Audit of NARA's Specially Protected Holdings

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Date Issued

Friday, February 6, 2015

Submitting OIG

National Archives and Records Administration OIG

Other Participating OIGs

National Archives and Records Administration OIG

Agencies Reviewed/Investigated

National Archives and Records Administration

Report Number

15-03

Report Type

Audit

Number of Recommendations

Questioned Costs

Funds for Better Use

Open Recommendations

This report has 9 open recommendations.

Recommendation Number	Significant Recommendation	Recommended Questioned Costs	Recommended Funds for Better Use
5a	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure SPHs inventory listings are completed at the item level. Establish a timeframe for when the listings must be completed. Additionally, communicate with other offices to identify best practices used in documenting their inventories.
5b	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure Inventory listings are reviewed to determine their accuracy and update as necessary.
5c	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure a finding aid is created for the agency’s entire SPHs collection at the item level.
5d	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure locked hard copies of the inventory listings are maintained.
5e	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure SPHs inventory listings are maintained in HMS. Until HMS is implemented by all offices, all electronic versions of the listings are password protected and access limited to authorized employees.
8a	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure initial inspections of SPHs inventory are completed.
8b	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure custodial units are in compliance with NARA 1572, including randomly inspecting at least 3% of SPHs inventory annually on a rotating basis and using one individual that does not work for the individual responsible for the inspection.
8c	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure annual inspection reports include at a minimum date of inspection, individuals that complete the inspections, and a listing of items inspected, including their location and physical condition.
8d	Yes	$0	$0
The Executive for Research Services and Executive for Legislative Archives, Presidential Libraries, and Museum Services should ensure annual inspection results are adequately documented and communicated to Security Management and office heads.