Audit of NARA's Records Preservation Efforts

Submitting OIG:

National Archives and Records Administration OIG

Date Issued:

Thursday, August 15, 2024

Agency Reviewed / Investigated:

National Archives and Records Administration

Submitting OIG-Specific Report Number:

24-AUD-06

Location(s):

Agency-Wide

Type of Report:

Audit

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

Report updated under NDAA 5274:

View Document:

Attachment	Size
OIG-Audit-Report-No-24-AUD-06.pdf	570.57 KB

Recommendation Number	Recommendation Status	Significant Recommendation
1	Open	No
Develop a plan that includes a timeline within which a preservation review will be performed of all NARA owned or leased records storage facilities to mitigate potential risks and ensure the long-term preservation and accessibility of valuable records;
2	Open	No
Update policies and procedures to include established frequency of reviews
3	Open	No
Develop contingency plans for assigning responsibilities if a key role in the entity is vacated. In addition, contingency plans should include implementation of alternative procedures for preservation reviews when on-site visit is not possible or curtailed in the future. As an alternative, consider performing part of the preservation reviews remote where possible (i.e. review of preservation plans, inquiries of facility personnel, etc.)
4	Open	No
Develop and implement a comprehensive SOP that can help mitigate the above effects by providing clear guidelines, promoting consistency, and ensuring preservation activities are conducted effectively, uniformly, and systematically across the organization
5	Open	No
Develop a prioritization method for preservation actions. Budget Requests should be submitted for any additional resources necessary to complete prioritized preservation actions
6	Open	No
Review all NARA facilities’ Plans annually to ensure they include all required minimum elements and that the Plans are reviewed annually by their respective facility director/administrator and Records Emergency Management Team (REMT)
7	Open	No
Implement consistent controls across all facilities to maintain evidence of annual review of the Plans by the facility director/administrator and REMT
8	Open	No
Finalize and implement any remaining risk matrices for vulnerable audio and video formats

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

Develop a plan that includes a timeline within which a preservation review will be performed of all NARA owned or leased records storage facilities to mitigate potential risks and ensure the long-term preservation and accessibility of valuable records;

Open

Update policies and procedures to include established frequency of reviews

Open

Develop contingency plans for assigning responsibilities if a key role in the entity is vacated. In addition, contingency plans should include implementation of alternative procedures for preservation reviews when on-site visit is not possible or curtailed in the future. As an alternative, consider performing part of the preservation reviews remote where possible (i.e. review of preservation plans, inquiries of facility personnel, etc.)

Open

Develop and implement a comprehensive SOP that can help mitigate the above effects by providing clear guidelines, promoting consistency, and ensuring preservation activities are conducted effectively, uniformly, and systematically across the organization