2. Attachment 3.9 Records Operation Manual (RPM).pdf

Records Policy Manual

Last updated: November 19, 2020 Page 1 | 179

FOR OFFICIAL USE ONLY

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

- Overview

- Basic Records Definitions and Concepts

- Record Keeping Responsibilities

- Retention and Disposition of Records

- Immigration Records Basics

- Creating Immigration Records https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx

Last updated: November 19, 2020 Page 2 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

- Managing and Maintaining Immigration Records

- Requesting, Sending, and Receiving Immigration Records

- Correspondence and Original Documentation

- Requests for Immigration Records from Outside DHS

Last updated: November 19, 2020 Page 3 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

- Retention/Destruction/Retiring Immigration Records

- Systems Overview

- IIMD Systems

- Reporting Tools and Analytics

- Continuity of Operations Planning

Last updated: November 19, 2020 Page 4 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

- National Security Events

- Furloughs

Volume 1, Part A, Chapter 1- Introduction

Last updated: November 19, 2020 Page 5 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

Volume 1 - General Records

- Overview

- Introduction The Records Policy Manual (RPM) provides immigration personnel with the information necessary for compliance with government record keeping and information management.

The objectives of the RPM are to:

a. Publish complete and accurate records guidance reflecting the policies and procedures for U.S. Citizenship and Immigration Services (USCIS) immigration records;

b. Ensure that guidance is current; and

c. Publish guidance efficiently and in a user-friendly manner.

The RPM is not static. It is a living document. As the needs of the organization change, so does the RPM. In addition, Identity and Information Management Division (IIMD) continues to add guidance in areas where there has not been previous formal guidance.

The RPM applies to Department of Homeland Security (DHS) employees, contractors, and anyone who creates or uses immigration records.

The information in this Part implements the policy found in DHS Management Directive 550-1 and the DHS Records Management Handbook.

- Using the RPM The RPM is accessible through IIMD USCIS Connect homepage and best viewed online.

The RPM is a living document and should not be printed, in part or in whole, as it is subject to frequent changes.

In most cases, the RPM does not define terms and acronyms in the text of the Part.

Acronyms can be found at the end of the manual, and definitions can be found on the RPM Dictionary.

The RPM has hyperlinks to other documents, sites on the intranet and internet, and to material within the RPM.

Operational guidance can be found in the Consolidated Handbook of Adjudication Procedures (CHAP) or local SOPs.

- Updating the RPM IIMD updates the RPM regularly. The last revision date is provided in the footer of the RPM itself with policy updates notated in the Table of Revisions.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://www.dhs.gov/sites/default/files/publications/mgmt_directive_0550_1_records_management_0.pdf https://www.dhs.gov/sites/default/files/publications/mgmt_directive_0550_1_records_management_0.pdf http://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Documents/DHS_Records_Management_Handbook.pdf http://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://connect.uscis.dhs.gov/org/IRIS/IIMD/Pages/default.aspx https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/dictionary.aspx https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/dictionary.aspx https://connect.uscis.dhs.gov/workingresources/CHAP/SitePages/Home.aspx https://connect.uscis.dhs.gov/workingresources/CHAP/SitePages/Home.aspx https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/RPM/RPM_Table_Revisions.pdf

Volume 1, Part B, Chapter 1- Introduction

Last updated: November 19, 2020 Page 6 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

The RPM revision process is outlined in the RPM Working Group Charter. The process affords all operational components the opportunity to evaluate and assess operational impact prior to implementation of revised or new policy ensuring compliance once implemented.

RPM changes are made for a number of reasons, including:

a. Adoption of better practices;

b. Field personnel requests;

c. Changes in the organization or operating needs; and/or

d. Audit findings.

Policy updates are sent to the field via a broadcast message announcing the update. To receive the messages, you must be registered through GovDelivery.com.

All requests for changes, updates, or additions to the RPM, must be submitted online through the RPM Updates/Suggestions Form.

- Basic Records Definitions and Concepts

- Introduction Records are kept because they serve as part of the memory of the organization. Records are not kept because of what they look like.

Records also serve as evidence and a way of showing what actions and decisions the organization made.

The legal definitions describe why and how we keep a special type of organizational memory.

- Records Definitions and Regulations Records: documentary material, regardless of physical form and characteristics, which contains information concerning the conduct of Federal business. Anything used to record the result of an action or decision that you make as part of your job is a record.

a. 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 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 or because of the informational value of data in them. See 44 U.S.C. 3301

b. Books or records of account or minutes of proceedings of any department or agency of the United States shall be admissible to prove the act, transaction or occurrence as a memorandum of which the same were made or kept. See 28 U.S.C. 1733.

c. Properly authenticated copies or transcripts of any books, records, papers or documents of any department or agency of the United States shall be admitted in evidence equally with the originals thereof. See 28 U.S.C. 1733.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/RPM/RPM_Charter.pdf https://public.govdelivery.com/accounts/USDHSCIS/subscriber/new?topic_id=USDHSCIS_148 https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/RPM-Updates.aspx https://www.archives.gov/about/laws/disposal-of-records.html#lists https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section1733&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section1733&num=0&edition=prelim

Volume 1, Part B, Chapter 2- Records Definitions and Regulations

Last updated: November 19, 2020 Page 7 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

d. If any business, institution, member of a profession or calling, or any department or agency of government, in the regular course of business or activity has kept or recorded any memorandum, writing, entry, print, representation or combination thereof, of any act, transaction, occurrence, or event, and in the regular course of business has caused any or all of the same to be recorded, copied, or reproduced by any photographic, photostatic, microfilm, micro-card, miniature photographic, or other process which accurately reproduces or forms a durable medium for so reproducing the original, the original may be destroyed in the regular course of business unless its preservation is required by law.

Such reproduction, when satisfactorily identified, is as admissible in evidence as the original itself in any judicial or administrative proceeding whether the original is in existence or not and an enlargement or facsimile of such reproduction is likewise admissible in evidence if the original reproduction is in existence and available for inspection under direction of court. The introduction of a reproduced record, enlargement, or facsimile does not preclude admission of the original. This subsection 1 shall not be construed to exclude from evidence any document or copy thereof which is otherwise admissible under the rules of evidence. See 28 U.S.C. 1732.

Records include but are not limited to:

a. Decision papers;

b. Memoranda;

c. Databases;

d. Audio or video recordings;

e. Publications;

f. Web pages;

g. Telephone logs; and

h. Email messages.

Records are critical to the accountability of the Federal government and the agency;

therefore, records must

a. Act as part of the organizational memory: This means that the information must pertain to the organization and document an action or decision made on the behalf of the organization; and

b. Have evidentiary value: The information must be in a form that can serve as legal evidence.

Data: Data describes a specific form of information. Data are sets of individual facts. For example, a piece of data about you is your first name. Data is most often kept in a database that groups related information. Central Index System2 (CIS2) is one of the most frequently used USCIS databases. People often assume data is not a record. It can be. Data simply describes how the information is kept. Whether or not data is a record depends on the function of the information.

Documentary materials: records that meet the conditions specified in 36 CFR 1222.10(b)(1), see 36 CFR 1222.12(b):

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section1732&num=0&edition=prelim https://www.ecfr.gov/cgi-bin/text-idx?SID=517defb12e06a502d3de4a0a53652088&mc=true&node=se36.3.1222_110&rgn=div8

Last updated: November 19, 2020 Page 8 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

a. They are made or received by an agency of the United States Government under Federal law or in connection with the transaction of agency business and

b. They are preserved or are appropriate for preservation as evidence of agency organization and activities or because of the value of the information they contain.

Documents: Sometimes people confuse document and record. Document describes the appearance and format of information. Record describes a function of the information.

Documents Data

Primarily text Discrete pieces of information

Narrative or tabular Organized in strictly prescribed format Loosely prescribed form or format Generally managed by database software

Electronic record: any information that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record under the Federal Records Act.

The term includes both record content and associated metadata that the agency determines is required to meet agency business needs. See 36 CFR 1220.18.

The Freedom of Information Act (FOIA) and Privacy Act of 1974 (PA) deal with the right of the public and individuals to access records kept by the government. DHS has trained FOIA/PA specialists to handle the complex issues of what information DHS can and cannot release. For more information, see the following references:

a. FOIA provides that any person has a right to request access to Federal agency records.

See 5 U.SC 552.

b. PA establishes a code of fair information practices that governs the collection, maintenance, use, and dissemination of information about individuals that is maintained in systems of records by federal agencies. See 5 U.S.C. 552a.

c. For more information, see the USCIS FOIA/PA website.

Metadata: consists of preserved contextual information describing the history, tracking, and/or management of an electronic document. See 36 CFR 1220.18.

Nonrecord: Not all documents or data are records. See 36 CFR 1222.14.

a. Nonrecord materials: U.S. Government-owned documentary materials that do not meet the conditions of records status (see 36 CFR 1222.12(b)) or that are specifically excluded from the statutory definition of records (see 44 U.S.C. 3301). An agency's records management program also needs to include managing nonrecord materials. There are three specific categories of materials excluded from the statutory definition of records:

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section552&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section552a&num=0&edition=prelim http://connect.uscis.dhs.gov/org/IRIS/NRC/Pages/FOIAOperationsDivision.aspx https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.ecfr.gov/cgi-bin/text-idx?SID=517defb12e06a502d3de4a0a53652088&mc=true&node=se36.3.1222_114&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=80038e88124c41a5e8566ff04ebea943&mc=true&node=se36.3.1222_112&rgn=div8 https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3301&num=0&edition=prelim

Last updated: November 19, 2020 Page 9 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

Library and museum material (but only if such material is made or acquired and preserved solely for reference or exhibition purposes), including physical exhibits, artifacts, and other material objects lacking evidential value.

Extra copies of documents (but only if the sole reason such copies are preserved is for convenience of reference).

Stocks of publications and of processed documents. Catalogs, trade journals, and other publications that are received from other Government agencies, commercial firms, or private institutions and that require no action and are not part of a case on which action is taken. (Stocks do not include serial or record sets of agency publications and processed documents, including annual reports, brochures, pamphlets, books, handbooks, posters and maps.)

b. Some examples of nonrecord materials include:

Routing slips that do not add anything other than routing information;

Blank forms; and Computer printouts from agency systems that have no added annotations.

Official record versus unofficial record:

a. The USCIS Official Record is material created or received as a result of official government action and is preserved because it contains evidence or information of value.

An example of an “Official Record” is the existing paper A-file and the N-400 with supporting documents ingested into ELIS.

b. In the interim ELIS N-400 process, the term “Unofficial Record” refers to the paper N- 400 Drop File Packet temporarily stored in the paper A-file until the interview, adjudication, and ingestion into ELIS is complete.

c. If the N-400 Drop File Packet is annotated during the adjudication process, the annotation is changed to this record and therefore must be scanned/ingested into ELIS as the official record.

d. In general, the USCIS Unofficial Record is a copy of materials, documents, publications, standard government forms, and library material intended solely for reference or exhibition.

e. To view more training material relating to official versus unofficial records as it pertains to the N-400 process, please click this training link. How to Handle N-400 Official and Unofficial Records - Video.

Permanent record: any Federal record that has been determined by NARA to have sufficient value to warrant its preservation in the National Archives of the United States, even while it remains in agency custody. Permanent records are those for which the disposition is permanent on SF-115, Request for Records Disposition Authority, approved by NARA on or after May 14, 1973. The term also includes all records accessioned by NARA into the National Archives of the United States. See 36 CFR 1220.18.

Record Series or Series: A group of related files that have the same retention period and serve the same function. See 36 CFR 1220.18. Some examples of files series are:

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://ecn.uscis.dhs.gov/team/esd/Division/Records/Training/SitePages/Training%20Modules.aspx https://ecn.uscis.dhs.gov/team/esd/Division/Records/Training/SitePages/Training%20Modules.aspx https://www.archives.gov/records-mgmt/policy/standard-form-115-instructions.html https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118

Last updated: November 19, 2020 Page 10 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

a. A-files; and

b. Administrative correspondence files.

Recorded information: all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form. See 44 U.S.C. 3301.

a. Examples of “recorded information” includes but is not limited to

Books, Papers, Maps, Photographs, Machine readable materials, Other documentary materials made, and Is subject to the Archivist’s determination.

b. The Archivist's determination whether recorded information, regardless of whether it exists in physical, digital, or electronic form, is a record shall be binding on all Federal agencies.

Records Schedule or Schedule, see 36 CFR 1220.18:

a. Form SF-115, Request for Records Disposition Authority, that has been approved by

NARA to authorize the disposition of Federal records;

b. A General Records Schedule (GRS) issued by NARA; or

c. A published agency manual or directive containing the records descriptions and disposition instructions approved by NARA on one or more SF-115s or issued by NARA in the GRS.

Retention period: the length of time that records must be kept. See 36 CFR 1220.18.

Temporary record: any Federal record that has been determined by the Archivist of the United States to have insufficient value (on the basis of current standards) to warrant its preservation by the National Archives and Records Administration. See 36 CFR 1220.18.

This determination may take the form of:

a. Records designated as disposable in an agency records disposition schedule approved by

NARA SF-115; or

b. Records designated as disposable in a General Records Schedule.

Unscheduled records: Federal records whose final disposition has not been approved by NARA on an SF-115. Such records must be treated as permanent until a final disposition is approved. See 36 CFR 1220.18.

Working files: preliminary drafts, rough notes, and other similar materials. 36 CFR 1222.12(c). Working files are records and must be maintained in a record file for purposes of adequate and proper documentation if:

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://www.archives.gov/about/laws/disposal-of-records.html#lists https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.archives.gov/records-mgmt/policy/standard-form-115-instructions.html https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.ecfr.gov/cgi-bin/text-idx?SID=e6787958ed88fc5d6469590231a07b21&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_118 https://www.ecfr.gov/cgi-bin/text-idx?SID=517defb12e06a502d3de4a0a53652088&mc=true&node=se36.3.1222_112&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=517defb12e06a502d3de4a0a53652088&mc=true&node=se36.3.1222_112&rgn=div8

Volume 1, Part B, Chapter 3- Records Maintenance

Last updated: November 19, 2020 Page 11 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

a. They were circulated or made available to employees, other than the creator, for official purposes such as approval, comment, action, recommendation, follow-up, or to communicate with agency staff about agency business; and

b. They contain unique information, such as substantive annotations or comments included therein, that adds to a proper understanding of the agency's formulation and execution of basic policies, decisions, actions, or responsibilities.

c. USCIS strongly discourages keeping any records in a working file or folder. Within USCIS, work folders should have only copies of documents. Only the person who creates the work folder keeps it. If anyone else needs the information, then it is a record.

Don't keep it in a work folder. File it appropriately.

- Records Maintenance Records versus nonrecords examples:

Records Nonrecords Information made or received under Federal law or when conducting agency business

Library materials

Information preserved as evidence or because of the information’s value Copies of publications

Copies of documents with comments and meaningful annotations

Extra copies without any substantial annotations

E-mail used to conduct agency business Blank forms

Lifecycle of Records: Records lifecycle is a core concept in the field of records management. It is the idea that records go through several stages in life.

a. This conceptual model describes three interrelated stages in the life of a record:

Creation. Records are produced;

Maintenance and Use. Complete records are maintained; records can be located when needed; records, non-record materials, and personal papers are maintained separately; and the identification and retention of permanent records are facilitated;

and

Disposition. Records are no longer needed to conduct current government business and are transferred or destroyed as dictated by the approved records schedule.

b. During each stage of its life, the record has differing management needs and different levels of activity. The other important part of this concept is that most records have a defined life span.

Records continuum: The records continuum is a concept developed by the Australian Archives. It differs from the records lifecycle model in one crucial aspect. In this model, management of records begins before creation and continues throughout the entire life of the record. Pre-creation planning includes:

Volume 1, Part C, Chapter 1- Agency Responsibilities

Last updated: November 19, 2020 Page 12 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

a. Choosing media that best suits the record and the needs of the organization for each stage of the records life; and

b. Planning for changes in media, accessibility, and usage patterns as the record ages.

Both models are useful because they emphasize the need for management of records especially:

a. Analyzing how the organizations need for information from a record changes as the record ages; and

b. Planning and investing in a record keeping process that takes into consideration the change in assets needed as the records age. Assets include storage space, equipment, and labor.

The content of the record, rather than the format (for example, memo, email, et cetera), determines how the record needs to be safeguarded.

a. Classified records contain information impacting the security of the United States.

Consult the USCIS Security Handbook or the chapter on handling classified records for more information.

b. Sensitive records contain information that should not be released to the public. The Freedom of Information Act and Privacy Act (FOIA/PA) list examples of this type of information.

c. Routine or non-sensitive information includes such things as:

Copies of policies and procedures that do not reveal details of law enforcement activity, internal personnel matters, or that could be used for fraud;

Routine correspondence that does not contain information about individuals;

Printouts of broadcast emails; and Copies of information printed off the Internet.

If you are uncertain whether or not a record contains sensitive information, treat it as sensitive.

- Record Keeping Responsibilities

- Agency Responsibilities The head of each Federal agency must make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency. These records must be designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities. See 44 U.S.C. 3101.

The head of each Federal agency must establish and maintain an active, continuing program for the economical and efficient management of the records of the agency. See 44 U.S.C.

3102.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx http://osi.uscis.dhs.gov/USCIS_Security_Handbook/index.htm#adminsec https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3301&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3102&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3102&num=0&edition=prelim

Volume 1, Part C, Chapter 2- Employee Responsibilities

Last updated: November 19, 2020 Page 13 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

Agencies must create and maintain authentic, reliable, and usable records and ensure that they remain so for the length of their authorized retention period. See 36 CFR 1220.32. A comprehensive records management program provides policies and procedures for ensuring that:

a. Records documenting agency business are created or captured;

b. Records are organized and maintained to facilitate their use and ensure integrity throughout their authorized retention periods;

c. Records are available when needed, where needed, and in a usable format to conduct agency business;

d. Legal and regulatory requirements, relevant standards, and agency policies are followed;

e. Records, regardless of format, are protected in a safe and secure environment and removal or destruction is carried out only as authorized in records schedules; and

f. Continuity of operations is supported by a vital records program. See 36 CFR 1223.

Agency records management programs must provide for the following. See 36 CFR 1220.30.

a. Effective controls over the creation, maintenance, and use of records in the conduct of current business; and

b. Cooperation with the Archivist and the Administrator of GSA in applying standards, procedures, and techniques designed to improve the management of records, promote the maintenance and security of records deemed appropriate for preservation, and facilitate the segregation and destruction of records of temporary value. See NARA Bulletin 2014- 04 Format Guidance for the Transfer of Permanent Electronic Records for regulations regarding formats.

- Employee Responsibilities All Federal employees are responsible for creating and helping to maintain full and adequate documentation for your job function. See 36 CFR 1220.30. If your answer to any of the following questions is “yes,” you must create a record for full and adequate documentation.

a. Does a statute, regulation, or Congress require making a record?

b. Is your action creating or supporting a financial or legal claim or obligation by either the government or an individual?

c. Are you taking an action, conducting a transaction, or making a decision on the behalf of

Department of Homeland Security (DHS)?

d. Does your job make you responsible for providing information that is required to operate a DHS program or to support any DHS function?

e. Does your job make you responsible for providing information that makes it easier to take DHS actions and keep them consistent?

f. Does your job make you responsible for providing information documents or helps implement decisions, policies, or directives?

g. Are you recording minutes or notes from a board, committee, or staff meeting?

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://www.ecfr.gov/cgi-bin/text-idx?SID=c43c34c656d44af29aaa12ef52705b1f&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_132 https://www.ecfr.gov/cgi-bin/text-idx?SID=104e86167150d3b53e2e1c50aea71e01&mc=true&node=pt36.3.1223&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=c43c34c656d44af29aaa12ef52705b1f&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_130 https://www.ecfr.gov/cgi-bin/text-idx?SID=c43c34c656d44af29aaa12ef52705b1f&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_130 https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html https://www.ecfr.gov/cgi-bin/text-idx?SID=c43c34c656d44af29aaa12ef52705b1f&mc=true&node=pt36.3.1220&rgn=div5#se36.3.1220_130

Volume 1, Part C, Chapter 3- Email Responsibilities

Last updated: November 19, 2020 Page 14 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

All Federal employees are responsible for

a. Ensuring records are secure and handled properly;

b. Reporting lost, destroyed, or damaged records to the Records Unit; and

c. Following the approved NARA retention schedules when disposing of records. Failure to adhere to retention could lead to criminal penalties. The maximum penalty for the willful and unlawful destruction, damage, or alienation of Federal records is a $2,000 fine, 3 years in prison, or both. See 18 U.S.C. 2071.

All Federal employees are responsible for securing Personally Identifiable Information (PII).

a. PII is defined as "any information that permits the identity of an individual to be directly or indirectly inferred," such as a social security number, birth-date, A-file number, etc.

Breaches of PII's occur when this personal information is available to those without legitimate access or need for it.

b. PII breaches include but are not limited to:

Placing PII on thumb-drives/CDs/DVDs without proper encryption;

Leaving PII documents on a fax machine or copier; or Improperly storing documents containing PII, or improperly discarding PII documents.

c. Failure to follow legal authorities can result in civil or criminal penalties, reprimands, suspensions or employment terminations for showing a gross disregard or pattern of error in the safeguarding of PII. For more information on PII and safeguarding procedures, please see the memo titled USCIS Policy Regarding Personally Identifiable Information and the Office of Privacy Connect site.

All DHS employees are responsible for:

a. Keeping track of the immigration records in your Responsible Party Code (RPC) and in your possession;

b. Responding promptly to requests for immigration records in your RPC;

c. Ensuring immigration records that cannot be released are marked as In-Use in RAILS;

and

d. Working with requesters to provide either the immigration record or the information needed to make an accurate and timely decision.

All Supervisors and Managers are responsible for:

a. Ensuring individuals respond to record requests according to the required guidelines; and

b. Following up on late responses.

- Email Responsibilities DHS email systems are for official use only by authorized personnel. The information in these systems is Departmental, not personal. Email is provided for official use, with limited personal use allowed. No expectation of privacy or confidentiality applies.

This guidance applies to all incoming and outgoing DHS email, including to or from non- DHS and outside sources, for example emails sent to a personal email address.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section2071&num=0&edition=prelim http://connect.uscis.dhs.gov/Sandbox/OCOMM/PVY/Documents/Policy%20Memo%20Regarding%20Personally%20Identifiable%20Information.pdf http://connect.uscis.dhs.gov/org/pvy/Pages/default.aspx

Volume 1, Part C, Chapter 3- Email Responsibilities

Last updated: November 19, 2020 Page 15 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

Email must be preserved for the appropriate retention period along with its essential transmission and receipt data (names of sender and addressee(s) and date the message was sent) in order for the context of the message to be understood.

The sender and the person who receives electronic mail determine independently whether the message and its attachments meet the definition of a Federal record for their office. See 44 U.S.C. 3301. The following are examples of email that constitute Federal records.

a. Email that contains substantive information that is necessary to adequately and properly document the activities and functions of DHS;

b. Email that provides key substantive comments on a draft action memorandum if the electronic mail message adds to a proper understanding of the formulation or execution of DHS action;

c. Email that provides documentation of significant DHS decisions and commitments reached orally (person-to-person, by telecommunications, or in conference);

d. Email that conveys information of value on important DHS activities, if the email message adds to a proper understanding of DHS operations and responsibilities;

e. Email that documents the formulation and execution of basic policies and decisions;

f. Email that documents important meetings;

g. Email that denotes actions taken by DHS officials and their successors;

h. Email that makes possible a scrutiny by the Congress or other duly authorized agencies of the Government; and

i. Email that protects the financial, legal, and other rights of DHS and of persons directly affected by the Department’s actions.

If an email item, either sent or received, is a Federal record, it is the responsibility of the

DHS employee to ensure that a copy is preserved by making it a part of the official files of DHS, unless it is transitory.

Federal record emails may not be altered or improperly destroyed. This includes the email message itself along with the record of transmission, receipt date, and any attachments.

The retention period for Federal record email is governed by the appropriate NARA-approved DHS records control schedule or the General Records Schedule (GRS). Email users who are uncertain about the disposition of email messages should contact their program office Records Officer for assistance.

Email determined to be Federal records falls into three categories: permanent records, temporary records, and transitory records. If an email is an unscheduled record, it must be treated as permanent until NARA approves a schedule.

a. Permanent emails are those messages that have sufficient value to warrant continued preservation by the Federal Government. These records have continuing value as documentation of the organization and functions of DHS or because the records document the nation’s history by containing significant information on persons, things, problems, and conditions.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3301&num=0&edition=prelim https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3301&num=0&edition=prelim

Volume 1, Part C, Chapter 4- Establishing a File Control Office (FCO)

Last updated: November 19, 2020 Page 16 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

b. Temporary emails document DHS business processes or document legal rights of the government or the public, document government accountability, or contain information of administrative or fiscal value.

c. Transitory emails are those messages of short-term interest which have no documentary or evidential value and normally need not be kept more than 90 days.

Disposition of all email records will be made in accordance with an authorized records disposition schedule.

a. When paper files are used as the recordkeeping system, permanent and temporary email are maintained and made available for office use by printing the email message (with attachment) and filing in the manual recordkeeping system.

b. When the recordkeeping copy is maintained in paper, the printed email message with attachments will be annotated to document that it is the official file copy before being placed in the official files of the responsible organization.

c. When an electronic recordkeeping system is used, emails are filed electronically. This method requires the ability to perform preservation, protection, storage, retrieval, and disposition through the email application system itself; or copy email records into an electronic recordkeeping system, able to perform all the functional requirements of the Federal regulations. “Backups” made as a normal part of email systems operation and maintenance do not meet these requirements and should not serve as an electronic recordkeeping system.

d. Email systems may also provide users with the ability to request acknowledgements or receipts showing that an email message reached the mailbox or inbox of addressee(s) and was accessed. Email users should request receipt data when it is needed for adequate and proper documentation of DHS activities, especially when it is necessary to confirm that an email message was received and accessed. In such instances, receipt data associated with the record copy of the email message will be preserved.

Additional guidance and definitions can be found in the DHS Records Management Handbook. Electronic Records Scheduling information can be found on the NARA website.

- Establishing a File Control Office (FCO) To request the establishment of an FCO, an office must submit:

a. A signed memorandum, routed through their chain of command, to IIMD;

b. A Data Change Request for assignment of a DHS Location Code; and

c. A completed copy of the FCO Certification Checklist.

The directorate requesting the establishment of an FCO is responsible for determining the appropriate level within the chain of command for this approval.

The memo must include the following information:

a. New office location, including sub offices or addresses of separate buildings within the

FCO;

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx http://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Documents/DHS_Records_Management_Handbook.pdf http://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Documents/DHS_Records_Management_Handbook.pdf https://www.archives.gov/ http://architecture.dhs.gov/DataManagement/EDMO/DSTWG-DCR/SitePages/DCR%20Submission%20Form.aspx http://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Documents/FCO_Certification_Checklist.pdf

Volume 1, Part C, Chapter 5- FCO Responsibilities

Last updated: November 19, 2020 Page 17 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

b. Copies of training certificates for records employees at the new FCO in the following subject areas:

Records Management;

RAILS;

CIS2;

Basic Records; and Records Assurance.

If not available at the time of the request, the FCO must submit certificates within 30 days of FCO establishment;

c. Names of local ICE and CBP points of contact (POCs) who can address all Records issues at the FCO;

d. Prospective establishment date;

e. Names of RAILS Administrator; and

f. FCO Records POC and email box.

Each FCO or Records group must have an email box specifically for Records matters.

a. These email boxes must not be used for expedited requests.

b. The email address must be the three digit FCO followed by the letters REC. For example, the email address for Los Angeles is LOSREC and the email address for Miami is MIAREC.

c. The only exception is the NRC, which has a number of email accounts for different services. Email addresses for the NRC are located in the NRC Customer Guide.

FCOs must have sufficient number of Records staff to process all records-related tasks.

The FCO is responsible for purchasing all equipment needed for records management to include:

a. Audit guns;

b. Barcode scanners;

c. Specialized barcode printers; and

d. Any other necessary equipment.

After approvals are obtained, IIMD will:

a. Notify the appropriate headquarters offices when the new FCO is active in RAILS and

CIS2; and

b. Coordinate with the requesting office and any other affected offices to ensure current records physically at the FCO are in RAILS and CIS2. IIMD staff will work with each office on an individual basis to ensure a smooth transition.

- FCO Responsibilities A File Control Office (FCO) is an office that is authorized to manage immigration records, such as A-files and Receipt files. FCOs can create, store, transfer, receive, maintain, and retire immigration records. Previously, some offices were referred to as Case Control Offices (CCO), but with the implementation of RAILS all offices are referred to as FCOs.

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Documents/National_Records_Center_Customer_Guide.pdf#search=NRC%20Customer%20Guide

Volume 1, Part C, Chapter 6- Records Custodian Responsibilities

Last updated: November 19, 2020 Page 18 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

FCOs are responsible for

a. All records in its jurisdiction to include sub-offices, field offices, ports of entry, and border patrol stations within the surrounding area;

b. Record retirements, mandatory annual audits of records, record creation, consolidation, and de-consolidation;

c. Managing all record tracking and control reports;

d. Coordinating with the Mail Management Division to establish mail procedures;

e. Developing Continuity of Operations Planning, see RPM Volume 6;

f. Coordinating with ICE and CBP per the Service Level Agreement (SLA); and

g. Adhering to USCIS records policies and procedures as codified in the RPM.

FCOs must have access to all electronic systems that support records functions (such as, RAILS, CIS2, EDMS, and SMART). For more information on systems, see RPM Volume 4.

FCOs are the only offices permitted to transfer records in and out of external offices. RAILS users can directly transfer records to other FCOs.

- Records Custodian Responsibilities Each FCO must designate a primary and an alternate Records Custodian with responsibility for file reviews. The primary role of the custodian is to safeguard the records which are created, used, and maintained for USCIS purposes while cooperating with other agencies where possible.

Each Records Custodian must know what can be disclosed and must exercise discretion whether to make such disclosures.

Records custodians will, upon request, provide agencies in their jurisdiction of the name, title, telephone number, and e-mail address of the designated Records Custodians.

- Closing or Changing Jurisdiction of an FCO IIMD requires at least 30 days advance notice before an FCO may cease operations. Once an

FCO closes, the FCO that assumed the responsibilities of the closing FCO will manage all responsibilities, including record movement.

Before an FCO is closed or jurisdiction is changed, the requesting FCO must:

a. Notify headquarters program offices; and

b. Work with affected offices to ensure RAILS and CIS2 account for current records at the

FCO.

To request to close or change the jurisdiction of an FCO, an office must provide IIMD with the following:

https://connect.uscis.dhs.gov/org/IRIS/IIMD/RPM/Pages/rpm_default.aspx http://connect.uscis.dhs.gov/org/MGMT/ADMIN/MailMgmt/Pages/default.aspx http://connect.uscis.dhs.gov/org/IRIS/IIMD/Policy/Pages/AgencyAgreements.aspx

Volume 1, Part D, Chapter 1- Retention and Disposition of Records Regulations

Last updated: November 19, 2020 Page 19 | 179

This document is current only as of the date of access. Do not create/retain electronic or paper versions of the RPM—in whole or in part—unless absolutely necessary. Updates to the RPM are made on a regular basis.

Therefore, users must refer to the USCIS Identity and Information Management Division RPM Connect site for the most recent guidance.

a. A signed memorandum notifying IIMD of the closure or change of jurisdiction, routed through the FCO’s directorate. The directorate requesting the closure or change of jurisdiction of an FCO is responsible for determining the appropriate level within the chain of command for this notification;

b. A completed copy of the FCO Closing/Changing Certification Checklist;

c. A copy of the memorandum from USCIS to ICE and CBP explaining that the office is closing and referring ICE and CBP to another FCO; and

d. A list of all reports that the FCO will need to reconcile, including reports from SMART.

IIMD will work with the FCO to reconcile all reports.

The FCO requesting to close or change jurisdiction must wait until the RAILS and CIS2 development teams can assist in electronically moving their records into the FCO that will have jurisdiction over the…