Audit of Records Management

FOREIGN AFFAIRS AND OFFICE OF THEINTERNATIONAL TRADE INSPECTOR GENERAL AUDITOFRECORDS MANAGEMENTMay 2001Audit Division ( SIV )Table of Contents1. EXECUTIVE SUMMARY ............................................. 12. SUMMARY OF RECOMMENDATIONS ................................. 43. AUDIT OBJECTIVES AND SCOPE .................................... 74. INTRODUCTION ................................................... 9What is Records Management? 9Responsibilities ................................................. 9Gov er nment R eq uir ements ....................................... 10Departmental Programs .......................................... 10C ur r ent Studies ................................................ 105. OBSERVATIONS 12A. R ec or ds Pr ac tic es i n Pr og r am U nits.............................. 12B. Corporate Records Management Organizations .................... 24C. The Long-term Solution: Start over again? ........................ 32Appendix A - Sample Records Management Practices ..................... 35Appendix B - Dedicated Records Management FTE’s and Size of Holdings ... 41Appendix C - Acts, Legislation and Policies Affecting Records Management .. 421. EXECUTIVE SUMMARYAn audit of records management was conducted from September toNovember 2000 to assess DFAIT’ement of paper and electronic records. Theaudit reviewed ...