Records Management User Training Answers

A federal record is all recorded information, regardless of form or characteristics, made or received by a federal agency under federal law or in connection with the transaction of public business, and preserved or appropriate for preservation as evidence of agency activities or because of the informational value of the data.

The Federal Records Act (44 USC Chapters 21, 29, 31, and 33) establishes the framework for records management in federal agencies. It requires agencies to create and preserve records documenting their organization, functions, policies, decisions, procedures, and essential transactions.

The records lifecycle consists of: Creation/Receipt, Maintenance and Use (filing, retrieving, updating), and Disposition (transfer to NARA, destruction, or other authorized action). Every record passes through these phases from the time it is created until its final disposition.

A records disposition schedule is a document that describes records, their authorized retention periods, and final disposition (destruction or transfer to the National Archives). It is approved by the Archivist of the United States and provides mandatory instructions for what to do with records no longer needed for current operations.

The National Archives and Records Administration (NARA) oversees federal records management, approves records schedules, accessions permanent records, provides guidance and regulations (36 CFR Chapter XII), and inspects agency records management programs. NARA is the final repository for permanent federal records.

Records document agency business and must be managed per retention schedules. Non-records include extra copies kept for convenience, stocks of publications, library materials, and personal papers that do not relate to agency business. Non-records do not require formal disposition.

Yes, emails are federal records if they are created or received in the course of agency business and document agency activities, decisions, or transactions. The content of the email determines whether it is a record, not the medium. Email records must be managed according to applicable retention schedules.

Email records must be captured into an approved electronic records management system, categorized under the appropriate records schedule, and retained for the required period. Federal employees must not use personal email exclusively for government business. Capstone approach categorizes emails by position for simplified management.

The Capstone approach categorizes email based on the role of the account holder rather than individual email content. Emails of senior officials (Capstone officials) are typically designated as permanent records, while emails of non-Capstone personnel are generally designated as temporary records with a set retention period.

Personally Identifiable Information (PII) is information that can be used to identify an individual (SSN, date of birth, biometrics, etc.). Records containing PII must be protected according to the Privacy Act, DoD 5400.11-R, and applicable regulations. Unauthorized disclosure can result in civil and criminal penalties.

The Privacy Act (5 USC 552a) governs the collection, maintenance, use, and dissemination of PII in federal records systems. It gives individuals the right to access and amend their records, requires agencies to publish system of records notices (SORNs), and restricts disclosure of records without consent.

A SORN is a notice published in the Federal Register that describes a system of records maintained by a federal agency. It identifies what PII is collected, the purpose, routine uses, storage, retention, and safeguards. The Privacy Act requires a SORN for each system that retrieves records by a personal identifier.

FOIA (5 USC 552) gives any person the right to request access to federal agency records. Agencies must disclose records unless they fall under one of nine specific exemptions (e.g., classified information, personal privacy, law enforcement). Agencies have 20 business days to respond to a FOIA request.

(1) Classified national security, (2) Internal personnel rules, (3) Information exempt by other statutes, (4) Trade secrets/confidential business, (5) Inter/intra-agency memoranda (deliberative process), (6) Personal privacy, (7) Law enforcement records, (8) Financial institution regulation, (9) Geological/geophysical information about wells.

Temporary records are destroyed when their retention period expires using methods appropriate to the sensitivity: shredding, pulping, burning, or degaussing/overwriting for electronic media. Classified records require NSA/CSS-approved destruction methods. Destruction must be documented, and records under a litigation hold must NOT be destroyed.

A litigation hold (also called preservation order or legal hold) is a directive to preserve all records and information relevant to pending or anticipated litigation, audit, or investigation. When a litigation hold is in effect, normal disposition schedules are suspended for affected records until the hold is lifted.

DoDI 5015.02, DoD Records Management Program, establishes policy and assigns responsibilities for creating, maintaining, and disposing of DoD records. It implements federal requirements and ensures DoD components maintain adequate and proper documentation of their activities.

Each DoD component must designate a Records Manager responsible for implementing the records management program. The Records Manager develops file plans, trains personnel, conducts inspections, ensures compliance with retention schedules, and coordinates records disposition actions.

A file plan is an organizational scheme for managing records that identifies types of records maintained, their location, responsible custodian, retention period, and disposition instructions. It helps ensure records are systematically organized, accessible, and properly managed throughout their lifecycle.

The General Records Schedule is a NARA-issued schedule that authorizes the disposition of temporary administrative records common to most federal agencies (e.g., budget, personnel, procurement, housekeeping records). It eliminates the need for each agency to schedule these common record types individually.

A permanent record has sufficient historical or other value to warrant continued preservation by the federal government beyond the time it is needed for administrative, legal, or fiscal purposes. Permanent records are eventually transferred to NARA, typically 15-30 years after creation.

A temporary record is approved for destruction after a specified retention period because it does not have sufficient administrative, legal, fiscal, or historical value for permanent preservation. Most federal records (estimated 95-97%) are temporary.

Vital records are essential to continue the mission-critical functions of an agency during and after an emergency, and to protect the legal and financial rights of the government, employees, and individuals. They are a subset of an agency's records identified for special protection in continuity planning.

OMB Memorandum M-19-21 required federal agencies to manage all permanent records in electronic format by December 31, 2022, and to manage all temporary records electronically by December 31, 2024. Agencies must transition to fully electronic recordkeeping environments.

Unauthorized disposition is the destruction, alteration, or alienation of federal records without proper authority. Under 18 USC 2071, anyone who willfully and unlawfully conceals, removes, mutilates, or destroys federal records can face fines and up to three years imprisonment.

A records inventory is a detailed listing of the volume, scope, and complexity of an organization's records. It identifies what records exist, where they are located, their format, and how they are organized. Inventories are essential for developing file plans and records schedules.

A Records Custodian is the person responsible for the physical custody and protection of records in their area. They maintain files according to the file plan, ensure records are accessible, properly stored, and transferred or destroyed according to the approved disposition schedule.

Financial records retention varies by type: general accounting records are typically retained 6 years, budget execution records for 6 years, travel vouchers for 6 years and 3 months, and contracts for 6 years after final payment. Specific retention is governed by the GRS and agency-specific schedules.

Records management focuses specifically on the lifecycle management of records per legal requirements. Information governance is a broader framework encompassing records management, data privacy, information security, data quality, and compliance. Records management is a component of the overall information governance strategy.

Poor records management can result in: inability to respond to FOIA requests or litigation, loss of institutional knowledge, security breaches involving PII, wasted storage costs, non-compliance with federal law, audit findings, and inability to support the agency mission during emergencies.

An RMA is software that manages electronic records throughout their lifecycle. It must meet DoD 5015.02-STD requirements including: declaring records, applying retention schedules, managing access controls, preventing unauthorized alteration, enabling search/retrieval, and executing disposition actions.

The Archivist of the United States has the authority to inspect agency records and records management practices, approve records schedules, determine which records have permanent value, and accept custody of permanent records. No federal records may be destroyed without the Archivist's authorization.

A cutoff is the action taken to break or end files at regular intervals to permit their disposal or transfer. Common cutoffs include fiscal year-end, calendar year-end, or after a specific event (case closed, contract completed). The retention period begins after the cutoff, not when the record was created.

Yes, agencies can store records at Federal Records Centers operated by NARA or at approved commercial storage facilities. The records must still be managed according to their disposition schedules. Permanent records must eventually be transferred to NARA. NARA must approve any non-NARA storage facility.

Transfer means moving records to another entity (NARA for permanent records, or a successor agency). Destruction means the physical elimination of temporary records whose retention period has expired. Both are forms of final disposition, but transfer preserves the records while destruction eliminates them.

Classified records require additional safeguards including proper storage in GSA-approved containers, access limited to cleared personnel with need-to-know, controlled distribution, destruction using NSA-approved methods, and coordination with the security office before any disposition action. Classification does not change the retention schedule.

A PIA is an analysis of how PII is collected, stored, shared, and managed in a federal information system. Required by the E-Government Act of 2002, PIAs ensure privacy protections are built into systems from the start and identify risks to individuals whose information is collected.

Every federal employee is responsible for creating and maintaining records that document their official activities, following the file plan, not destroying records without authorization, protecting PII and classified information, and cooperating with the records manager. Records management is everyone's responsibility.

A Privacy Act request is made by a U.S. citizen or lawful permanent resident seeking access to their own records in a system of records. A FOIA request can be made by any person for any agency records. First-party requests are typically processed under both acts to maximize disclosure.

A records freeze (also called a moratorium) is a directive to stop the destruction of specific categories of records, usually issued when there is pending litigation, a congressional investigation, or an audit. It overrides normal disposition schedules and remains in effect until officially lifted.