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Section 2. Records Creation and Recordkeeping Requirements

Ensuring adequacy of documentation in any information system depends on the clear articulation of recordkeeping requirements. Recordkeeping requirements:

A. Creation of records and adequacy of documentation

checkbox Yes checkbox No 1. Has the program or office provided guidance for all employees on the definition of Federal records and nonrecord materials, including those created using office automation, and guidance on the ways in which the records must be managed?
checkbox Yes checkbox No 2. Does each program or office have written guidance on what records, including electronic records, are to be created and maintained and the format of the official copy?
checkbox Yes checkbox No 3. Has the program or office issued guidance and instructions for documenting policies and decisions, especially those arrived at orally?
checkbox Yes checkbox No 4. Has the program or office issued guidance on the record status of working papers/files and drafts?
checkbox Yes checkbox No 5. Has the program or office issued guidance on personal papers?
checkbox Yes checkbox No 6. Do program or office procedures require creation of finding aids such as captions and indexes to facilitate access to individual files or record items, when appropriate?

B. Contractor records

checkbox Yes checkbox No 1. Do contracts identify which contractor-created records are Federal records?
checkbox Yes checkbox No 2. Does the program provide contractors with the regulations and procedures governing Federal records?
checkbox Yes checkbox No 3. Particularly when electronic records are involved, do contracts specify the delivery of background data that may have further value to the agency in addition to the final product?
checkbox Yes checkbox No 4. Do contracts involving development of electronic systems specify the delivery of systems documentation to the agency along with the final product?
checkbox Yes checkbox No 5. Particularly when electronic records are involved, do contracts specify the delivery of final products and background data in a format that is compatible with program records maintenance and retention guidelines?
checkbox Yes checkbox No 6. Are deferred ordering and delivery of data clauses included in contracts when it is impractical to identify in advance all electronic data that should be delivered to the Government?

For further information, see NARA's guide books entitled "Documenting Your Public Service" and "Agency Recordkeeping Requirements."

Introduction | Section 1 | Section 2 | Section 3 | Section 4 | Section 5 | Section 6


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