In this way, NARA is to ensure continuing  access to the essential documentation of the rights of American citizens  and the actions of their government. NARA Is Improving its Oversight Activity, but More Remains to Be Done

The effectiveness of NARA’s oversight activity has been improved by  recent initiatives. It has now completed its first governmentwide  records management self-assessment survey, resumed agency inspections  after a long gap, and increased its reporting. These new efforts have  provided NARA with a fuller picture of governmentwide records  management, including an assessment by agency of the risk of  unauthorized destruction of federal records; as a result, it is in a better  position to determine where records management improvements are most  needed, develop and update guidance, and hold agencies accountable by  publishing assessments of their records management programs. Following an  extended effort to get agencies to submit schedules for unscheduled  systems containing electronic records, NARA has increased the number of  schedules it has approved per year, but nevertheless has an increased  backlog of schedules awaiting approval. NARA faces the risk that its  success in getting agencies to schedule their systems may result in more  schedules being submitted than it can handle in a timely manner. NARA’s planning for its inspection program is at a high level and is still  under development. 33 percent of agencies did not submit reports. NARA’s Ability to Preserve Federal Records Is Strained by Volume of Records, Finite Resources, and Technology

NARA faces challenges in preserving permanent records in its  possession—both paper and electronic—largely because of the sheer  volume of federal records, the finite resources available to deal with them,  and the technological challenges posed by electronic records. NARA has a  large and persistent backlog of records in paper and other media needing  preservation actions. Until ERA and its  electronic preservation capabilities are fully implemented, there is  reduced assurance that NARA can ensure the preservation of all electronic  records. In fiscal year 2009, NARA reported treating nearly 116,000 cubic  feet of at-risk archival records. Nonetheless, as additional records were  accessioned, the percentage of backlog remained essentially constant, and  the actual amount of holdings requiring preservation action grew from  about 2.4 million cubic feet in 2008 to about 2.6 million cubic feet in 2009. In Key Management Areas, NARA Has Policies and Procedures that Are Consistent with Its Strategic Planning, although Gaps Remain

NARA’s policies and procedures for key aspects of governance, human  capital, and collaboration are generally aligned with its strategic planning,  but selected areas have gaps. In addition, it has developed a  strategic human capital plan that is consistent with our human capital  strategic framework, but its implementation of the plan has been delayed,  so that the agency is not yet managing human capital strategically. NARA has established or begun to establish collaborative efforts that are  generally aligned with all these goals and strategies. Although it cannot by itself ensure that agencies are  managing records appropriately (agencies control and are responsible for  their own records), NARA can use its oversight activities to help determine  where records management improvements are most needed and improve  its ability to influence agencies to give more priority to records  management programs. The  Archivist stated that to address them, NARA plans to (1) develop and  implement additional means to validate self-reported data from self- assessment surveys in fiscal year 2011, (2) develop a plan for  systematically and strategically targeting inspections to maximize their  value, (3) conduct a study of the risks associated with the backlog in its  records scheduling process, and develop mitigation plans, (4) review the  current strategic plan to make sure it can tie strategies to specific actions  and targets, (5) roll out an enterprisewide internal controls program that  uses risk assessment as an integral part of managing and monitoring  internal controls, and (6) consider using an existing contract to draw in  additional resources to assist NARA with completing its competency  modeling initiative. Appendix I: Objectives, Scope, and Methodology

Our objectives were to (1) assess the National Archives and Records  Administration’s (NARA) effectiveness in overseeing the governmentwide  management of records, including commenting on its capacity to identify  risk of unlawful destruction of federal records; (2) describe its ability to  preserve permanent records; and (3) assess its policies, procedures, and  plans supporting key management and oversight capabilities: governance,  human capital, and collaboration.
Why GAO Did This Study

The mission of the National Archives and Records Administration (NARA) is to safeguard and preserve government records, ensuring continuing access to the essential documentation of the rights of American citizens and the actions of their government. However, in today's environment of fast-evolving information technology, federal agencies are creating vast and growing volumes of electronic records while continuing to create physical records in large numbers. Accordingly, GAO was asked to assess NARA's effectiveness in overseeing the governmentwide management of records, including commenting on its capacity to identify risk of unlawful destruction of federal records; describe its ability to preserve permanent records; and assess its policies, procedures, and plans supporting key management and oversight capabilities (collaboration, governance, and human capital). To do so, GAO analyzed NARA documentation in these areas, interviewed agency officials, and reviewed prior work.

What GAO Found

The effectiveness of NARA's oversight has been improved by recent increases in its oversight activities: NARA has conducted its first governmentwide records management self-assessment survey, resumed agency inspections after a long gap, and expanded its reporting (including giving more complete information about specific agencies). These efforts have provided a fuller picture of governmentwide records management: in particular, NARA found that almost 80 percent of agencies were at moderate to high risk of unlawful destruction of records. Reporting of such results may also help influence agencies to give more priority to records management, which has historically been given low priority. However, these initiatives have limitations. For example, NARA's efforts to validate self-reported survey data are limited, as are its plans for inspections of agency records management; addressing these limitations could enhance the usefulness of these efforts as they continue to be developed. NARA also oversees agency records management through its review and approval of the schedules under which agencies may dispose of records. Following an extended effort to get agencies to schedule electronic records and systems, NARA increased the number of schedules approved per year. However, it has also increased the backlog of schedules awaiting its approval, increasing the risk that NARA's success in promoting scheduling could bring in more schedules than it can handle in a timely manner. NARA faces challenges in preserving permanent records largely because of their volume, the finite resources available, and the technological challenges posed by electronic records. NARA has a large and persistent backlog of records on paper and other media needing preservation actions. Although it treated nearly 116,000 cubic feet of at-risk archival records in fiscal year 2009, the percentage of backlog remained constant at about 65 percent, and holdings requiring preservation grew from about 2.4 million cubic feet in 2008 to about 2.6 million cubic feet in 2009. For electronic records, NARA has an electronic records archive system that is still under development and does not yet include planned preservation functions. Until the system and its preservation capabilities are fully implemented, there is reduced assurance that NARA can ensure the preservation of all electronic records. NARA's policies and procedures for collaboration, selected aspects of governance, and human capital are generally aligned with its strategic planning. For example, it is participating in numerous collaborative activities that support the goals and strategies in its strategic plan. However, more action is needed. For example, with regard to governance, although its organizational responsibilities are generally aligned with its strategic plan, NARA has not established an enterprise risk management capability, reducing its ability to anticipate future challenges and avoid potential crises. Finally, NARA has developed and begun to implement a strategic human capital plan, but this implementation has been delayed, which hinders the agency's ability to ensure that it has the workforce and skills it needs.

What GAO Recommends

GAO is making recommendations to help NARA build on its recent oversight activities and to fill gaps in its risk management and human capital management. In comments on a draft of the report, NARA concurred.