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Questions and Answers
What is the definition of a Federal record?
What is the definition of a Federal record?
Any 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 by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government.
How often should the file plan be updated?
How often should the file plan be updated?
- Never
- As needed (correct)
- Every two years (correct)
- Annually
What are the three stages of a records lifecycle?
What are the three stages of a records lifecycle?
Creation, Maintenance and Use, Disposition.
What are some examples of permanent records?
What are some examples of permanent records?
What are some examples of temporary records?
What are some examples of temporary records?
When a litigation hold is received, management ____________ in the hold notice to prevent early disposal until the litigation is resolved.
When a litigation hold is received, management ____________ in the hold notice to prevent early disposal until the litigation is resolved.
Employees are required to contact their Records liaison ____________ weeks before departing DHS.
Employees are required to contact their Records liaison ____________ weeks before departing DHS.
How are unscheduled records categorized?
How are unscheduled records categorized?
Which form is required to be completed by all employees prior to departing DHS?
Which form is required to be completed by all employees prior to departing DHS?
Which Federal legislation supports the DHS records management mission?
Which Federal legislation supports the DHS records management mission?
If records are inadvertently destroyed, who should you contact immediately?
If records are inadvertently destroyed, who should you contact immediately?
What is the maximum penalty for destroying Federal records without authorization?
What is the maximum penalty for destroying Federal records without authorization?
Personal records consist of the following
Personal records consist of the following
What are some examples of non-records?
What are some examples of non-records?
What are the two types of disposition for Federal records?
What are the two types of disposition for Federal records?
Which stage of the records lifecycle describes when a record is initiated?
Which stage of the records lifecycle describes when a record is initiated?
Which stage of the records lifecycle determines if the record is transferred to NARA or destroyed when no longer needed?
Which stage of the records lifecycle determines if the record is transferred to NARA or destroyed when no longer needed?
What resources are utilized when a litigation hold is lifted?
What resources are utilized when a litigation hold is lifted?
Flashcards
Federal Record Definition
Federal Record Definition
Any information created or received by a federal agency related to public business, requiring preservation if it shows agency functions, policies, decisions, and operations.
File Plan Update Frequency
File Plan Update Frequency
File plans should be updated regularly, especially during phases B and C.
Records Lifecycle Stages
Records Lifecycle Stages
Creation, Maintenance/Use, and Disposition.
Permanent Records Examples
Permanent Records Examples
Organizational charts, executive records, directives needing long-term preservation.
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Temporary Records Examples
Temporary Records Examples
Time/attendance, budget, accounting, employee travel docs.
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Litigation Hold Procedures
Litigation Hold Procedures
Pause record disposition upon a litigation hold notice to avoid premature disposal.
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Records Liaison Departure
Records Liaison Departure
Notify your Records liaison two weeks before leaving DHS.
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Unscheduled Records
Unscheduled Records
Initially categorized as permanent records until further decisions are made.
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DHS Departure Form
DHS Departure Form
Form 141-02, Certification of Departure Documentary Materials Request, is required.
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DHS Records Management Law
DHS Records Management Law
The Federal Records Act of 1950 guides DHS record management.
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Accidental Record Destruction
Accidental Record Destruction
Contact the Records Officer immediately if records are accidentally destroyed.
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Unauthorized Record Destruction Penalty
Unauthorized Record Destruction Penalty
Imprisonment up to three years is the maximum penalty.
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Personal Records
Personal Records
All documents under personal ownership.
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Non-Record Examples
Non-Record Examples
Vendor catalogs, brochures, reference copies of documents.
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Disposition Types
Disposition Types
Federal records have different classifications (permanent and temporary) for record management.
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Record Lifecycle: Creation Stage
Record Lifecycle: Creation Stage
The process of initiating a record.
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Disposition Stage Responsibilities
Disposition Stage Responsibilities
Determines records' future - transfer to NARA or destruction.
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Litigation Hold Lifting Resources
Litigation Hold Lifting Resources
Agency Records Schedule and General Records Schedule are used when lifting a litigation hold.
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Federal Records Definition
- Federal record includes any information made or received by a Federal agency under Federal law, related to public business.
- Preservation is required if the record provides evidence of the agency’s functions, policies, decisions, and operations.
File Plan Update Frequency
- The file plan should be updated regularly, specifically during B and C phases.
Records Lifecycle Stages
- There are three primary stages: Creation, Maintenance and Use, Disposition.
Examples of Permanent Records
- Include organizational charts, executive level records, and directives that require long-term preservation.
Examples of Temporary Records
- Comprise time and attendance files, budget execution documents, general accounting records, and employee travel documents.
Litigation Hold Procedures
- Management must suspend the disposition cycle of the record upon receipt of a litigation hold notice to ensure records are not disposed of prematurely.
Records Liaison Contact Requirement
- Employees must contact their Records liaison two weeks before departing the Department of Homeland Security (DHS).
Unscheduled Records Categorization
- Unscheduled records are categorized as permanent until further actions dictate.
Required Form for Departing DHS Employees
- Form 141-02, Certification of Departure Documentary Materials Request, must be completed before departure.
Supporting Legislation for DHS Records Management
- The Federal Records Act of 1950 underpins the records management mission of DHS.
Action for Inadvertently Destroyed Records
- Immediate contact with the Records Officer is essential if records are accidentally destroyed.
Penalty for Unauthorized Destruction of Federal Records
- The maximum penalty for unauthorized destruction can include imprisonment for up to three years.
Composition of Personal Records
- Personal records encompass all categories under individual ownership.
Examples of Non-Records
- Non-records include vendor catalogs, brochures, and reference copies of documents.
Types of Disposition for Federal Records
- Disposition types consist of temporary and permanent classifications for managing records.
Records Lifecycle: Creation Stage
- The creation stage is identified as the point when a record is initiated.
Disposition Stage Responsibilities
- The disposition stage determines the future of records, indicating whether they are to be transferred to NARA or destroyed.
Resources for Litigation Hold Lifting
- When a litigation hold is lifted, resources like the Agency Records Schedule and General Records Schedule are utilized.
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