GAO Finds Commerce, FTC Largely Comply With E-Recordkeeping Rules
The Commerce Department and FTC largely fared well in a GAO review of electronic recordkeeping practices, though both agencies have room for improvement. GAO reported to the Senate Homeland Security Investigations Subcommittee Monday that Commerce and the FTC had established…
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records management systems and were largely complying. Commerce hasn’t met a requirement that it manage permanent and temporary email records in electronic format, GAO said. Commerce officials “stated that they use an email management system for email, email preservation, and litigation holds,” the report said. “However, their policies and procedures did not show how the agency managed both permanent and temporary email records in an accessible electronic format. Until Commerce ensures that its systems are capable of managing permanent and temporary email records and have the capability to identify, retrieve, and retain these records, the agency faces an increased risk that its emails are not able to be preserved or accessed when needed.” Commerce complied partially with a requirement it submit a comprehensive list of records and disposition schedules to the National Archives because it submitted a partial list, the report said. The FTC partially addressed a requirement it maintain an inventory of “electronic information systems that documented the information and records produced and maintained by each application,” GAO said. That commission “documented various technical characteristics, such as authorizations, purpose and function of the electronic information systems, and authorized procedures for the disposition of records. However, the agency did not include the characteristics for reading and processing the records contained in the system, inputs and outputs, contents of the files and records, and cycle updates.” Commerce intends to comply with electronic recordkeeping requirements by December. The FTC didn’t comment to GAO.