct formal evaluations of a major 

component of your agency (i.e., programs or offices)? (36 CFR 1220.34U)) 1/3 
Annually 

Biennially 

Once every 3 years 

Ad hoc 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q13. Was a formal report written and subsequent plans of corrective action created 

and monitored for implementation as part of the most recent 0/0 

inspection/audiUreview? (Choose all that apply) 

Yes, formal report was written 

Yes, plans of corrective action were created 

Yes, plans of corrective action were monitored for implementation 

No 

Do not know 

Not applicable, agency does not evaluate its records management program 

Not applicable, agency has less than 100 employees 

Q14. Has your Agency Records Officer obtained NARA's Certificate of Federal 

Records Management Training or the Agency Records Officer Credential (AROC)? 0/0

(NARA Bulletin 2019-02) 

Yes, NARA's Certificate of Federal Records Management Training 

Yes, NARA's Agency Records Officer Credential 

In Progress 

No 

Do not know 

Not applicable, my agency does not currently have a designated Agency Records 

Officer 

Q15. Does your agency have internal records management training*, based on 

f!gency_Rolicies and directives, for employees assigned records management 3/3

responsibilities? (36 CFR 1220.34(1)) 

'Includes NARA's records management training workshops that were customized 

specifically for your agency or use of an ;19ency-customized version of the Federal 

Records Officer Network (FRON) RM 101 course. 
Yes 

No 

No, pending final approval 

No, under development 

Do not know 

016. Has your agency developed mandatory internal, staff-wide, formal training', 

based on agency_Rolicy 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 record keeping responsibilities?** (36 CFR 

1220.34(1)) 

*Includes NARA's records management training workshops that were customized 

specifically for your agency or use of an ;19ency-customized version of the Federal 

Records Officer Network (FRON) RM 101 course. 

"Components of departmental agencies may answer "Yes" if this is handled by the 

department. Department Records Officers may answer "Yes" if this is handled at the 

component level. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q17. 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 onlx 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 
Q18. 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 is conducted in 

person by the Agency Records Officer (and/or Department Records Officer) 

General and other informational records management training is conducted in 

person by other records management staff (applies to staff whose primary duty is 

records management but are not the Department Records Officer or Agency 

Records Officer) 

General and other informational records management training is conducted by 

Records Liaison Officers or other staff assigned records management responsibilities as 

an added duty within each agency office, program, or organization 

Records management training by self-training in the form of job-aids, frequently 

asked questions, special topic fact sheets, or similar 

All of the above 

None of the above 

Do not know 

019. 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 office 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 

Al I of the above 

None of the above 

Do not know 

Q20. Does your agency reguire 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(1)) 
Yes 

No 

Do not know 

Q21. Does your agency conduct and document for accountability purposes training 3/3 

and/or other briefings as part of the on-boarding process for senior officials on 

their records management roles and responsibilities, including the appropriate 

disposition of records and the use of personal and unofficial email accounts? (36 CFR 

1222.24(a)(6) and 36 CFR 1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

022. Does your agency conduct and document for accountability purposes exit 3/3 

briefings for departing senior officials on the appropriate disposition of the records, 

including email, under their immediate control? (36 CFR 1222.24(a)(6) and 36 CFR 

1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q23. Does your agency routinely integrate language covering records management 0/0

obligations into contracts for services and products? 

(For more information see: https:/lwww.archives.gov/records-mgmtlpo/icylrecords-mgmt­

/anguage) 

Yes 

No 

Do not know 

Q24. Please add any additional comments about your agency for Section I. (Optional) 
0/0 

Q25. 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 

Q26. 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 0/3 

1220.34(c)) 

2022 - present 

2020 - 2021 

2018 -2019 

2017 or earlier 

Do not know 

Not applicable, agency does not have a records management directive 

027. Does your agency's records management program have documented and 

approved policies and procedures that instruct staff on how your agency's 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 

Q28. Does your agency have documented and approved policies against 

unauthorized use, alteration, alienation or deletion of all electronic (digital) 0/0 

records? 

Yes 
No 

No, pending final approval 

No, under development 

Do not know 

Q29. Does your agency have documented and approved policies and procedures in 3/3

place to manage email records that have a retention period longer than 180 days? 

(36 CFR 1236.22) 

Yes 

No, pending final approval 

No, under development 

No, please explain 

Do not know 

Q30. Does your agency have documented and approved policies and procedures to 3/3

implement the guidelines for the transfer of permanent email records to NARA 

described in NARA Bulletin 2014-04: Revised Format Guidance for the Transfer of 

Permanent Electronic Records - Appendix A: Tables of File Formats, Section 9 - Email? 

(36 CFR 1236.22(e)) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q31. Does your agency have documented and approved policies that address when 2/3

employees have more than one agency-administered email account, whether or not 

allowed, that states that email records must be preserved in an appropriate agency 

recordkeeping system? (36 CFR 1236.22) 

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

• Using separate accounts for public and internal correspondence 

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

• Using separate accounts for classified information and unclassified information 

Yes 

No 
No, pending final approval 

No, under development 

Do not know 

Q32. 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 

record keeping system and that a complete copy of all email records created and received 

by users of these accounts must be forwarded to an official electronic messaging account 

of the officer or employee no later than 20 days after the original creation or transmission 

of the record? (36 CFR 1236.22(b) and P.L. 113-187) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q33. Does your agency evaluate, monitor, or audit staff compliance with the 

agency's email preservation policies? (36 CFR 1220.18) 0/2 

Yes 

No 

Do not know 

Q34. Please add any additional comments about your agency for Section II. 

(Optional) 0/0 

Q35. Has your agency incorporated and/or integrated internal controls to ensure the3/3

reliability, authenticity, integrity, and usability of agency electronic (digital) records 

maintained in electronic information systems? (36 CFR 1236.10) 

Yes 

To some extent 

No 

Do not know 

Not applicable, please explain 
Q36. 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 

Q38. 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 

Q39. In preparation for the publication of the upcoming regulation with standards 

for digitizing permanent records, has your agency identified permanent series that 0/0 

will need to be digitized? 

Yes 

To some extent 

No 

No, but are working on plans to identify 

Do not know 

040. Does your agency have a digitization strategy to reformat permanent records 

created in hard copy or other analog formats (e.g., microfiche, microfilm, analog 0/0 

video, and analog audio)? 

Yes 

No 

No, but are working on the strategy 
Do not know 

Q41. Is your agency digitizing temporary records in order to designate the digitized 

version as the recordkeeping copy? (36 CFR 1236.30) 0/0

Yes 

No 

Do not know 

Q42. When digitizing temporary records, which of the following does the process 

include? (Choose all that apply) (36 CFR 1236.32) 0/0 

Capture all information contained in the original source records 

Include all the pages or parts from the original source records 

Ensure the agency can use the digitized versions for all the purposes the original 

source records serve, including the ability to attest to transactions and activities 

Protect against unauthorized deletions, additions, or alterations to the digitized 

versions 

Ensure the agency can locate, retrieve, access, and use the digitized versions for the 

entire retention period 

All of the above 

None of the above 

Do not know 

Q43. Does your agency's digitization process include procedures to validate and 0/0

retain documentation indicating that the digitized versions are of suitable quality to 

replace the original source records? (36 CFR 1236.34) 

Yes 

No 

Do not know 

044. 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 

Print and file 

Other, please be specific: 

Q47. Is your agency using or exploring cognitive technologies to identify records 

and distinguish between temporary and permanent retention? 0/0 

Note: Cognitive technologies generally describe automated technologies that can be 

applied to recordkeeping practices and procedures. These include Artificial Intelligence, 

Robotic Process Automation, Software Robot or Bot, and other machine learning 

technologies. 

Yes 

No 

Do not know 

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

(Optional) 

Q50. Has your agency identified the vital records of all its program and 

administrative areas? (36 CFR 1223.16) 

'Components of departmental agencies may answer "Yes" if this is handled by the 

department. 

Yes 

No 

Do not know 

0/0 

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

CFR 1223.14) 

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)) 2/3 

All records are easily retrieved and accessed when needed 

Most records can be retrieved and accessed in a timely manner 

Some records can be retrieved and accessed in a timely manner 

No 

Do not know 

Q54. Does your agency ensure that records management functionality, including 3/3

the capture, retrieval, and retention of records according to agency business needs 

and NARA-approved records schedules, is incorporated into the design, 

development, and implementation of its electronic information systems? (36 CFR 1236.12) 

'Components of departmental agencies may answer "Yes" if this is handled by the 

department. 

Yes 

No, please explain 

Do not know 
Not applicable, please explain 

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 ongoing COVID-19 pandemic still have on your 

agency's 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 

Q57. Which of the following describes the working relationship between the Agency 0/0

Records Officer and the Chief FOIA Officer? (Choose all that apply) 

Work together on Information Technology (IT) requirements that benefit both 

programs 

Coordinate search terms to identify responsive records 

Identify programs or offices most likely to have responsive records 

Work together on high-profile or complex FOIA requests 

Provide training on records management and FOIA to each other's staff 

Training programs include the importance and relationship between FOIA and 

records management 

Other, please explain 

None of the above 

Not applicable, Agency Records Officer and the Chief FOIA Officer are the same 

person 
Not applicable, my agency is exempt from FOIA 

Q58. Does your agency use e-Discovery tools to search for records when 

responding to FOIA and/or Legal Discovery? 0/0 

Yes 

No, please explain 

Do not know 

Not applicable, my agency is exempt from FOIA 

Q59. For what purposes are e-Discovery tools used? (Choose all that apply) 0/0 

Congressional requests 

De-duplication of records in responding to requests 

FOIA responses NOT involving requests for email records 

FOIA responses involving requests for email records 

Internal research for or by staff 

Knowledge management 

Lawsuit-related requests 

Legal discovery or third-party subpoena requests 

Managing legal holds 

None of the above 

Not applicable, my agency is exempt from FOIA 

Q61. How often are you proactively (Le,, 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 

Q62. Please add any additional comments about your agency for Section IV. 

(Optional) 0/0 

Q63. When was the last time your agency submitted a records schedule to NARA 

for approval? (36 CFR 1225.10) 0/0 

2021 • 2022 

2019 - 2020 

2017 -2018 

2015-2016 

2014 or earlier 

Do not know 

Q64. Are records and information in your agency managed throughout the lifecycle 

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

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 

Q65. Does your agency disseminate every approved disposition authority 

(including newly approved records schedules and General Records Schedule 2/2 

items) to agency staff within six months of approval? (36 CFR 1226.12(a)) 

Yes 

No 

Do not know 
0/0 Q66. Which of the following describes the disposition authority for email records 

being used by your agency? (Choose all that apply) 

GRS 6.1: Email Managed under a Capstone Approach; agency has an approved 

form NA-1005 

GRS 6.1: Email Managed under a Capstone Approach; agency does not have an 

approved form NA-1005 

Agency-specific email schedule 

Traditional records management (i.e .. retention based on content. usually applied on 

an email-by-email basis, utilizing multiple NARA-approved disposition authorities) 

Email retention method has not been decided/scheduled by agency 

Do not know 

Other, please explain 

Q67. Which of the following best describes your agency's response to the 

requirement to resubmit form NA-1005 in early 2023? 0/0 

•Note: Alf agencies using the GRS 6.1 are required to resubmit their form NA-1005 in early 

2023. (NARA Bulletin 2022-02) 

Agency is unaware of the requirement 

Agency is aware of the requirement but has not begun working on it 

Agency is prepared to resubmit form NA-1005 

Other, please explain 

Do not know 

Q68. 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 
Q69. Did your agency transfer permanent non-electronic (analog) records to NARA 

during 2022? (36 CFR 1235.12) 3/3 

Yes 

No 

No -Transfers were impacted by the COVID-19 pandemic 

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 2022 

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 

Q70. Did your agency transfer permanent electronic (digital) records to NARA 

during 2022? (36 CFR 1235.12) 3/3 

Yes 

No 

No -Transfers were impacted by the COVID-19 pandemic 

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 

2022 

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 

Q71. 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 

textual records 

Note: Detailed finding aids are required records management and archival fifecycle 

resources which ensure NARA can implement reference and retrieval procedures and 

controls on accessioned holdings. (https:l/www.archives.govlrecordsmgmtlaccessioninglfinding-aid.html} 
Yes 

No 

Do not know 

072. 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 2022 

Q73. Does your agency ensure that all records on agency websites are properly 

managed? 0/0 

Yes 

No 

Do not know 

Q7 4. Does your agency store inactive temporary and/or permanent records in a 

commercial records storage facility? 0/0 

Yes 

No 

Do not know 

Q75. Has the facility been approved by NARA? (36 CFR 1234.30(a)(2)&(e)) 0/0 

Yes 

No 

Do not know 
0/0 Q76. Does your agency store inactive temporary and/or permanent records in an 

agency-operated records center? (Note: This does NOT include agency staging 

areas and temporary holding areas.) 

Yes 

No 

Do not know 

Q80. Please add any additional comments about your agency for Section V. 

(Optional) 

Q81. How many full-time equivalents (FTE) are in your agency/organization? 

500,000 or more FTEs 

100,000 - 499,999 FTEs 

10,000 - 99,999 FTEs 

1,000 - 9,999 FTEs 

100 - 999 FTEs 

1 - 99 FTEs 

Not Available 

0/0 

0/0 

Q82. What other staff. offices, or program areas did you consult when you 

completed this self-assessment? (Choose all that apply) 

Senior Agency Official 

Office of the General Counsel 

Chief Data Officer 

Program Managers 

FOIA Officer 

Information Technology staff 

Records Liaison Officers or similar 

Administrative staff 

Other, please be specific: 

None 

0/0 
0/0 Q83. How much time did it take you to gather the information to complete this selfassessment? 

Under 3 hours 

More than 3 hours but less than 6 hours 

More than 6 hours but less than 10 hours 

Over 10 hours 

Q84. Did your agency's senior management review and concur with your responses 0/0

to the 2022 Records Management Self-Assessment? 

Yes 

No 

Do not know 

Q85. Are you the Agency Records Officer? 0/0 

Yes 

No 

Q88. Has the Agency Records Officer's designation been formally submitted to 

NARA as required by 36 CFR 1220.34(b) and NARA Bulletin 2017-02? 0/0 

Yes 

No 

Do not know 

Q89. Does your agency use your Records Management Self-Assessment scores to 

measure the effectiveness of the records management program? 0/0 

Yes 

No 

Do not know 

Comments (Optional): (Please include in your comments how you use the Records 

Management Self-Assessment.) 
0/0 Q90. Do you have any suggestions for improving the Records Management SelfAssessment next year? 

National Archives and Records Administration 

Powered by Qualtrics C 
2018 Records Management Self-Assessment Page I of 24 

Thank you for completing the 2018 Records Management Self-Assessment' If you 

have any questions about the self-assessment, please send an email to 

rmselfassessment@nara.gov. 

81/100 81.0% 

Q1. Is there a person in your agency who is responsible for coordinating 

and overseeing the implementation of the records management program? 3/3 

(36 CFR 1220.34(a)) 

Yes 

No 

Do not know 

Q2. 

Please provide the person's name, position title, and office. 0/0

Crystal Zeh, Records Management Officer, Office of the Executive 

Director/Executive Secretariat Branch 

g~~s your agency have a Senior Agency Official for Records Management 0/0

(SAORM)? (If you are a component of a department, you may answer 

"Yes," even if this is not being done at the component level.) 

Yes 

No 

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Do not know 

Q4. 

Does your Agency Records Officer meet regularly (four or more times a 0/0

year) with the SAORM to discuss the agency records management 

program's goals? 

Yes 

No 

Do not know 

Q5. Does your agency have a network of designated employees within 

each program and administrative area who are assigned records 3/3

management responsibilities? These individuals are often called Records 

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

Yes 

No 

Do not know 

Not applicable, agency has less than 100 employees 

Not applicable, Department Records Officer - this is done at the component 

level 

Q6. 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 

Q7. 1/3 

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When was your agency's directive(s) last reviewed and/or revised to ensure it 

includes all new records management policy issuances and guidance? 

FY 2018 - present 

FY 2016 - 2017 

FY 2014 - 2015 

FY 2013 or earlier 

Do not know 

Not applicable, agency does not have a records management directive 

QS. 

Does your agency have internal records management training*, based on 3/3

agency policies and directives, for employees assigned records 

management responsibilities? (36 CFR 1220.34(1)) 

*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. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Not applicable, please explain 

Q9. 

Has your agency developed mandatory internal, staff-wide, formal 3/3

training*, based on agency policies and directives, covering records in all 

formats, including electronic communications such as email, text messages, 

chat, or other messaging platforms or apps, such as social media or mobile 

device applications, which helps agency employees and contractors fulfill their 

recordkeeping responsibilities?** (36 CFR 1220.34(1)) 

*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. 

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**Components of departmental agencies may answer "Yes" if this is handled by 

the department. Department Records Officers may answer "Yes" if this is 

handled at the component level. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q10. 3/3 Does your agency require that all senior and appointed officials, including 

those incoming and newly promoted, receive training on the importance of 

appropriately managing records under their immediate control? (36 CFR 1220.34 

(f)) 

Yes 

No 

Do not know 

Q11. Please add any additional comments about your agency for Section I: 0/0

Activities. (Optional) 

Q12. 3/3 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., NARA's 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 t11sting of file plans 

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· Regular review of records inventories 

· Internal tracking database of permanent record authorities and dates 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q13. 

In addition to your agency's established policies and records schedules, 3/3

has your agency developed and implemented internal controls to ensure 

that Federal records are not destroyed before the end of their retention period? 

(36 CFR 1222.26(e)) 

**These controls must be internal to your agency. Reliance on information from 

external agencies (e.g., NARA's 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 

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Does ~~ your agency evaluate, by conducting inspections/audits/reviews, its 0/3

records management program to ensure that it is efficient, effective, and 

compliant with all applicable records management laws and regulations? (36 

CFR 1220.340)) 

**For this question, your agency's 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 agency's electronic records) must be the primary focus of the 

inspection/audit/review. 

Yes, evaluations are conducted by the Records Management Program 

Yes, evaluations are conducted by the Office of Inspector General 

Yes, evaluations are conducted by the Records Management Program AND 

the Office of Inspector General 

Yes, evaluations are conducted by: 

No, please explain 

Do not know 

Q15. How often does your agency conduct formal evaluations of a major 

component of your agency (i.e., programs or offices)? 1/3 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q16. Was a formal report written and subsequent plans of corrective 

action created and monitored for implementation as part of the most 0/0 

recent inspection/audit/review? (Choose all that apply) 

Yes, formal report was written 

Yes, plans of corrective action were created 

Yes, plans of corrective action were monitored for implementation 

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No 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q17. 

Has your agency established performance goals for its records 3/3

management program? 

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

· Identifying and scheduling all paper and non-electronic records by the end of 

FY 2018 

· Developing computer-based records management training modules by the 

end of FY 2018 

· Planning and piloting an electronic records management solution for email 

by the end of FY 2019 

· Updating records management policies by the end of the year 

· Conducting records management evaluations of at least one program area 

each quarter 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q18. 

Has your agency's records management program identified performance 3/3

measures for records management activities such as training, records 

scheduling, permanent records transfers, etc.? 

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

· Percentage of agency employees that receive records management training 

in a year 

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

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

· Percentage of records scheduled 

· Percentage of offices evaluated/inspected for records management 

compliance 

· Percentage of email management auto-classification rates 

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· Development of new records management training modules 

· Audits of internal systems 

· Annual updates of file plans 

· Performance testing for email applications to ensure records are captured 

· Percentage of records successfully retrieved by Agency FOIA Officer in 

response to FOIA requests 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q19. Does your agency's records management program have 

documented and approved policies and procedures that instruct staff 3/3 

on how your agency's 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 

Q20. 

Has your agency identified the vital records of all its program and 3/3

administrative areas? (36 CFR 1223.16) 

*Components of departmental agencies may answer "Yes" if this is handled by 

the department. 

Yes 

No 

Do not know 

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2018 Records Management Self-Assessment 

Q21. How often does your agency review and update its vital records 

inventory? (36 CFR 1223.14) 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Never 

Do not know 

Page 9 of 24 

3/3 

Q22. Is your vital records plan part of the Continuity of Operations (COOP) 3/3

plan? 

Yes 

No 

Do not know 

Q23. Records needed to respond to a FOIA request are readily accessible 

and located by staff responsible for FOIA: 0/0 

Always 

Most of the time 

Some of the time 

Never 

Do not know 

Q24. At what point in the FOIA process does your agency inform 

requesters of the Office of Government Information Services' (OGIS) 0/0 

dispute resolution services? (Choose all that apply) 

When there is an adverse determination 

When notifying the requester that the agency needs more than 10 

additional days to process a request 

When responding to the requester's appeal 

Never 

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Do not know 

Other, please explain 

Q25. How often does the FOIA program submit to agency leadership 

reports on such measures as pending requests and backlog? 0/0 

Annually 

Quarterly 

Monthly 

Weekly 

Never 

Other, please explain 

Q26. Do your agency's employee performance work plans and appraisals 0/0

include FOIA performance measures for non-FOIA professionals to ensure 

compliance with the requirements of FOIA? (Note: The 2016-2018 term of 

the Freedom ofInformation Act Advisory Committee endorsed inclusion of FOIA 

perlormance standards in Federal employee evaluations and work plans 

government-wide.) 

Yes 

No, please explain 

Do not know 

Q27. Does your agency have procedures for preparing documents for 0/0

posting on FOIA reading rooms? (Note: The FOIA Improvement Act of2016 

amended Section 3102 of the Federal Records Act, 44 U.S.C., to include a 

requirement that agencies establish "procedures for identifying records of 

general interest or use to the public that are appropriate for public disclosure, 

and for posting such records in a publicly accessible electronic format." This 

requirement is now included in 5 U.S.C. 552(a)(2).) 

Yes 

No 

Do not know 

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Q28. Who is responsible for preparing the documents for posting? 

(Choose all that apply) 0/0 

FOIA staff 

Program staff 

IT/web staff 

Other, please explain 

Do not know 

Q29. Please add any additional comments about your agency for Section 

II: Oversight and Compliance. (Optional) 0/0

Q30. When was the last time your agency submitted a records schedule to 0/0

NARA for approval? (36 CFR 1225.10) 

FY 2017 - 2018 

FY 2015 -2016 

FY 2013 -2014 

FY2011-2012 

FY 201 Oor earlier 

Do not know 

Q31. Are records and information in your agency managed throughout the 3/3

lifecycle [creation/capture, classification, maintenance, retention, and 

disposition] by being properly identified, classified using a taxonomy, 

inventoried, and scheduled? (36 CFR 1222.34, 36 CFR 1224.10, and 36 CFR 

1225.12) 

Yes 

To some extent 

No 

Do not know 

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2018 Records Management Self-Assessment 

Q32. Are records and information in your agency easily retrievable and 

accessible when needed for agency business? (36 CFR 1220.32(c)) 

All records are easily retrievable and accessible when needed 

Most records can be retrieved and accessed in a timely manner 

Some records can be retrieved and accessed in a timely manner 

No 

Do not know 

Q33. Does your agency disseminate every approved disposition authority 

(including newly approved records schedules and General Records 

Schedule items) to agency staff within six months of approval? (36 CFR 

1226.12(a)) 

Yes 

No 

Do not know 

Q34. In addition to your agency's records management policies and 

records schedules, has your agency developed and implemented internal 

controls to ensure that all permanent records are created/captured, 

classified, filed and managed according to their NARA-approved records 

schedules? (36 CFR 1220.34(i)) 

Yes 

No 

Do not know 

Q35. 

Did your agency transfer permanent non-electronic records to NARA 

during FY 2018? (36 CFR 1235.12) 

Yes 

No 

No - No records were eligible for transfer during FY 2018 

No - New agency, records are not yet old enough to transfer 

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

Page 12 of24 

2/3 

2/2 

0/0 

0/3 

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Do not know 

Other, please explain 

Q36. Did your agency transfer permanent electronic records to NARA 

during FY 2018? (36 CFR 1235.12) 3/3 

Yes 

No 

No - No electronic records/systems were eligible for transfer during FY 2018 

No - New agency, electronic records/systems are not old enough to transfer 

No - My agency does not have any permanent electronic records 

Do not know 

Other, please explain 

Q37. Does your agency conduct and document for accountability 

purposes training and/or other briefings as part of the on-boarding 3/3 

process for senior officials on their records management roles and 

responsibilities, including the appropriate disposition of records and the use of 

personal and unofficial email accounts? (36 CFR 1222.24(a)(6) and 36 CFR 

1230,10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q38. 

Is the Agency Records Officer and/or Senior Agency Official for Records 0/0

Management involved in on-boarding briefings or other processes for 

newly appointed senior officials? 

Yes 

No 

Do not know 

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Q39. Does your agency conduct and document for accountability 

purposes exit briefings for departing senior officials on the appropriate 3/3

disposition of the records, including email, under their immediate control? 

(36 CFR 1222.24(a)(6) and 36 CFR 1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q40. 

Is the Agency Records Officer and/or Senior Agency Official for Records 0/0

Management involved in exit briefings or other exit clearance processes 

for departing senior officials? 

Yes 

No 

Do not know 

Q41. 

Does the exit or separation process for departing senior officials include 0/0

records management program staff or other designated official(s) 

reviewing and approving the removal of personal papers and copies of records 

by those senior officials? (36 CFR 1222.24(a)(6)) 

Yes 

No, please explain 

Do not know 

Q42. Please add any additional comments about your agency for Section 

Ill: Records Disposition. (Optional) 0/0 

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Q43. Has your agency incorporated and/or integrated internal controls to 

ensure the reliability, authenticity, integrity, and usability of agency 3/3

electronic records maintained in electronic information systems? (36 CFR 

1236.10) 

Yes 

To some extent 

No 

Do not know 

Not applicable, please explain 

Q44. Does your agency have documented and approved procedures to 1/3

enable the migration of records and associated metadata to new storage 

media or formats so that records are retrievable and usable as long as 

needed to conduct agency business and to meet NARA-approved dispositions? 

(36 CFR 1236.20(b)(6)) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q45. Does your agency maintain an inventory of electronic information 

systems that indicates whether or not each system is covered by an 3/3

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

Yes 

No, please explain 

Do not know 

Q46. 

Does your agency ensure that records management functionality, 3/3

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) 

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*Components of departmental agencies may answer "Yes" if this is handled by 

the department. 

Yes 

No, please explain 

Do not know 

Not applicable, please explain 

Q47. Does your agency's records management program staff participate in 0/0

the design, development, and implementation of new electronic 

information systems? 

Yes 

Ta some extent 

No, please explain 

Do not know 

Not applicable, please explain 

Q48. Which of these activities does your agency's records management 0/0 

program staff participate in to ensure that records requirements are part of 

the recommended solution? (Choose all that apply) 

Participate in review and acceptance of proposals for new systems 

Participate as stakeholder in requirements gathering 

Participate as stakeholder in the design phase 

Participate as stakeholder in the development phase including testing 

the system 

Provide sign off authority for the implementation of new systems 

Monitor system for adherence to standards, policies, and procedures 

Provide information only 

Do not know 

Other, please explain 

Q49. 

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Does your agency have documented and approved policies requiring 0/0 

permanent electronic records be managed in an electronic format for 

eventual transfer to NARA? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q51. Does your agency have a process or strategy for managing 0/0 

permanent electronic records, and related metadata, in an electronic form? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q52. Does your agency have documented and approved policies 0/0 

against unauthorized use, alteration, alienation or deletion of all electronic 

records? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q53. Does your agency have a digitization strategy to reformat permanent 

records created in hard copy or other analog formats (e.g., microfiche, 0/0 

microfilm, analog video, and analog audio)? 

Yes 

To some extent 

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No 

Do not know 

Q54. Does your agency use cloud services for any of the following? 

(Choose all that apply) 0/0 

Email 

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

Administrative functions such as payroll, purchasing, and financial 

management 

Mission/program-related functions 

Customer Relationship Management 

Case management 

Office tools/software 

Streaming services 

Other, please explain 

My agency does not use cloud services 

Do not know 

Q55. 

Does your agency have documented and approved policies for cloud 0/0

service use that includes recordkeeping requirements and handling of Federal 

records? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Not applicable, my agency does not use cloud services 

3/3 

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Q56. Does your agency have documented and approved policies and 

procedures in place to manage email records that have a retention period longer 

than 180 days? (36 CFR 1236.22) 

Yes 

No, please explain 

Do not know 

Q57. Does your agency have documented and approved policies and 

procedures to implement the guidelines for the transfer of permanent 0/3 

email records to NARA described in NARA Bulletin 2018-01: Format 

Guidance for the Transfer of Permanent Electronic Records -Appendix A: Tables 

of File Formats, Section 9 - Email? (36 CFR 1236.22(el) 

Yes 

No 

Do not know 

Q58. 

Does your agency have documented and approved policies that 2/3

address when employees have more than one agency-administered email 

account that states that email records must be preserved in an appropriate 

agency recordkeeping system? (36 CFR 1236.22) 

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

· Using separate accounts for public and internal correspondence 

· Creating accounts for a specific agency initiative which may have multiple 

users 

- Using separate accounts for classified information and unclassified 

information 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

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Q59. 

Does your agency have documented and approved policies that 3/3

address the use of personal email accounts, whether or not allowed, that state 

that all emails created and received by such accounts must be preserved in an 

appropriate agency recordkeeping system and that a complete copy of all email 

records created and received by users of these accounts must be forwarded to 

an official electronic messaging account of the officer or employee no later than 

20 days after the original creation or transmission of the record? (36 CFR 1236.22 

(b) and P.L. 113-187) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q60. Does your agency's email system(s) retain the intelligent full names 

on directories or distribution lists to ensure identification of the sender 3/3

and addressee(s) for those email messages that are Federal records? (36 

CFR 1236.22(a)(3)) 

Yes 

No 

Do not know 

Q61. What method(s) does your agency employ to capture and manage 

email records? (Choose all that apply) 0/0 

Captured and stored in an email archiving system 

Captured and stored in an electronic records management system 

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

Print and file 

Not captured and email is managed by the end-user in the native system 

Other, please be specific: 

Q62. 

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

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0/0 

100% 

75% 

50% 

25% 

Less than 25% 

My agency does not use cloud services for email 

Do not know 

Q63. Does your agency evaluate, monitor, or audit staff compliance with 

the agency's email preservation policies? (36 CFR 1220.18) 0/2 

Yes 

No 

Do not know 

Q65. 

Does your agency have documented and approved policies and 0/0

procedures in place to manage electronic messages including text 

messages, chat/instant messages, voice messages, and messages created in 

social media tools or applications? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Other, please explain 

Q66. 

In which of the following areas does your agency have challenges with 0/0

managing permanent electronic records, and related metadata, in an 

electronic form? (Choose all that apply) 

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2018 Records Management Self-Assessment Page 22 of 24 

Email 

Communication tools other than email {calendars, messaging apps, 

etc.) 

Administrative functions such as payroll, purchasing, and financial 

management 

Mission/program-related functions 

Customer Relationship Management 

Case management 

Office tools/software 

Streaming services 

Other, please explain 

My agency does not have challenges managing permanent electronic 

records and related metadata 

Do not know 

Q67. Please add any additional comments about your agency for Section 

IV: Electronic Records. (Optional) 0/0 

Q68. How many full-time equivalents {FTE) are in your 

agency/organization? 0/0 

500,000 or more FTEs 

100,000 - 499,999 FTEs 

10,000 - 99,999 FTEs 

1,000- 9,999 FTEs 

100 - 999 FTEs 

1 -99 FTEs 

Not Available 

Q69. 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 

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Office of the General Counsel 

Program Managers 

FOIA Officer 

Information Technology staff 

Records Liaison Officers or similar 

Administrative staff 

Other, please be specific: 

None 

Q70. How much time did it take you to gather the information to complete 

this self-assessment? 

Under 3 hours 

More than 3 hours but less than 6 hours 

More than 6 hours but less than 10 hours 

Over 10 hours 

Q71. Did your agency's senior management review and concur with your 

responses to the 2018 Records Management Self-Assessment? 

Yes 

No 

Do not know 

Q73. Are you the Agency Records Officer? 

Yes 

No 

0/0 

0/0 

0/0 

Q75. Does your agency use your Records Management Self-Assessment 0/0 

scores to measure the effectiveness of the records management program? 

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Yes 

No 

Do not know 

Comments (Optional): (Please include in your comments how you use the 

Records Management Self-Assessment.) 

Q76. Do you have any suggestions for improving the Records 

Management Self-Assessment next year? 0/0 

For question 66 - In the RMSA Word document attached to the March 

12, 2019 email, the answer options for question 66 are slightly different 

than the options listed in the tool. For example, in the Word document 

"Case management" is listed twice and "Mission/program related 

functions" is not listed at all. Also, it might be helpful to list a couple of 

examples for each of the answer choices similar to the "Administrative 

functions..." option. 

Powered by Oualtrics 

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2019 Records Management Self-Assessment Page I of 26 

2019 Records Management Self-Assessment 

Thank you for completing the 2019 Records 

Management Self-Assessment! 

Please DOWNLOAD this page by right clicking anywhere on this 

screen and selecting Print. This will be the only opportunity you 

have to make a PDF of this score report. 

[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.] 

83/100 83.0% 

Q1. Is there a person in your agency who is responsible for coordinating 

and overseeing the implementation of the records management program? 3/3 

(36 CFR 1220.34(a)) 

Yes 

No 

Do not know 

Q2. Please provide the person's name, position title, and office. 0/0 

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Crystal Zeh, Records Management Officer, Office of he Executive 

Director, Executive Secretariat Branch 

Q3. Does your agency have a Senior Agency Official for Records 

Management (SAORM)? (For components of a department this is most 0/0 

likely at the department level, and you may answer "Yes," even if this is 

not being done at the component level.) 

Yes 

No 

Do not know 

Q4. Does your Agency Records Officer meet regularly (four or more times 

a year) with the SAORM to discuss the agency records management 0/0 

program's goals? (For components of a department, this is most likely at 

the department level.) 

Yes 

No 

Do not know 

Q5. Does your agency have a network of designated employees within 

each program and administrative area who are assigned records 3/3 

management responsibilities? These individuals are often called Records 

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

Yes 

No 

Do not know 

Not applicable, agency has less than 100 employees 

Not applicable, Departmental Records Officer - this is done at the component 

level 

Q6. Does your agency have a documented and approved records 

management directive(s)? (36 CFR 1220.34(c)) 3/3 

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Yes 

No, pending final approval 

No, under development 

No 

Do not know 

Q7. When was your agency's directive(s) last reviewed and/or revised to 1 /3 

ensure it includes all new records management policy issuances and 

guidance? 

FY 2019 - present 

FY 2017 -2018 

FY 2015-2016 

FY 2014 or earlier 

Do not know 

Not applicable, agency does not have a records management directive 

QB. Does your agency have internal records management training*, based 

on agency policies and directives, for employees assigned records 3/3 

management 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. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Not applicable, please explain 

Q9. Has your agency developed mandatory internal, staff-wide, formal 

training*, based on agency policy and directives, covering records in all 3/3 

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formats, including electronic communications such as email, text messages, 

chat, or other messaging platforms or apps, such as social media or mobile 

device applications, which helps agency employees and contractors fulfill their 

recordkeeping responsibilities?" (36 CFR 1220.34(1)) 

'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. 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q10. Does your agency require that all senior and appointed officials, 

including those incoming and newly promoted, receive training on the 3/3 

importance of appropriately managing records under their immediate 

control? (36 CFR 1220.34(1)) 

Yes 

No 

Do not know 

Q11. Please add any additional comments about your agency for Section I: 0/0

Activities. (Optional) 

Q12. In addition to your agency's established records management 

policies and records schedules, has your agency's records management 3/3 

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)) 

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**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 responding to this question. 

*Examples of records management internal controls include but are not limited 

to: 

• Regular briefings and other meetings with records creators 

• Monitoring and testing of file plans 

• Regular review of records inventories 

• Internal tracking database of permanent record authorities and dates 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q13. In addition to your agency's established policies and records 

schedules, has your agency developed and implemented internal controls 3/3 

to ensure that Federal records are not destroyed before the end of their 

retention period? (36 CFR 1222.26(e)) 

**These controls must be internal to your agency. Reliance on information from 

external agencies (e.g., NARA's 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 

• Pertormance 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 

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No 

No, pending final approval 

No, under development 

Do not know 

Q14. In addition to your agency's records management policies and 

records schedules, has your agency developed and implemented internal 0/0 

controls to ensure that all permanent records are created/captured, 

classified, filed and managed according to their NARA-approved records 

schedules? (36 CFR 1220.34(i)) 

Yes 

No 

Do not know 

Q15. Does your agency evaluate, by conducting 

inspections/audits/reviews, its records management program to ensure 0/3 

that it is efficient, effective, and compliant with all applicable records 

management laws and regulations? (36 CFR 1220.340)) 

**For this question, your agency's 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 agency's electronic records) must be the primary focus of the 

inspection/audit/review. 

Yes, evaluations are conducted by the Records Management Program 

Yes, evaluations are conducted by the Office of Inspector General 

Yes, evaluations are conducted by the Records Management Program AND 

the Office of Inspector General 

Yes, evaluations are conducted by: (fill in the blank) 

No, please explain 

Do not know 

Q16. How often does your agency conduct formal evaluations of a major 

component of your agency (i.e .• programs or offices)? 1/3 

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Annually 

Biennially 

Once every 3 years 

Ad hoc 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q17. Was a formal report written and subsequent plans of corrective 

action created and monitored for implementation as part of the most 0/0 

recent inspection/audit/review? (Choose all that apply) 

Yes, formal report was written 

Yes, plans of corrective action were created 

Yes, plans of corrective action were monitored for implementation 

No 

Do not know 

Not applicable, agency does not evaluate its records management program 

Q18. Has your agency established performance goals for its records 

management program? 3/3 

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

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

of DATE 

• Developing computer-based records management training modules by the 

end of DATE 

• Planning and piloting an electronic records management solution for email 

by the end of DATE 

• Updating records management policies by the end of the year 

• Conducting records management evaluations of at least one program area 

each quarter 

Yes 

No 

Pending final approval 

Currently under development 

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Do not know 

Q19. Has your agency's records management program identified 

performance measures for records management activities such as 3/3 

training, records scheduling, permanent records transfers, etc.? 

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

• Percentage of agency employees that receive records management training 

in a year 

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

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

• Percentage of records scheduled 

• Percentage of offices evaluated/inspected for records management 

compliance 

• Percentage of email management auto-classification rates 

• Development of new records management training modules 

• Audits of internal systems 

• Annual updates of file plans 

• Pertormance testing for email applications to ensure records are captured 

• Percentage of records successfully retrieved by Agency FOIA Officer in 

response to FOIA requests 

Yes 

No 

Pending final approval 

Currently under development 

Do not know 

Q20. Does your agency's records management program have 3/3 

documented and approved policies and procedures that instruct staff 

on how your agency's 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 

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Q21. 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 "Yes" if this is handled by 

the department. 

Yes 

No 

Do not know 

Q22. How often does your agency review and update its vital records 

inventory? (36 CFR 1223.14) 

Annually 

Biennially 

Once every 3 years 

Ad hoc 

Never 

Do not know 

3/3 

Q23. Is your vital records plan part of the Continuity of Operations (COOP) 3/3

plan? 

Yes 

No 

Do not know 

Q24. As the Agency Records Officer (or records management staff), have 0/0 

you received FOIA training? 

Yes, I have received informal FOIA training (briefing by a colleague or 

as part of agency employee orientation) 

Yes, I have received formal FOIA training (online or in-person instructor-led 

session) 

No 

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Do not know 

Q25. Who reviews responses to FOIA requests? (Choose all that apply) 0/0 

Supervisory Government Information Specialist/Team Lead 

FOIA Officer 

Office of General Counsel 

Office of Public Affairs 

Program office where the records originated 

Office of the Secretary/Head of Agency 

Chief FOIA and/or Privacy Officer 

Other, please be specific: 

Q26. How does your agency handle duplicate records when processing 

FOIA requests? 0/0

Agency has software that de-duplicates 

Agency manually de-duplicates search results 

Agency does not separate duplicate records 

Do not know 

Q27. 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 

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Q28. At your agency/component, who ensures that records posted to the 

FOIA Reading Room are accessible to people with disabilities (per 508 0/0

compliance)? (Choose all that apply) 

Note: Section 508 of the Rehabilitation Act of 1973 requires all Federal 

departments and agencies to ensure that their electronic information and 

technology are accessible to people with disabilities. (29 U.S.C. 794d(a)(1)(A}} 

FOIA Office 

Public Information Office 

General Counsel 

IT Office/Web manager 

Agency does not ensure 508 compliance unless requested 

Do not know 

Other, please be specific: 

Q29. Please add any additional comments about your agency for Section 

II: Oversight and Compliance. (Optional) 0/0

Q30. When was the last time your agency submitted a records schedule to 

NARA for approval? (36 CFR 1225.10) 0/0

FY 2018 -2019 

FY 2016 -2017 

FY 2014 -2015 

FY 2012 -2013 

FY 2011 or earlier 

Do not know 

Q31. Does your agency periodically review agency-specific records 

schedules to ensure they still meet business needs, to identify gaps that 0/0 

may indicate unscheduled records, or to make needed revisions? 

Note: An agency-specific records schedule means it covers items that are not 

covered by the General Records Schedules (GRS). 

Yes 

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No 

Do not know 

Q32. Does your agency have agency-specific records schedules currently 

in use that include items approved before January 1, 1990? 0/0 

Yes 

No 

Do not know 

Q34. Are records and information in your agency managed throughout the 2/3

lifecycle [creation/capture, classification, maintenance, retention, and 

disposition] by being properly identified, classified using a taxonomy, 

inventoried, and scheduled? (36 CFR 1222.34, 36 CFR 1224.10, and 36 CFR 

1225.12) 

Yes 

To some extent 

No 

Do not know 

Q35. Are records and information in your agency easily retrievable and 

accessible when needed for agency business? (36 CFR 1220.32(c)) 2/3 

All records are easily retrievable and accessible when needed 

Most records can be retrieved and accessed in a timely manner 

Some records can be retrieved and accessed in a timely manner 

No 

Do not know 

Q36. Does your agency disseminate every approved disposition authority 

(including newly approved records schedules and General Records 2/2 

Schedule items) to agency staff within six months of approval? (36 CFR 

1226.12(a)) 

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Yes 

No 

Do not know 

Q37. Did your agency transfer permanent non-electronic records to NARA 

during FY 2019? (36 CFR 1235.12) 3/3 

Yes 

No 

No - No records were eligible for transfer during FY 2019 

No - New agency, records are not yet old enough to transfer 

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

Do not know 

Other, please explain 

Q38. Did your agency transfer permanent electronic records to NARA 

during FY 2019? (36 CFR 1235.12) 3/3 

Yes 

No 

No - No electronic records/systems were eligible for transfer during FY 

2019 

No - New agency, electronic records/systems are not old enough to transfer 

No - My agency does not have any permanent electronic records 

Do not know 

Other, please explain 

Q39. Does your agency track when permanent records are eligible for 

transfer to NARA? 0/0 

Yes 

No 

No - My agency does not have any permanent records 

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Do not know 

Q40. Please explain your response to the previous question. (If you 

answered "Yes," please be specific on methods used. If you answered 0/0 

"No," please explain why not.) 

For our paper records, we already identified them and are preparing the 

final few for transfer to a Federal Records Center. For the electronic 

permanent records, we know which offices hold them and none are 

eligible for transfer at this time. 

Q41. Does your agency conduct and document for accountability 

purposes training and/or other briefings as part of the on-boarding 3/3 

process for senior officials on their records management roles and 

responsibilities, including the appropriate disposition of records and the use of 

personal and unofficial email accounts? (36 CFR 1222.24(a)(6) and 36 CFR 

1230.10(a & b)) 

Yes 

Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q42. Is the Agency Records Officer and/or Senior Agency Official for 

Records Management involved in on-boarding briefings or other 

processes for newly appointed senior officials? 

Yes 

No, please explain 

Do not know 

0/0 

Q43. Does your agency conduct and document for accountability 

purposes exit briefings for departing senior officials on the appropriate 3/3 

disposition of the records, including email, under their immediate control? 

(36 CFR 1222.24(a)(6) and 36 CFR 1230.10(a & b)) 

Yes 

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Yes, but not documented 

No 

Do not know 

Not applicable, please explain 

Q44. Is the Agency Records Officer and/or Senior Agency Official for 

Records Management involved in exit briefings or other exit clearance 

processes for departing senior officials? 

Yes 

No 

Do not know 

Q45. Does the exit or separation process for departing senior officials 

include records management program staff or other designated official(s) 

reviewing and approving the removal of personal papers and copies of 

records by those senior officials? (36 CFR 1222.24(a)(6)) 

Yes 

No, please explain 

Do not know 

0/0 

0/0 

Q46. Does your agency store inactive temporary and/or permanent records 0/0

in a commercial records storage facility? 

Yes 

No 

Do not know 

Q47. Has the facility been approved by NARA? (36 CFR 1234.30(a)(2)&(e)) 0/0 

Yes 

No 

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Do not know 

Q48. Does your agency store inactive temporary and/or permanent records 0/0

in an agency-operated records center? (Note: This does NOT include 

agency staging areas and temporary holding areas.) 

Yes 

No 

Do not know 

Q52. Does your agency store inactive temporary and/or permanent records 0/0

in an agency records staging or holding area? 

Yes 

No 

Do not know 

Q54. Please add any additional comments about your agency for Section 

Ill: Records Disposition. (Optional) 0/0 

Q55. Has your agency incorporated and/or integrated internal controls to 

ensure the reliability, authenticity, integrity, and usability of agency 2/3 

electronic records maintained in electronic information systems? (36 CFR 

1236.10) 

Yes 

To some extent 

No 

Do not know 

Not applicable, please explain 

Q56. Does your agency have documented and approved procedures to 1 /3 

enable the migration of records and associated metadata to new storage 

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media or formats so that records are retrievable and usable as long as needed to 

conduct agency business and to meet NARA-approved dispositions? (36 CFR 

1236.20(b)(6)) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q57. Does your agency maintain an inventory of electronic information 

systems that indicates whether or not each system is covered by an 3/3 

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

Yes 

No, please explain 

Do not know 

Q58. Does your agency ensure that records management functionality, 

including the capture, retrieval, and retention of records according to 3/3

agency business needs and NARA-approved records schedules, is 

incorporated into the design, development, and implementation of its electronic 

information systems? (36 CFR 1236.12) 

'Components of departmental agencies may answer "Yes" if this is handled by 

the department. 

Yes 

No, please explain 

Do not know 

Not applicable, please explain 

Q59. Does your agency's records management program staff participate in 0/0

the acquisition, design, development, and implementation of new 

electronic information systems? 

Yes 

To some extent 

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No, please explain 

Do not know 

Not applicable, please explain 

Q60. Which of the following best describes your agency's records 0/0

management staff's participation in the procurement, acquisition, or other 

development of new electronic information software and systems, 

including but not limited to COTS purchases, database creation. and the software 

development lifecycle (regardless of methodology) to ensure appropriate records 

requirements are properly implemented? 

The records management staff: 

Is regularly consulted by other parts of the agency to provide 

information only. 

Regularly participates, before system or capability requirements are defined, 

as a procurements and acquisition stakeholder, but without approval or sign off 

authority before such efforts move forward. 

Regularly participates, before system or capability requirements are defined, 

as a procurement and acquisition stakeholder, and must approve procurements 

and acquisitions before they move forward. 

Regularly participates as a stakeholder throughout the procurement and 

acquisition process, including concept, contracting, design, development, 

testing, and system acceptance phases, and must approve procurements and 

acquisitions before they move forward. 

Do not know 

Other engagement, please explain 

Q61. Does your agency have a process or strategy for managing 

permanent electronic records and related metadata in an electronic form? 0/0 

Yes 

No 

No, under development 

Do not know 

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Q62. Does your agency have documented and approved policies 

against unauthorized use, alteration, alienation or deletion of all electronic 0/0

records? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q63. Does your agency have a digitization strategy to reformat permanent 

records created in hard copy or other analog formats (e.g., microfiche, 0/0 

microfilm, analog video, and analog audio)? 

Yes 

To some extent 

No 

Do not know 

Q64. Does your agency use cloud services for any of the following? 

(Choose all that apply) 0/0 

Email 

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

Administrative functions such as payroll, purchasing, and financial 

management 

Mission/program-related functions 

Customer Relationship Management 

Case management 

Office tools/software 

Streaming services 

Other, please explain 

My agency does not use cloud services 

Do not know 

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Q65. Does your agency have documented and approved policies for 

cloud service use that includes recordkeeping requirements and handling 0/0 

of Federal records? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q66. Does your agency have documented and approved policies and 

procedures in place to manage email records that have a retention period 3/3

longer than 180 days? (36 CFR 1236.22) 

Yes 

No, pending final approval 

No, under development 

No, please explain 

Do not know 

Q67. Does your agency have documented and approved policies and 

procedures to implement the guidelines for the transfer of permanent 1/3 

email records to NARA described in NARA Bulletin 2014-04: Revised 

Format Guidance for the Transfer of Permanent Electronic Records - Appendix 

A: Tables of File Formats, Section 9 - Email? (36 CFR 1236.22(e)) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q68. Does your agency have documented and approved policies that 2/3 

address when employees have more than one agency-administered email 

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account, whether or not allowed, that states that email records must be 

preserved in an appropriate agency recordkeeping system? (36 CFR 1236.22) 

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

• Using separate accounts for public and internal correspondence 

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

users 

• Using separate accounts for classified information and unclassified 

information 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q69. Does your agency have documented and approved policies that 

address the use of personal email accounts, whether or not allowed, 3/3

that state that all emails created and received by such accounts must be 

preserved in an appropriate agency recordkeeping system and that a complete 

copy of all email records created and received by users of these accounts must 

be forwarded to an official electronic messaging account of the officer or 

employee no later than 20 days after the original creation or transmission of the 

record? (36 CFR 1236.22(b) and P.L. 113-187) 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Q70. Does your agency's email system(s) retain the intelligent full names 

on directories or distribution lists to ensure identification of the sender 3/3

and addressee(s) for those email messages that are Federal records? (36 

CFR 1236.22(a)(3)) 

Yes 

No 

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Do not know 

Q71. What method(s) does your agency employ to capture and manage 

email records? (Choose all that apply) 0/0 

Captured and stored in an email archiving system 

Captured and stored in an electronic records management system 

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

Captured and stored using cloud services with records management included 

Captured and stored using cloud services but records management IS NOT 

included 

Print and file 

Not captured and email is managed by the end-user in the native system 

Other, please be specific: 

Q72. 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 Managed under a Capstone Approach; agency has an 

approved form NA-1005 

GRS 6.1: Email Managed under a Capstone Approach; agency does not 

have an approved form NA-1005 

Agency-specific email schedule 

Traditional records management (i.e., retention based on content, usually 

applied on an email-by-email basis, utilizing multiple NARA-approved disposition 

authorities) 

Email retention method has not been decided/scheduled by agency 

Do not know 

Other, please explain 

Q73. Does the current NARA-approved form NA-1005 or agency-specific 

email schedule adequately reflect your existing organizational structure? 0/0

Yes 

To some extent 

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No 

Do not know 

Q74. Why does the email schedule not adequately reflect, or only to some 

extent reflect, your existing organizational structure? (Choose all that 0/0 

apply) 

Agency-wide reorganization has taken place 

New positions that meet the criteria for permanent disposition need to 

be added 

Positions need to be removed because they have been removed from 

the organization 

Positions need to be removed because they no longer meet the criteria 

for permanent disposition 

Position title(s) need to be updated or changed 

Number of email accounts for a specific position(s) need to be updated 

or changed 

Scope statements are inaccurate, or need to be changed 

Other, please explain 

Q75. Does your agency track changes in Capstone accounts to ensure 

they are accurate and complete? 0/0

Yes 

To some extent 

No 

Do not know 

Q76. Please explain how your agency tracks changes to Capstone 

accounts. (Be specific) 0/0 

The Records Management Office tracks the Sr staff level roles through 

agency-wide announcements. If there are changes to those roles we 

provide the appropriate briefing based on the new or reassigned position. 

We work closely with the Office of Data and Technology Forensics and 

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e-Law teams to ensure we capture email of our Sr Officials as they vacate 

positions. 

Q77. Does your agency evaluate, monitor, or audit staff compliance with 

the agency's email preservation policies? (36 CFR 1220.18) 0/2

Yes 

No 

Do not know 

Q78. Does your agency have documented and approved policies and O/0 

procedures in place to manage electronic messages including text 

messages, chat/instant messages, voice messages, and messages created in 

social media tools or applications? 

Yes 

No 

No, pending final approval 

No, under development 

Do not know 

Other, please explain 

QBO. Please add any additional comments about your agency for Section 

IV: Electronic Records. (Optional) 

Q81. How many full-time equivalents (FTE) are in your 

agency/organization? 

500,000 or more FTEs 

100,000 - 499,999 FTEs 

10,000 - 99,999 FTEs 

1,000 - 9,999 FTEs 

100 - 999 FTEs 

0/0 

0/0 

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1 - 99 FTEs 

Not Available 

Q82. What other staff, offices, or program areas did you consult when you 

completed this self-assessment? (Choose all that apply) 

Senior Agency Official 

Office of the General Counsel 

Program Managers 

FOIA Officer 

Information Technology staff 

Records Liaison Officers or similar 

Administrative staff 

Other, please be specific: 

None 

Q83. How much time did it take you to gather the information to complete 

this self-assessment? 

Under 3 hours 

More than 3 hours but less than 6 hours 

More than 6 hours but less than 10 hours 

Over 10 hours 

Q84. Did your agency's senior management review and concur with your 

responses to the 2019 Records Management Self-Assessment? 

Yes 

No 

Do not know 

Q86. Are you the Agency Records Officer? 

0/0 

0/0 

0/0 

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0/0 

2019 Records Management Self-Assessment 

Yes 

No 

Q88. Does your agency use your Records Management Self-Assessment 0/0 

scores to measure the effectiveness of the records management program? 

Yes 

No 

Do not know 

Comments (Optional): (Please include in your comments how you use the 

Records Management Self-Assessment.) 

Q89. 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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