Report Contents
Summary of Review
OIG reviewed the Department of State’s (Department) records retirement process, managed by the Records and Archives Management (RA) Division in the Bureau of Administration’s Office of Information Programs and Services. The records retirement process involves transferring semi-active or inactive records to the Department’s Records Service Center or electronic records archive and is part of the Department’s larger records and information lifecycle management program established to manage the creation and preservation of records in accordance with the Federal Records Act. OIG has consistently found deficiencies in this area. In 84 inspection reports issued from FY 2019 through FY 2021, OIG found 31 records management related findings, 23 of which directly related to records retirement. OIG’s objectives in this review were to determine: (1) whether the Department’s record retirement process complied with applicable Office of Management and Budget, National Archives and Records Administration, and Department standards; and (2) the extent to which the Bureau of Administration developed, updated, and communicated records retirement standards to program managers.
During this review, OIG found the records retirement compliance dashboard managed by RA indicated that only a few domestic bureaus and offices and overseas posts complied with records retirement requirements. OIG’s review determined that multiple factors contributed to this issue, including the decentralized nature of the Department’s records management program, insufficient internal controls within RA, unclear guidance on how to comply with records retirement standards, and outdated policies. OIG made eight recommendations to address the factors contributing to the records retirement process compliance issues. In its comments on the draft report, the Bureau of Administration concurred with seven recommendations and neither agreed nor disagreed with one recommendation. OIG considers seven recommendations resolved and one recommendation unresolved. The bureau’s response to each recommendation, and OIG’s reply, can be found in the Recommendations section of this report. The bureau’s formal written response is reprinted in its entirety in Appendix B.
Report Terms
Report Recommendations
The Bureau of Administration should require that the Records and Archives Management Division implement internal controls to hold bureaus, offices, and overseas posts accountable for complying with Federal and Department records retirement standards.
The Bureau of Administration should require the Records and Archives Management Division to establish a process to identify the status of permanent records that are eligible for retirement but not yet retired, in accordance with Department guidance.
The Bureau of Administration should require the Records and Archives Management Division to review electronic records for compliance with Department records retirement requirements.
The Bureau of Administration should require the Records and Archives Management Division to comply with the requirements established in Executive Memorandum M-19-21 and National Archives and Records Administration Bulletin 2020-01.
The Bureau of Administration should require the Records and Archives Management Division to update the Permanent Records Retirement Dashboard to provide an explanation of the data and contact information for questions about the dashboard.
The Bureau of Administration should require the Records and Archives Management Division to establish a process for regularly communicating with bureau and post records coordinators.
The Bureau of Administration should implement procedures to regularly review and update the Department’s records retirement policies and procedures in the Foreign Affairs Manual and Foreign Affairs Handbook in accordance with Department guidelines.
The Bureau of Administration should require the Records and Archives Management Division to update records disposition schedules for overseas posts to reflect all Department messaging methods.