Railroad Retirement Board Must Take Further Action to be Compliant with Federal Records Management Directives

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Date Issued

Thursday, September 28, 2017

Submitting OIG

Railroad Retirement Board OIG

Other Participating OIGs

Railroad Retirement Board OIG

Agencies Reviewed/Investigated

Railroad Retirement Board

Report Number

17-08

Report Type

Audit

Agency Wide

Yes

Number of Recommendations

Questioned Costs

Funds for Better Use

Open Recommendations

This report has 11 open recommendations.

Recommendation Number	Significant Recommendation	Recommended Questioned Costs	Recommended Funds for Better Use
17-082	No	$0	$0
The Bureau of Information Services should develop and implement policies and procedures requiring records management training for new and existing employees and contractors, as well as employees with specialized records management roles and responsibilities. Ensure training for existing employees and contractors is administered annually.
17-083	No	$0	$0
The Bureau of Information Services should develop and implement records management policies and procedures required for separating employees, including the detailed roles and responsibilities of the separating employee and other Railroad Retirement Board officials. Work with the Office of Administration in implementing the policies and procedures agencywide.
17-084	No	$0	$0
The Bureau of Information Services should update existing policies and procedures to include explicit notification of criminal penalties that may be charged to employees for unlawful removal or destruction of agency records.
17-085	No	$0	$0
The Bureau of Information Services should develop and implement policies and procedures for managing and preserving records created or received using electronic messaging systems.
17-086	No	$0	$0
The Bureau of Information Services should develop and implement policies and procedures for metadata, enterprise rights management, and encryption considerations when transferring electronic records to National Archives and Records Administration.
17-087	No	$0	$0
The Bureau of Information Services should develop supplemental records management training materials that are specific to Railroad Retirement Board’s vision, including Railroad Retirement Board specific requirements and initiatives, and ensure the Railroad Retirement Board records management training curriculum includes this additional content.
17-089	No	$0	$0
The Bureau of Information Services should develop and implement roles-based training for senior officials (as defined by the National Archives and Records Administration) to ensure full understanding of their responsibilities under the Railroad Retirement Board’s records management program. This training should also include content on actions to be taken when the senior official separates from Railroad Retirement Board employment.
17-0810	No	$0	$0
The Bureau of Information Services should prepare and disseminate additional training content to records liaisons on their responsibilities under the Capstone program. The training content should include practical examples of what actions the records liaisons should take to fulfill their responsibilities.
17-0811	No	$0	$0
The Bureau of Information Services should develop specific records management performance goals with target completion dates and performance measures for significant Office of Management and Budget and National Archives and Records Administration requirements.
17-0812	No	$0	$0
The Bureau of Information Services should ensure a comprehensive inventory of nonelectronic records, including paper and other forms of media, is performed and used to prepare or update Railroad Retirement Board records disposition schedules. Resulting records schedules should be approved by the National Archives and Records Administration in accordance with Office of Management and Budget Circular A-130.
17-0813	No	$0	$0
The Bureau of Information Services should perform a comprehensive review and update of Administrative Circular IRM-4 to ensure the roles and responsibilities of agency employees involved in records management are complete and include accurate timeframes for performing their respective duties.