Review of the Information and Records Division's Implementation of Agency Records Management Program

The National Archives and Records Administration (NARA) issues records management guidelines, which USAID must follow. USAID's Automated Directives System (ADS) 502, "The USAID Records Management Program," outlines the Agency's records management program and assigns responsibilities to the Bureau for Management, Management Services, Information and Records Division (IRD). IRD is responsible for the overall management of the Agency's records management program, including the implementation of NARA regulations. However, the review found that the Asia and Africa Bureaus did not comply with NARA disposition schedules. Country records in the Asia Bureau were found to be 12 years past their scheduled disposal date, while congressional notification records in the Africa Bureau were kept for 6 years instead of 1 year as scheduled. The review also found that the Asia and Africa Bureaus did not submit files plans to IRD, as required by ADS 502.5.7. Files plans are essential for identifying the location of files, their proper method for disposition, and the file custodian. Without files plans, the Agency may not be able to locate important records, which can impair timely and complete response to Freedom of Information Act requests or e-discovery. Furthermore, the review found that USAID employees did not attend training in records management. Title 36 of the Code of Federal Regulations requires that all Agency employees receive records management training, which includes identification of federal records in all formats and media. However, only 372 employees Agency-wide had completed USAID's online records management class, and five managers from the Asia and Africa Bureaus stated that they had not attended records management training. To address these issues, the review makes six recommendations. Recommendation 1 recommends that the Asia Bureau's Director of Administrative Management Services assign file custodians for each office. Recommendation 2 recommends that the Directors of Administrative Management Services for the Asia and Africa Bureaus include records management duties be included in the work plans and performance evaluations of file custodians and records liaison officers. Recommendation 3 recommends that the IRD Chief amend ADS 502 to make the bureaus responsible for implementing the records management program and IRD responsible for establishing policy and ensuring compliance. Recommendation 4 recommends that the IRD Chief amend ADS 502 to make mandatory Agency-wide records training a requirement. Recommendation 5 recommends that the Human Resources Training and Education Division include an introductory module on records management and records policies and procedures in new employee orientation. Recommendation 6 recommends that the IRD Chief coordinate with the Chief Information Officer to develop and execute a plan for managing electronic records using a records management application.