Questions and Answers
What is the definition of a Federal record?
Any information made or received by a Federal agency under Federal law or in connection with the transaction of public business.
How often should the file plan be updated?
What are the three stages of a records lifecycle?
Creation, Maintenance and Use, Disposition.
What are some examples of temporary records?
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When a litigation hold is received, management ____________ in the hold notice.
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Employees are required to contact their Records liaison ____________ weeks before departing DHS.
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How are unscheduled records categorized?
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Which form is required to be completed by all employees prior to departing DHS?
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Which Federal legislation supports the DHS records management mission?
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If records are inadvertently destroyed, who should you contact immediately?
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What is the maximum penalty for destroying Federal records without authorization?
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Personal records consist of the following: (Select all that apply)
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What are some examples of non-records? (Select all that apply)
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What are the two types of disposition for Federal records?
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Which stage of the records lifecycle describes when a record is initiated?
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Which stage of the records lifecycle determines if the record is transferred to NARA or destroyed when no longer needed?
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What resources are utilized when a litigation hold is lifted? (Select all that apply)
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Study Notes
Federal Records Management
- A Federal record encompasses all information created or received by a Federal agency related to public business, preserved for its organizational and operational activities.
- Definition is rooted in 44 USC 3301, highlighting the importance of preservation for accountability.
File Plan Updates
- The file plan is required to be updated annually and whenever records schedules change.
Records Lifecycle Stages
- There are three stages of the records lifecycle: Creation, Maintenance and Use, Disposition.
- Each stage addresses a different aspect of records handling and management.
Temporary Records Examples
- Temporary records include organizational documents such as organizational charts, executive-level records, and directives.
Litigation Hold Protocol
- Management must suspend the disposition cycle of records upon receiving a litigation hold to prevent premature disposal until the matter is resolved.
Departure Protocol for Employees
- Employees must contact their Records liaison two weeks prior to departing the Department of Homeland Security (DHS).
Unscheduled Records
- Unscheduled records are categorized as permanent, implying they need long-term preservation or retention.
Required Departure Form
- Form 141-02, known as the Certification of Departure Documentary Materials Request, is mandatory for all employees before leaving DHS.
Supporting Legislation
- The Federal Records Act of 1950 underpins the records management mission of DHS, ensuring compliance and proper handling of records.
Inadvertent Destruction of Records
- Immediate contact with records officers is essential if records are accidentally destroyed to address the issue promptly.
Penalty for Unauthorized Destruction
- The maximum penalty for destroying Federal records without authorization is up to three years of imprisonment.
Personal Records Components
- Personal records can include lunch invitations, bank statements, and copies of performance appraisals.
Examples of Non-Records
- Non-records consist of vendor catalogs, brochures, and reference copies, which do not have retention value.
Disposition Types
- Federal records can undergo two types of disposition: Temporary and Permanent, determining their lifespan and management.
Records Lifecycle Focus
- The Creation stage involves the initiation of records, while the Disposition stage assesses whether records are transferred to the National Archives and Records Administration (NARA) or destroyed when no longer needed.
Resources for Litigation Holds
- Key resources utilized when a litigation hold is lifted include the Agency Records Schedule and the General Records Schedule, which guide the proper management of records during legal matters.
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