Inherent Features of Electronic Records Make Management and Preservation Challenging

The rapid evolution of information technology makes the task of  managing and preserving electronic records complex and costly. Electronic records are increasingly being created in volumes that  pose a significant technical challenge to our ability to organize them  and make them accessible. Storage media are affected by the dual problems of obsolescence  and decay. As computer hardware  and application software become obsolete, they may leave behind  electronic records that cannot be read without the original hardware  and software. However, most electronic records—including databases of  major federal information systems—remained unscheduled, and  records of historical value were not being identified and provided to  NARA; as a result, they were at risk of loss. NARA Is Continuing to Respond to Records Management Challenges, but Its Progress on Inspections is Limited

Since June 2002, NARA has taken steps to strengthen its guidance,  to address the low priority accorded to records management  programs and the associated lack of technology tools, and to revise  its approach to inspections as part of a comprehensive strategy for  assessing agencies’ management of records. For example,  although 36 CFR Part 1234, the basic guidance on electronic  records, has not been updated to reflect new types of electronic  records, NARA has produced a variety of guidance on electronic  records. Efforts Continue to Raise the Priority of Agency Records Management Programs and Address Technology Issues

In response to our recommendation that it develop a documented  strategy for raising agency senior management awareness of records  management, NARA devised a strategy intended to raise awareness  of the importance of agency records management. Finally, no implementation plan or schedule for this new strategy  has yet been devised. NARA’s Acquisition of ERA Continues to Face Risks

In addition to its efforts to improve records management across the  government, NARA is also acquiring ERA as a means to archive all  types of electronic records and make them accessible, regardless of  changes to hardware and software over time. However, NARA faces  significant challenges in acquiring ERA. ERA will be a major  information system; NARA has no previous experience in acquiring  major information systems. NARA has made progress in strengthening these capabilities, but  these efforts are incomplete. Unless NARA can address these issues, the risk is increased that the  ERA system will fail to meet user expectations, and that NARA may  not have the information required to control the cost of the system  or the time it will take to complete it. In light of these risks, our briefing included recommendations to  NARA to address the weaknesses in its acquisition policies, plans  and procedures and to improve its ability to adequately track the  project’s cost and schedule.
Why GAO Did This Study

The difficulties of managing, preserving, and providing access to the vast and rapidly growing volumes of electronic records produced by federal agencies present challenges to the National Archives and Records Administration (NARA), the nation's recordkeeper and archivist. Complex electronic records are being created in volumes that make them difficult to organize and keep accessible. These problems are compounded as computer hardware, application software, and even storage media become obsolete, as they may leave behind electronic records that can no longer be read. As a result, valuable government information may be lost. GAO was requested to testify, among other things, on NARA's recent actions to address the challenges of electronic records management, including its effort to address the problem of preserving electronic records by acquiring an advanced Electronic Records Archive (ERA).

What GAO Found

As reported in GAO's past work, most electronic records--including databases of major federal information systems--remained unscheduled: that is, their value had not been assessed, and their disposition--to destruction or archives--had not been determined. In addition, records of historical value were not being identified and provided to NARA; as a result, they were at risk of loss. NARA has begun to address these problems by taking steps to improve federal records management programs; among other things, it has (1) updated guidance to reflect new types of electronic records, (2) devised a strategy for raising awareness among senior agency management of the importance of good federal records management, and (3) devised a comprehensive approach to improving agency records management that includes inspections and identification of risks and priorities. Through these and other actions, NARA is making progress, but its approach to improving records management does not include provisions for using inspections to evaluate the efficacy of its governmentwide guidance, and an implementation plan for the approach has yet to be established. Without these elements, the risk is increased that federal records management problems will persist. In addition to its efforts to improve records management, NARA is also acquiring ERA as a means to archive all types of electronic records and make them accessible. GAO found, however, that NARA faces significant challenges in acquiring ERA, a major information system. While NARA has made progress in building its organizational capabilities for acquiring major information systems, it has not developed adequate policies, plans and practices to guide the ERA acquisition or established the means to track the cost and schedule of the project. Unless NARA addresses these and other issues, the ERA system may not meet user expectations, and NARA may not have the information required to control the cost of the system or the time it will take to complete it.