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Subject:
From:
Maarja Krusten <[log in to unmask]>
Reply To:
Records Management Program <[log in to unmask]>
Date:
Tue, 2 Aug 2005 15:05:28 -0400
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As promised, here are links to selected GAO reviews or reports covering various records issues.  I picked a number of reports from 1979 to 2005 to show the range of issues (electronic records, appraisal, removal of records, access) that GAO has covered.  GAO noted  in a report in 1999 that "decentralized control over electronic documents is changing the face of records management. . . . records can easily be deleted without records managers even being aware that the record existed."  Note also the number of secretaries once employed by the Federal government, noted in the last report from 1979.

1.  Information Management: Acquisition of the Electronics Records Archives Is Progressing, GAO-05-802, July 15, 2005
http://www.gao.gov/new.items/d05802.pdf
Subjects covered:  "The ERA program is meeting its cost, schedule, and performance objectives and has identified risks to the program's objectives. . . . However, the Office of the Inspector General has identified additional security weaknesses, including the lack of a formal, documented, and tested agency disaster recovery plan; and inadequate physical and logical security in areas such as password and systems configuration management. Until NARA fully addresses all prior recommendations, risks remain to the successful implementation of the system."

2.  GAO-02-586 Information Management: Challenges in Managing and Preserviing Electronic Records
http://www.gao.gov/new.items/d02586.pdf
Subjects covered:  "Agencies are increasingly moving to an electronic environment rather than paper records. Because electronic records provide comprehensive documentation of essential government functions and provide information necessary to protect government and citizen interests, their proper management is essential. Further, the preservation of significant documents and other records is crucial for the historical record.  . . .Although NARA plans to improve its guidance and to address technology issues, its plans do not address the low priority generally given to records management programs, nor the issue of systematic inspections."

3.  National Archives: Preserving Electronic Records in an Era of Rapidly Changing Technology, GGD-99-94, July 19, 1999
http://www.gao.gov/archive/1999/gg99094.pdf
Subjects covered:  "Electronic records are now frequently created on a personal computer.  Electronic recordkeeping responsibilities are often overlooked by the staff member who creates the record. The staff member should be made aware of what constitutes an electronic record, how to save it, and how to archive it for future use. Decentralized control over electronic documents is changing the face of records management because records can easily be deleted without records managers even being aware that the record existed. The agencies are challenged with informing employees what is required of them and how to accomplish their records management responsibilities."

4.   IRS RECORDS: Inconsistencies Between Statutes Affect Records Appraisal GAO/GGD-98-4
http://www.gao.gov/archive/1998/gg98004.pdf
Subjects covered:  "This report was prompted by long-standing issues surrounding the National Archives and Records Administration's access to IRS records for appraisal purposes, the former IRS historian's allegations about the agency's records management program, and a 1995 National Archives and Records Administration evaluation of IRS' records management program. GAO (1) determines how IRS applies the restrictions of section 6103 in reviewing and inventorying its records and (2) evaluates how IRS carries out its records management responsibilities."

5.  GGD-91-117 Federal Records: Document Removal by Agency Heads Needs Independent Oversight
http://archive.gao.gov/t2pbat7/144859.pdf
Subjects covered:  "Pursuant to a congressional request, GAO reviewed whether current laws adequately protect federal records and the information they contain when senior federal officials remove documents upon leaving office. . . . Current internal controls do not adequately ensure that government records and information are properly protected because no independent review of documents is made before they are removed. Reviews, if made at aIl, are done by subordinates who may not be able to effectively challenge the decisions of departing agency heads. Having complete records is critical to protecting government interests. We believe that NARA should oversee agency heads' plans to remove documents and determine whether their relinquishment and removal are consistent with federal laws and regulations."

6.   GGD-89-91 Federal Records: Removal of Agency Documents by Senior Officials Upon Leaving Office
http://archive.gao.gov/d26t7/139495.pdf
Subjects covered:  "Pursuant to a congressional request, GAO surveyed 13 cabinet-level departments to assess the extent to which they governed senior officials' removal of federal records upon leaving office."

7.   Electronic Records: Clinton Administration's Management of Executive Office of the President E-Mail System, GAO-01-446, April 30, 2001
http://www.gao.gov/new.items/d01446.pdf
Subjects covered:  "This report discusses the facts surrounding the ability of the Clinton White House to preserve certain electronic mail (e-mail) deemed official government records. GAO found that two malfunctions occurred in the White House e-mail system that prevented official records from being properly recorded in the Automated Records Management System (ARMS)."

8.    NSIAD-94-187 Records Management: Retrieval of State Department's Political Appointee Files
http://archive.gao.gov/t2pbat2/152333.pdf
Subjects covered:  "GAO was asked to review an investigative report prepared by the Office of Inspector General (OIG) of the Department of State regarding the retrieval of files on Bush Administration political appointees. The OIG report concluded that the Clinton Administration staff in the State Department White House Liaison Office had retrieved and reviewed files containing information on Bush Administration political appointees and that the release of information about these files appeared to violate the Privacy Act."

9.    B-222963/860610 [Regulations on Historical Records of President Nixon]
http://archive.gao.gov/t2pbat24/130963.pdf
Subjects covered:  "In response to a congressional request, GAO reviewed the Department of Justice's opinion on the U.S. Archivist's regulations regarding former President Nixon's historical materials. GAO noted the Justice conclusion that the Archivist must accept without challenge any claim of executive privilege asserted by the former President. GAO found that the opinion was: (1) inconsistent with the Archivist's regulations; (2) contrary to the Archivist's statutory responsibilities; and (3) inconsistent with past practices. GAO questioned whether Justice will permit the Archivist to fully exercise his responsibilities "

10.  FGMSD-79-17 Federal Productivity Suffers Because Word Processing Is Not Well Managed
http://archive.gao.gov/f0302/109023.pdf
Subjects covered:  "The Federal Government employs over 171,000 secretaries, stenographers, and typists at an annual salary outlay of over $1.5 billion. Word processing can help reduce the size and cost of this work force. This report discusses the management and productivity of word processing in some of the largest federal agencies."

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