Case Study
The objective of this project was to analyze the records management policies and current procedures of a Federal agency to assure compliance with current regulations and policy guidelines.
Federal requirements for records management increasingly emphasize both electronic record keeping and integration with information technology management processes. As part of this effort, agencies are required to review and update their records management programs to assure compliance with new policy as it is published. The goal is to develop up-to-date records management programs and to strengthen the relationship between records management and electronic records management so that records management becomes a core component of knowledge management.
The Federal client’s records management policy was outdated and their records management manual was tied to supporting it. HW&W analyzed the Federal requirements for records management policy and drafted updates to the policy documents, which were subsequently accepted by the client. In particular, to assure compliance, HW&W:
- Examined current legislation and regulatory guidance
- Identified unfulfilled requirements
- Developed a compliant records management and administration program, including appropriate policies, procedures, and guidelines
- Prepared guidance for responding to information requests from oversight bodies on these issues
- Assisted the client to enhance records management training
- Facilitated the integration of records management and information technology management
HW&W prepared informational procedures to augment records management program policy. We assisted in the research, development, review, and drafting of procedures. All procedures have been developed using a standardized format to be consistent with other procedures. The records management manual was updated to support the new policy. The team is assisting with the review and update of the client’s records schedules.
HW&W staff provided the impetus and support for a one week records management learning and information exchange meeting in Washington, DC for field based records management personnel. Officials from the National Archives and Records Administration and the client’s departmental officials, along with client management, provided in-depth sessions for the attendees on current government-wide records management requirements.
HW&W analyzed Federal requirements for integrating records management with information technology management. This work included a review of the client’s compliance with Federal requirements, an examination of current records management policy and processes, identification of issues that might be barriers to integration, and strategies for improving integration.
Based on this information, HW&W determined that a major issue was the divergent worlds of records management and information technology. To assist in bridging the gap between these worlds, HW&W designed a series of checklists. These checklists assist records management staff to determine whether records management requirements are being met by existing and proposed information technology projects. The initial set of checklists was developed for use with the Capital Planning and Investment Control (CPIC) process. They are applicable to business process design and systems development processes as well.
