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Recommendations Database

GAO’s recommendations database contains report recommendations that still need to be addressed. GAO’s priority recommendations are those that we believe warrant priority attention. We sent letters to the heads of key departments and agencies, urging them to continue focusing on these issues. Below you can search only priority recommendations, or search all recommendations.

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As of October 25, 2020, there are 4812 open recommendations, of which 473 are priority recommendations. Recommendations remain open until they are designated as Closed-implemented or Closed-not implemented.

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Subject Term: "Federal records management"

1 publication with a total of 42 open recommendations

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Information Management: Selected Agencies Need to Fully Address Federal Electronic Recordkeeping Requirements
GAO-20-59, Feb 27, 2020

Director: Nick Marinos
Phone: (202) 512-9342

42 open recommendations

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Recommendation: The Archivist of the United States should require small and micro agencies that were determined to be at high risk of not complying with statutory and regulatory records management requirements to develop plans and timelines to address their records management weaknesses (Recommendation 1)

Agency: National Archives and Records Administration: Office of the Archivist
Status: Open

Comments: The National Archives and Records Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Archivist of the United States should monitor the agencies' progress towards these efforts on a regular basis. (Recommendation 2)

Agency: National Archives and Records Administration: Office of the Archivist
Status: Open

Comments: The National Archives and Records Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 3)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 4)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should establish a time frame to update the agency's policies and procedures to include the (1) following records management controls required for electronic information systems: usability, content, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 5)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Armed Forces Retirement Home should ensure existing policies and procedures describe the rules for using personal email accounts when conducting official agency business to include instructing the employee to (1) copy an official electronic messaging account of the employee in the original creation or transmission of the records and (2) forward a complete copy of the record to an official electronic messaging account of the employee no later than 20 days after the original creation or transmission of the record. (Recommendation 6)

Agency: Armed Forces Retirement Home
Status: Open

Comments: The Armed Forces Retirement Home did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Secretary of Commerce should establish a time frame to ensure all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 7)

Agency: Department of Commerce: Office of the Secretary
Status: Open

Comments: The Department of Commerce concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Secretary of Commerce should ensure the electronic system that manages email provides the capabilities to manage permanent and temporary email records and to identify, retrieve, and retain records. (Recommendation 8)

Agency: Department of Commerce: Office of the Secretary
Status: Open

Comments: The Department of Commerce concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the department states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Consumer Financial Protection Bureau should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 9)

Agency: Consumer Financial Protection Bureau
Status: Open

Comments: The Consumer Financial Protection Bureau concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the bureau states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 10)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to develop a plan on how the agency intends to manage permanent electronic records. (Recommendation 11)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 12)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should establish a time frame to update its policies and procedures to include the (1) following records management controls required for electronic information systems: content, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 13)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of the Election Assistance Commission should develop a written policy that describes the rules for using personal email accounts when conducting official agency business to include instructing the employee to (1) copy an official electronic messaging account of the employee in the original creation or transmission of the records and (2) forward a complete copy of the record to an official electronic messaging account of the employee no later than 20 days after the original creation or transmission of the record. (Recommendation 14)

Agency: Election Assistance Commission
Status: Open

Comments: The U.S. Election Assistance Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chairman of the Federal Trade Commission should establish a time frame to update the agency's electronic information system inventory to include the following characteristics: reading and processing the records contained in the system, inputs and outputs, contents of the files and records, and cycle updates. (Recommendation 15)

Agency: Federal Trade Commission
Status: Open

Comments: The Federal Trade Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chairman of the Marine Mammal Commission should use recently developed policies and procedures to implement and maintain an active, continuing agency records management program that includes policies and procedures to provide for effective controls over the creation, maintenance, and use of records in the conduct of current business. (Recommendation 16)

Agency: Marine Mammal Commission
Status: Open

Comments: The Marine Mammal Commission did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the commission states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Administrator of the National Aeronautics and Space Administration should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 17)

Agency: National Aeronautics and Space Administration
Status: Open

Comments: The National Aeronautics and Space Administration concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to ensure all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 18)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to update the agency's electronic information system inventory to include the following characteristics: technical characteristics of the systems, identify inputs and outputs, and describe update cycles. (Recommendation 19)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should establish a time frame to update the agency's policies and procedures to include all of the records management controls required for electronic information systems and the required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 20)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the National Science Foundation should develop policies and procedures for the required retention and management requirements for email, including instructions to staff to ensure that the names and addresses of the sender, date of message, attachments, calendars, and draft documents will be retained. (Recommendation 21)

Agency: National Science Foundation
Status: Open

Comments: The National Science Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should ensure, in conjunction with the Executive Office of the President's Office of Administration, that existing policies and procedures incorporate the management of electronic records into its overall records management program. (Recommendation 22)

Agency: Executive Office of the President: Office of Management and Budget: Office of the Director
Status: Open

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 23)

Agency: Executive Office of the President: Office of Management and Budget: Office of the Director
Status: Open

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 24)

Agency: Executive Office of the President: Office of Management and Budget: Office of the Director
Status: Open

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should establish a time frame to ensure, in conjunction with the Office of Administration, that policies and procedures include the (1) following records management controls required for electronic information systems: reliability, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 25)

Agency: Executive Office of the President: Office of Management and Budget: Office of the Director
Status: Open

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Management and Budget should ensure, in conjunction with the Office of Administration, that existing policies and procedures include the required retention and management requirements for email. (Recommendation 26)

Agency: Executive Office of the President: Office of Management and Budget: Office of the Director
Status: Open

Comments: The Office of Management and Budget did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 27)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should establish a time frame to ensure, in conjunction with the Office of Administration, that policies and procedures include the (1) following records management controls required for electronic information systems: reliability, context, and structure; and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 28)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of National Drug Control Policy should ensure, in conjunction with the Office of Administration, that existing policies and procedures include the required retention and management requirements for email. (Recommendation 29)

Agency: Executive Office of the President: Office of National Drug Control Policy
Status: Open

Comments: The Office of the National Drug Control Policy did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the office states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to ensure that all records schedules are up-to-date and submitted to NARA. The schedules should include all required information, including when eligible temporary records must be destroyed or deleted and when permanent records are to be transferred to NARA. (Recommendation 30)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 31)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to develop a plan to manage permanent electronic records. (Recommendation 32)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 33)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Office of Personnel Management should establish a time frame to update the agency's policies and procedures on retention and management for email to include retaining electronic calendars and draft documents. (Recommendation 34)

Agency: Office of Personnel Management: Office of the Director
Status: Open

Comments: The Office of Personnel Management concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to develop an inventory of electronic information systems used to store agency records that includes all of the required elements. (Recommendation 35)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to develop policies and procedures that define required electronic information system functionalities for recordkeeping systems including declaring records and assigning unique identifiers, capturing records, maintaining security, and preserving records. (Recommendation 36)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to update the agency's policies and procedures to include the (1) following records management controls required for electronic information systems: reliability, content, context, and structure; and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 37)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Chief Executive Officer of the Overseas Private Investment Corporation should establish a time frame to update the agency's policies and procedures on retention and management for email to include policies for retaining electronic calendars. (Recommendation 38)

Agency: Overseas Private Investment Corporation (OPIC)
Status: Open

Comments: The Overseas Private Investment Corporation did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update the agency's electronic information systems inventory to (1) specify technical characteristics necessary for reading and processing the records contained in the system, (2) identify system inputs and outputs, (3) define the contents of the files and records, (4) determine restrictions on access and use, and (5) specify how the agency ensures the timely disposition of records. (Recommendation 39)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update its policies and procedures to include all of the required electronic information system functionalities for recordkeeping systems. (Recommendation 40)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Director of the Peace Corps should establish a time frame to update the agency's policies and procedures to include (1) following records management controls required for electronic information systems: usability, context, and structure and (2) required preservation mechanisms to ensure that records in its electronic recordkeeping system will be retrievable and useable. (Recommendation 41)

Agency: Peace Corps
Status: Open

Comments: The Peace Corps did not state whether or not it concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the agency states that it has taken action, we plan to verify whether implementation has occurred.

Recommendation: The Executive Director of Udall Foundation should establish a time frame to develop and maintain an active, continuing agency records management program that includes policies and procedures to provide for effective controls over the creation, maintenance, and use of records in the conduct of current business. (Recommendation 42)

Agency: Morris K. Udall and Stewart L. Udall Foundation
Status: Open

Comments: The Udall Foundation concurred with this recommendation. As of June 2020, we had not received information pertaining to planned actions for this recommendation. Once the foundation states that it has taken action, we plan to verify whether implementation has occurred.