Assessments on Records and Data Organization

Fiscal Year 2018 Marks the Start of Comprehensive Records and Information Management Assessments

The National Archives and Records Administration (NARA) has been actively working towards improving the management of records across federal agencies. In 2018, the Oversight and Reporting Division established the Records and Information Management (RIM) Assessment process.

The purpose of these assessments is to evaluate how well an agency manages its records throughout their lifecycle, ensuring compliance, efficiency, legal and fiscal accountability, and preservation of valuable information. The assessments aim to identify the agency’s strengths and weaknesses in handling records that document its organization, functions, policies, decisions, procedures, and essential transactions, thereby supporting business continuity, legal rights, and audits.

Assessing Records Management Practices Across Federal Agencies

The RIM Assessments typically review an agency's existing records management policies, procedures, and practices. They assess retention schedules based on the agency's business, administrative, fiscal, legal, and historical values of records. The assessments examine whether records management activities comply with federal regulations and standards, such as those from NARA. They also evaluate electronic records management capabilities to advance toward fully digital handling of records, consistent with Universal Electronic Records Management Requirements.

Topics Covered in Recent Assessments

In Fiscal Year 2019, assessments were conducted on Email Management at Independent Agencies, Federal Advisory Committee Records Management, and Records Management on Federal Agency Implementation of Records Schedules with Selection Criteria. The following year, in Fiscal Year 2021, assessments were conducted on Records Management on History Collections Maintained by Federal Agencies, Records Management Self-Evaluations by Agencies, and the Big Bucket Schedule Implementation.

In Fiscal Year 2022, assessments were planned for Inter-agency Collaboration Applications, Agency On-boarding and Off-boarding Process, Records Management Assessment on Managing Social Media Records, Portable Electronic Devices, and Video Surveillance, Agency Chief Data Officer Coordination with Records Management Programs, Records Management Assessment on Federal Agency Implementation of Records Schedules with Selection Criteria, and an Unauthorized Disposition Safeguards Assessment.

The Importance of RIM Assessments

The objectives of these assessments include ensuring that records are properly created, maintained, and accessible to meet operational needs. They also aim to protect the legal, financial, and fiscal rights of the government and individuals, support transparency and accountability through auditability and compliance, and preserve records of archival value that document significant agency functions for historical purposes. Additionally, they facilitate performance improvement in records and information handling and achieve alignment with federal mandates regarding data and privacy.

Each assessment includes a comprehensive report that summarizes NARA’s treatment of the assessment topic, outlining findings and recommendations, as well as highlighting any best practices from participating agencies. The assessments also aim to understand the real-life experiences of Federal agencies with regard to the assessment topic and RM, gauge the efficacy of Federal agencies' implementation of RM policies and compliance with relevant Federal RM regulations and NARA guidance, and analyse assessment data to identify agency successes and challenges related to the assessment topic and the agency's RM policies, processes, procedures, and tools.

These RIM Assessments play a crucial role in maintaining effective control over records from creation through disposition, supporting transparency, and ensuring compliance with all applicable federal laws and policies.