	Background

The federal government collects, generates, and uses large amounts  of information in electronic form, from enormous geographic  databases to individual e-mails. Federal Agencies and NARA Have Responsibilities for Federal Records Management

Under the Federal Records Act, each federal agency is required to  make and preserve records that (1) document the organization,  functions, policies, decisions, procedures, and essential transactions  of the agency and (2) provide the information necessary to protect  the legal and financial rights of the government and of persons  directly affected by the agency’s activities. If these records are not  effectively managed, individuals might lose access to benefits for  which they are entitled, the government could be exposed to legal  liabilities, and historical records of vital interest could be lost  forever. For records management, NARA is responsible for issuing guidance;  working with agencies to implement effective controls over the  creation, maintenance, and use of records in the conduct of agency  business; providing oversight of agencies’ records management  programs; approving the disposition (destruction or preservation) of  records; and providing storage facilities for agency records. Federal Records Management Has Been Given Low Priority and Has Had Persistent Weaknesses

Historically, despite the requirements of the Federal Records Act,  records management has received low priority within the federal  government. In 2008, we reported on weaknesses in federal e-mail management  at four agencies. According to NARA, the  survey results showed that almost 80 percent of agencies were at  moderate to high risk of improper disposition of records. ●  Huge volumes of electronic information are being created. Electronic information is increasingly being created in volumes that  pose a significant technical challenge to our ability to organize it and  make it accessible. ●  Electronic records are complex. ●  Identification and classification of electronic records are difficult  in a decentralized computing environment. Documents can be created on individuals’  desktop computers and stored on local hard drives. As we reported in 2008, e-mail is especially problematic. Agency Commitment Is a Prerequisite for Addressing the Electronic Records Challenge

As NARA has pointed out, the decision to move to electronic  recordkeeping is inevitable, but as we and NARA have previously  reported, implementing such systems requires that agencies commit  the necessary resources for planning and implementation, including  establishing a sound records management program as a basis. Nor will automation solve the  problem of lack of priority, which, as our previous work has shown,  is of long standing. However, several developments could lead to  increased senior-level attention to records management: NARA’s use  of public ratings as a spur to agency management, growing  recognition of risks entailed in poor information and records  management, the requirements and emphasis of the recent Open  Government Directive, and the influence of congressional oversight. Senior management commitment, if followed through with effective  implementation, could improve the governmentwide management of  electronic and other records. Electronic Recordkeeping Systems Are Challenging to Implement and Will Not Yet Solve the End User Problem

Moving to electronic recordkeeping is not a simple or easy process. Raising visibility, as NARA is doing by publishing the results of its  self-assessment survey, can raise the perception among senior  agency officials of the importance of records management.
Why GAO Did This Study

Federal agencies are increasingly using electronic means to create, exchange, and store information, and in doing so, they frequently create federal records: that is, information, in whatever form, that documents government functions, activities, decisions, and other important transactions. As the volume of electronic information grows, so does the challenge of managing electronic records. Both federal agency heads and the National Archives and Records Administration (NARA) have responsibilities for managing federal records. As requested, after providing some context about records management in the federal government and the roles of federal agencies and NARA, this testimony describes the challenges of electronic records management and potential means of addressing these challenges. In preparing this testimony, GAO relied primarily on its previous work, supplemented by analysis of publicly available documents.

What GAO Found

Under the Federal Records Act, agencies are to manage the creation, maintenance, use, and disposition of records in order to achieve adequate and proper documentation of the policies and transactions of the federal government and effective and economical management of agency operations. If records are poorly managed, individuals might lose access to benefits for which they are entitled, the government could be exposed to legal liabilities, and records of historical interest could be lost forever. NARA is responsible, among other things, for providing records management guidance, assistance, and oversight. However, as GAO has previously reported, records management has received low priority within the federal government. Prior reports have identified persistent weaknesses in federal records management, including a lack of policies and training. GAO's most recent report, in 2008, found weaknesses in e-mail management at the four agencies reviewed due in part to insufficient oversight and training. This year, NARA published the results of its first annual agency records management self-assessment survey, indicating that almost 80 percent of agencies were at moderate to high risk of improper disposition of records. Electronic records are challenging to manage, especially as electronic information is being created in volumes that pose a significant technical challenge to the ability to organize and make it accessible. Further, electronic records range in complexity from simple text files to highly complex formats with embedded computational formulas and dynamic content, and new formats continue to be created. Finally, in a decentralized environment, it is difficult to ensure that records are properly identified and managed by end users on individual desktops (the "user challenge"). E-mail is particularly problematic, because it combines all these challenges and is ubiquitous. Technology alone cannot solve the problem without commitment from agencies. Electronic recordkeeping systems can be challenging to implement and can require considerable resources for planning and implementation, including establishing a sound records management program as a basis. In addition, the "user problem" is not yet solved, particularly for e-mail messages. Further, automation will not solve the problem of lack of priority, which is of long standing. However, several developments may lead to increased senior-level attention to records management: NARA's use of public ratings as a spur to agency management, growing recognition of risks entailed in poor information and records management, the requirements and emphasis of the recent Open Government Directive, and the influence of congressional oversight. Senior management commitment, if followed through with effective implementation, could improve the governmentwide management of electronic and other records.