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Intermediary records
Records of an intermediary nature, meaning that they are created or used in the process of creating a subsequent record. To qualify as an intermediary record, the record must also not be required to meet legal or fiscal obligations, or to initiate, sustain, evaluate, or provide evidence of decision-making. Records include:rn- non-substantive working files: collected and created materials not coordinated or disseminated outside the unit of origin that do not contain information documenting significant policy development, action, or decision making. These working papers do not result directly in a final product or an approved finished report. Included are such materials as rough notes and calculations and preliminary drafts produced solely for proof reading or internal discussion, reference, or consultation, and associated transmittals, notes, reference, and background materials.rn- audio and video recordings of meetings that have been fully transcribed or that were created explicitly for the purpose of creating detailed meeting minutes (once the minutes are created) rn- dictation recordingsrn- input or source records, which agencies create in the routine process of creating, maintaining, updating, or using electronic information systems and which have no value beyond the input or output transactionrn- ad hoc reports, including queries on electronic systems, whether used for one-time reference or to create a subsequent reportrn- data files output from electronic systems, created for the purpose of information sharing or reference (see Exclusion 2)
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lnteragency Committee Records
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Records documenting the establishment and formation of interagency committees and their significant actions and decisions. Committee members may include representatives from other Federal agencies; State, Territory, Tribal, and local governments; international agencies; commercial business; non-for-profit businesses; labor unions; and/or public citizens. Records related to the establishment of the committee (e.g. charters, enacting legislation, filing letters to Congress, organization charts, committee bylaws, standard operating procedures, guidelines); records related to committee membership; records of committee meetings and hearings (e.g. agendas, meeting minutes, public comments, testimony received during hearings, transcripts of meetings and hearings); records related to committee findings (e.g. final reports, memoranda, letters to agency, studies produced by or for the committee); records related to research collected or created by the committee; correspondence; records related to committee termination; and other records documenting decisions, discussions, or actions related to the work of the committee.
Transitory records
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Records required only for a short time (generally less than 180 days) and that are not required to meet legal or fiscal obligations, or to initiate, sustain, evaluate, or provide evidence of decision-making. Records include, but are not limited to:rn- messages coordinating schedules, appointments, and events rn- transmittal documents such as e-mail, letters, cover memos, and facsimile cover sheets that do not provide evidence of approval, concurrence, or decision-making, or include substantive commentsrn- received copies of circulated internal information such as agency instructions, notifications, circulars, newsletters, and email blasts to employeesrn- messages received from agency distribution lists or listservs rn- “to-do” or task lists and assignments
Additional Information
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These records relate to the identification and information on concerns, disputes, and issues presented to the Ombudsman. This documentation summarizes tasks and is used to informally keep track of issues and aid in the development of solutions or resolutions that ultimately may conclude the tasks. These tasks relate to confidential discussions protected from any outside inspection other than the Ombudsman, and information provided anonymously with the intent to help resolve the matter. These records include, but are not limited to, facilitated conversations, non-attribution issue summaries, dispute resolution communications, notes of work product of the neutral parties or non-party participants, summaries of descriptive statistics, and executive overviews.
Substantive Committee Records (Non-Grant Review Committees)
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Records documenting the establishment and formation of committees and their significant actions and decisions. Refer to agency administrative procedures to ascertain if these records are held by the CMO, GFO, or DFO. Only one copy of each record is considered permanent. Not all records described below are necessarily created for all committees. Records may include:rn- records related to the establishment of the committee rn- records related to committee membershiprn- records of committee meetings and hearingsrn- records related to committee findings and recommendationsrn- records created by committee membersrn- records related to research collected or created by the committeern- documentation of advisory committee subcommittees (i.e., working groups, or other subgroups)rn- records related to committee termination (i.e., email, letter, memo, etc.).rn- other records documenting decisions, discussions, or actions related to the work of a committee, including information on committee websites not captured elsewhere in committee records.
Forms management records
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Records involved with ensuring use of standard Federal and agency forms to support effective record-keeping and ensuring that Federal standard forms are available and used as appropriate to support Federal record-keeping requirements. Includes:rn- registers or databases used to record and control the numbers and other identifying data assigned to each formrn- official case files consisting of the record copy of each agency-originated form with related instructions and documentation showing inception, scope, and purpose of the formrn- background materials and specifications