LETTER TO MICHAEL J. KURTZ FROM <SANITIZED> (W/ ATTACHMENTS)

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 05496171
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 62
• Document Creation Date: December 28, 2022
• Document Release Date: March 30, 2018
• Case Number: F-2017-02159
• Publication Date: July 2, 2001

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MshingtmaC20505
2 July 2001
Dr. Michael J. Kurtz
Assistant Archivist for Records
Services - Washington, D.C.
National Archives and Records Administration
8601 Adelphi Road
College Park, Maryland 20740-6001
Dear Dr. Kurtz:
Attached you will find our pYogress report detailing
the steps we have taken to implement the recommendations
proposed in the March 2000 National Archives and Records
Administration (NARA) Evaluation Report, "Records
Management in the Central Intelligence Agency (CIA)." The
answers in our progress report also address issues raised
in three letters from NARA to the Director, Office of
Information Management, dated 17 October 2000, 7 December
2000, and 19 March 2001, respectively.
The Agency has made a great deal of progress in its
efforts to improve record keeping practices since our
letter to the Archivist of 5 September 2000. In fact, as
the attached report indicates, we are confident that we
have completed 30 of the 36 recommendations contained in
your evaluation. Attached are some Agency notices, policy
documents and procedures issued specifically to address
needed changes to records management practices in CIA.
The notices are referenced in the enclosed report. Other
material, referenced in the report but not enclosed, can be
reviewed at our Agency. A copy of this letter and the
progress report has been copied to a 3.5" diskette and
enclosed as you requested.
to,
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Dr. Michael J. Kurtz
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We would like to thank David Langbart, of the Life
Cycle Management Division, for his continued assistance.
Through personal visits to CIA and telephonic exchanges, he
has helped us to identify the actions and/or materials that
are necessary to satisfy many of the recommendations
contained in your evaluation report.
We
met the
believe
contact
look forward to NARA's concurrence that we have
requirements for those 30 recommendations we
are completed. If you have questions, please
Chief of the Records and
Classification Management Group, or me.
be reached on my number is
Enclosure
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Sincerely,
can
Deputy Chief,
Information Management Services
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2 July 2001
CIA Progress Report Concerning the Recommendations
Contained in the March 2000 NARA Evaluation of "Records
Management in the Central Intelligence Agency (CIA)."
Preface:
There has been a major reorganization in the CIA that
disestablished the Directorate of Administration (DA).
Although the details of the new reorganization are yet to
be completed, the Office of Information Management (OIM)
and elements of the Directorates of Intelligence and
Operations may be merged to establish a new Information
Management (IM) organization reporting to the CIA Chief.
Information Officer (CIO).
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The CIA's Executive Director placed on hold the
further transition of the former DA offices to the
Working Capital Fund (WCF). Accordingly, OIM will not
pursue its transition to the WCF as reported in my letter
of 5 September 2000. /
This remains
a fundamental part of the CIA Records Management Strategy.
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� Recommendation I/1:
Ensure that there are sufficient IMOs in both OIT
and the Directorates to implement the recommendations
in this report.
Review workloads and staffing levels to determine
whether or not IMOs should be assigned to organiza-
tions where day-to-day records management duties are
currently handled by POCs.
CIA Response:
Complete.
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The Agency is currently working under a model
of one dedicated IMO per Agency component. There are
three pilot operations where the IMOs are located in
a "center" providing a full range of services to
personnel in several components. In March 2001, the
Directorate of Intelligence (DI), which had deployed
DI careerists to serve as IMOs, elected to transfer
both slots and personnel to OIM thereby ensuring that
IM personnel (deployed to the DI) are of the highest
caliber and that incumbents benefit from belonging to
a uniform IM career service. In this transfer, �the
DI �reestablished at least one position and upgraded
all the IMO slots. With this decision, OIM now
provides qualified IMOs to four of the five Agency
directorates. The DO IMOs have been part of that
directorate's career service, but that may change
under the reorganization mentioned above. In either
construct, DO IMOs adhere to both Federal and Agency
regulations governing records management. More
recently, OIM received authority to hire new IM
professionals to staff IM positions throughout the
Agency and/or replace retiring IMOs.
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Recommendation 1/2:
After they haVe completed agency-required
records management training classes, require IMOs to
periodically take additional training to ensure their
familiarity with records issues, policies, and
procedures.
CIA Response:
Complete.
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/Each
directorate IMO is required to identify the training
each component IMO needs in order to meet the
requirements of the position to which he/she is
assigned and to be prepared for assignments of greater
complexity and responsibility. Additionally, the OIM
Curriculum Board (comprised of the Agency senior IM
officers) advises the Director of OIM and the Dean of
Information Management Institute (IMI), OIM, on the
training and education programs that IMOs must attend
(whether offered in-house or outside CIA).
� Recommendation 1/3:
Develop a one-day course dealing with
recordkeeping responsibilities of program staff
including the application of approved records
schedules to their files and basic records concepts
such as distinguishing records from non-record
materials.
CIA Response:
Complete.
Training on records management responsibilities is
offered to every new employee entering on duty with �
CIA. Additionally, records management training also
is offered in two Agency courses directed respectively
at employees with three years of service and with 15
years of service. In early 2000, OIM launched the
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Information Management Computer-Based Training (CBT)
program. The CET has been made available to every
Agency staff and contract employee through CIA's
intranet. The program identifies and demonstrates
(through interactive tests) the recordkeeping
responsibilities for employees at all levels.
Further, OIM is negotiating the addition of a records
management module into two training courses, one on
ethics (for government employees) and the other on
information system security (INFOSEC). The courses
are presented annually, and attendance is mandatory
for all employees. Records Management training is
presented continuously throughout an employee's
career, which meets the spirit of this recommendation
without the need for a separate dedicated eight-hour
course.
� Recommendation 1/4:
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CIA Response:
� Recommendation 1/5:
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CIA Response:
� Recommendation 1/6:
CIA Response:
Recommendation 1/7:
CIA Response:
Complete.
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� Recommendation II/1:
Ensure that employees, including Deputy Directors
and other high-level decision makers, are aware of
requirements in Federal law and regulation to document
and maintain in appropriate files all policy and
decision-making actions, including those discussed
via electronic mail (e-mail) or during telephone
conversations.
CIA Response:
Complete.
As noted in our response under Recommendation
1/3, above, we have established a variety of training
'venues to reach CIA employees at all levels throughout
their careers.
Additionally, in early 2001, DIM generated three
notifications to employees: an Employee Bulletin (sent
to all contract and staff employees) that addressed
"Records Responsibilities of Employees and Managers"
(Attachment B); a "What's News" (the Agency newsletter)
article on the same topic as the Employee Bulletin
(Attachment C); and a memorandum to the Agency's
Executive Director and four Deputy Directors entitled
"Records Responsibilities of Senior Officials of the
Central Intelligence Agency". These instructions
include the definition of a "record" as well as the
requirements for making and preserving records. In
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the Bulletin, we defined records quite broadly as
'cables, memoranda, e-mail, meeting minutes, instant
messaging, audio and video recordings, and speeches."
Although, we did not specifically mention
"correspondence and intelligence reports"2 in this
Bulletin, they are manifest in the categories listed.
We intend to reissue this instruction on a periodic
basis and will expand the definition of Agency records
accordingly. Finally, the OIM CET training course
provides specific guidance for handling "personal
papers."
� Recommendation II/la:
E-mail communications that meet the definition of
records should be retained in a recordkeeping system.
CIA Response:
Complete.
CIA has well-established procedures for the
capture and appropriate use of e-mail records
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Moreover, the three issuances referenced in our
response to Recommendation II/1, above, makes specific
reference to the preservation of e-mail as Agency
records. A copy of our "E-Mail Quick Reference Guide"
is enclosed. (Attachment E). The Proactive Electronic
Records Management (PERM)2 system, the Agency records
management application, will enable employees to
capture e-mail records into an official approved
electronic recordkeeping system. In addition to the
regulations mentioned above, the OIM CBT (see our
Response to Recommendation 1/3, above) also identifies
e-mail as a potential record that requires preservation.
2 Your letter of 19 March 2001 to the Director, Office of Information Management requested that our
bulletin to CIA employees include correspondence and intelligence reports as examples of CIA records.
3 The PERM application captures, organizes, and preserves electronic document objects originated at or
received by a computer terminal, including e-mail, word-processed documents, HTML pages, spreadsheets,
et al.
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� Recommendation II/lb:
Telephone conversations should be documented
through memoranda to the file.
CIA Response:
Complete.
In addition to the recently published issuances
noted in our response to Recommendation II/1, above,
the OIM CBT (also see our response to Recommendation
1/3, above) specifically addresses documenting
important telephone conversations.
� Recommendation 11/2:
Ensure that employees follow CIA guidance
requiring the creation and maintenance of files
to document agency activities.
CIA Response:
Complete.
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The duty of each component IMO is to ensure
that records are made and preserved to facilitate
the component business and document its actions. In
addition to the training courses and CET mentioned
above, a component IMO can and does provide tailored
instruction and guidance to office personnel of all
rank on proper recordkeeping. Each IMO is involved
in an informal inspection process in the normal course
of business serving as an IN consultant to users,
developers, and managers. Daily exchanges permit the
IMO to present guidance to each employee regarding
the proper and adequate creation and maintenance o
records.
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� Recommendation 11/3:
Monitor the implementation of the "Agency File
Guide" to ensure that it is effective and meets the
needs of the Directorates.
CIA Response:
Complete.
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The Agency
File Plan is being used by the PERM application that
is being deployed across the Agency (also see our
Response to Recommendation II/la, above). In
addition, the Electronic Recordkeeping System (ERKS)
Certification process, approved by the IPB in July
2000 as the mechanism for certifying automated infor-
mation systems (AIS) as an electronic recordkeeping
system, also requires system records be categorized
according to the Agency File Plan.
� Recommendation 11/4:
Ensure that adequate indexes are created where
necessary and that staff who need to use them have
familiarity with them.
CIA Response:
Complete.
The Agency ERKS Certification Process and
Information Technology Streamlining (the process by
which systems are apprOved for operation on the CIA
computer infrastructure) require that systems have
indices in order to retrieve and describe business
records. OIM developed PERM to address the Agency's
desktop originated electronic records; the Catalog of
Databases (CATDB) is an on-line inventory of Agency
databases; and AIRRS (the ARCINS/IPS Retirement
Replacement System) database provides an index of all
the records held at the Agency Records Center (ARC).
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Recommendation 11/5:
Require the timely creation of indexing
information concerning individuals of foreign
intelligence or foreign counterintelligence interest
following guidance in the existing DO instruction.
C/A Response:
Complete.
The Directorate of Operations (DO) branch
responsible for completion of the records index
increased its staff substantially, primarily with
contractor support. The DO is working on an automated
tool that will assist analysts with the extraction of
person names to complete the index record.
4. Recommendation 11/6:
Inspect new accessions retired to the ARC to
ensure that records are scheduled properly and to
identify any preservation problems and needs,
including compliance with CIA regulations concerning
the use of acid-free folders for permanent series.
This review can either be conducted by component
IMOs prior to shipment of records or by ARC staff as
part of the accessioning process.
CIA Response:
Complete.
In 1999, the ARC began to review all accessions
to ensure that records are preserved and properly
scheduled. The ARC developed and currently utilizes
the "New Permanent Retirement Job Quality Control/
Preservation Checklist" which documents the inspection
and correctness (appropriate application of the RCS
and preservation techniques) of each retirement
(Attachment G).
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� Recommendation 11/7:
Continue and extend the ARC preservation project.
Implement a preservation project for older records
held in locations other than the ARC.
CIA Response:
Complete.
The ARC checklist (see response to Recommendation
11/6, above) will identify non-textual records held at
the records center. In FY 2000, the ARC initiated a
project to sample (biannually) microform media stored
at the ARC. The project involves examining sample
sets of film for evidence of deterioration. This
project resulted in the relocation of all film-based
records at the ARC to a cold room that meets the
prevailing Federal temperature and humidity standards.
Examination of the first sample set was completed and
recorded in FY 2000. Re-examination of a sample of
the baseline set as well as an additional sample will
begin FY 2002.
The ARC has extended its preservation activities
to extant records (film and paper) held in the
facility. In addition to applying the "checklist"
procedure to new accessions or returned loans, ARC
personnel are systematically examining retired jobs
for compliance with appropriate preservation
standards. This inspection and preservation of older
records, starting first with permanent records, will
collect the metrics necessary to appropriately
determine the costs for these activities.
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Services OIM would provide include
converting damaged or deteriorating records to stable
(permanent) media, repackaging media in acid-free
containers, etc.
On 28 February 2001, OIM issued an Agency-wide
Employee Bulletin to address "Non-Textual Records
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Preservation." (Attachment H) In this Bulletin,
office heads were provided the conditions under
which media is to be preserved and safeguarded.
The notification encourages the use of the ARC to
retain inactive or low use records because of the
preservation activities there. In addition,
employees are directed to contact the component
IMO for assistance on any preservation issue.
� Recommendation 11/8:
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Continue the recent initiatives to revitalize the
vital records program. Ensure that/
IMOs continue reviewing older vital records in the
ARC, and identifying more recent vital records.
CIA Response:
Complete.
Vital records
are to be stored at the Agency records center. In
FY1999, the ARC staff reviewed and validated with the
owning component and respective IMO the vital records
held at that facility. OIM has identified and is
acquiring the equipment to be stored at the ARC
necessary to support reading/using vital records from
this location.
� As part of the PERM records application
deployment, each office will identify and tag vital
records.
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� Recommendation 11/9:
Consider conducting a mock emergency preparedness
drill to ensure that, in an emergency, records are
easily retrievable, all equipment needed to read the
records is available, and that system documentation is
'adequate to operate any system that contains vital
records.
CIA Response:
Complete.
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As noted in our response to Recommendation 11/8,
above,
Periodically testing
procedures, equipment and the viability of the data
identified as "vital" are a part of this program.
Recommendation III/1:
Review full text and skeleton schedules for
declassification; provide full text schedules to
NARA even if portions are security classified.
CIA Response:
Complete.
The CIA records control schedules will be
forwarded to NARA the week of 2 July 2001. The
appropriate Agency Information Review Officers
(IR0s) will review the schedules for declassification.
� Recommendation 111/2:
Submit schedules for all unscheduled series,
including series where records are now maintained
electronically, particularly permanent series where
paper documents are no longer printed out and filed.
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CIA Response:
Complete.
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As has been noted in correspondence from NARA,
CIA records officers have been vigilant with regard to
submitting disposition requests for new records series
over the 50-year history of this agency. In the
course of populating CATDB and deploying PERM, each
IMO will confirm the disposition, or lack thereof, for
each record series that exists in his/her respective
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New records series will be submitted to NARA
for a disposition determination.
� Recommendation 111/3:
Ensure that all staff is familiar with the
schedules that cover the records they accumulate.
CIA Response:
Complete.
The proper creation, preservation and disposition
are covered in the training modules more fully
described above under our response to Recommendation
1/3. The Agency File Plan, the standard for
organizing records in CIA, incorporates the prevailing
GRS and Agency specific disposition authorities. As
such, appropriate disposition is determined and
applied consistently by use of this standard. The
act of filing a document in accordance with the Agency
File Plan marks the record with its disposition.
Users can see both the description and retention
period of any file under the Agency File Plan. The
ERRS certification process also mandates the use of
the Agency File Plan in order for an Automated
Information System (AIS) to qualify as an approved
electronic recordkeeping systems. Hence, records in
these systems are similarly marked with the
appropriate disposition.
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� Recommendation 111/4:
Work with NARA in the development of a revised
schedule for DO operational project files; use this
schedule as the basis for written guidance that is
� provided to those who review and/or process older
operational files.
CIA Response:
We are currently reviewing the proposed SF-115
for Operational Activity files. A formal CIA response
regarding this item will be sent to NARA shortly.
� Recommendation I11/5a:
Ensure that all staff that create or maintain
records are familiar with and properly apply existing
agency guidance pertaining to what is a record and
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the record status of working files,j
CIA Response:
Please see our Response to Recommendation III/5b,
below. Specifically, GIN will promulgate an Employee
Bulletin with respect to the appropriate use and
disposition of "working files" once language for that
series has been finalized. The IMO will be able to
monitor the proper categorization of records, including
those designated as working files, through the PERM
records management application.
Recommendation 111/5b:
Modify the description of working files included
in the agency schedules so it incorporates the
guidance in this regulation.
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CIA Response:
CIA has offered suggested language describing
working files in a letter to NARA, dated 26 April
2001. After agreement is reached between NARA and
CIA, OIM will disseminate instructions to all CIA
employees on the appropriate use and disposition of
working files. All references in Agency schedules
will be modified in accordance with the new item.
Furthermore, Agency employees will receive training
on this subject with the implementation of the Agency
File Plan and PERM.
Recommendation 111/6:
Treat as chron files only copies of outgoing
correspondence maintained for ready reference. Chron
files that are used as finding aids to other records
should be disposed of or retained as indexes in
accordance with NC1-263-85-1, Item le.
CIA Response:
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The OIM records management instruction (see our
Response to Recommendation 1/3, above) cautions all
users to seek guidance from OIM vis-a-vis the
disposition of any information collection. The
component IMOs provide guidance to component
personnel, especially secretaries and registry
personnel on the management of chron files. As with
the validation of the proper use of working files,
the IMO, via the PERM records management application,
will monitor the use of electronic chron files. I
� Recommendation 111/7:
Continue the project to apply correct schedule
items to ARC accessions improperly retired as
permanent; include NARA review as part of the process.
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CIA Response:
Complete.
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As mentioned above, under our response to
Recommendation 11/6, the ARC initiated a quality
control checklist to ensure that jobs retired to the
ARC are assigned the proper RCS. Issues or challenges
of misapplication of RCS items to retired jobs will
be forwarded to the Agency Archival Review Team (AART)
for resolution. The AART, as described is
comprised of the Agency senior directorate IMO's who
will recommend to the Director, OIM, changes, if any,
to a RCS assigned to records retired to the ARC. The
Director of OIM will, as appropriate, request an
additional review of the questioned material by NARA.
� Recommendation 111/8:
Work with NARA to develop transfer instructions
for permanent records that reduce the age at which
CIA records are typically accessioned by NARA, provide
for the transfer of. entire series (or chronological
segments thereof), and take into account CIA plans
to review files for declassification electronically.
CIA Response:
Complete.
�
Under Executive Order 12958, we are currently
reviewing for declassification all permanent records
that are 25 years old and older. This review will
enable us to identify all collections that can be
transferred to NARA in less than 50 years.
Recommendation 111/9:
Work with NARA to develop a timetable for the
transfer of specific files to the National Archives,
with the goal of transferring by the year 2003 most
permanent files cut-off prior to 1961.
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CIA Response:
Complete.
As mentioned in our response to Recommendation
111/8, above, we already are examining for transfer to
NARA those permanent records originated prior to 1961,
in compliance with Executive Order 12958. This is the
most efficient, orderly, and cost effective way to
examine for transfer our permanent record holdings.
We will identify permanent materials that no longer
have business value to the Agency for expedited
transfer to NARA. Concomitant with this exercise,
the Director, Office of Information Management, on
19 March 2001, sent to all Deputy Directors, a
memorandum requesting the identification for
consideration of transfer (to NARA) all 50 year-old
and older CIA records (Attachment J).
Recommendation IV/1:
Comply with NARA guidance contained in 36 CFR
1234 when electronic systems are developed,
maintained, or upgraded. Of particular importance is
the need to include migration strategies as part of
the life cycle planning for electronic systems design
and implementation.
CIA Response:
Complete.
The agency-wide implementation of the Electronic
Recordkeeping System Requirements (ERKS) for
Information Management System Certification complies
with the guidance contained in 36 CFR 1234. Guidance
contained in the Code of Federal Regulations (CFR) and
in the NARA endorsed DoD 5015.2 Standard for Records
Management Applications served as the basis for
defining the ERKS process. The ERKS certification
requires, among other conditions, testable system
functionality to ensure the integrity and inviola-
bility of electronic records. The certification
process also requires a realistic and achievable
migration plan for electronic records whose retention
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is longer than the expected life of the system in
which they are maintained.
� Recommendation IV/2:
Ensure that the major new systems ERMPO and
individual Directorates are developing can fully
meet the needs they were designed to satisfy.
CIA Response:
Complete.
See replies for Recommendations IV/2a through
IV/2c, below.
� Recommendation IV/2a:
Include in PERM the capability for creators and
recipients of e-mail to designate whether messages
are record, non-record, or personal.
CIA Response:
Complete.
PERM does have the ability to designate e-mail
as record, non-record, or personal. On 15 March 2001,
the PERM application and functionality was shown to
NARA representative, Mr. David Langbart. A copy of
the PERM application users guide is enclosed.
(Attachment K).
� Recommendation IV/2b:
Ensure that SMART has the capability to retrieve
special media records in the ARC.
CIA Response:
Complete.
The SMART system, at present, only tracks box
locations of retired records held at the ARC.
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However, the AIRRS database, a companion application
to SMART, has the ability to identify index entries
(description of records in a retirement job held at
the records center) according to media type. AIRRS
will be subsumed into the new release of "SMART II."
The new Smart application will include box tracking
functions as well as box descriptions including folder
number, folder title, and media inherited from the
AIRRS database. On 15 March 2001, OIM provided NARA
representative, Mr. David Langbart, with a demonstra-
tion of the AIRRS database functionality and the
ability for the IMO to specify media type on
retirement jobs.
� Recommendation IV/2c:
Ensure that all documents in series (except
documents that by their nature cannot be converted,
e.g., bulky enclosures) are included in MORI. Ensure
that systems are compatible with standards developed
for the entire Intelligence Community.
CIA Response:
Complete.
MORI maintains the documents released to the
public, for example, under FOIA and Executive Order
12958 mandatory requests. The documents in MORI are
copies of the original records that continue to be
maintained within the file series of which they are
a part. Unless a request was for an entire record
series, MORI would contain only those documents
(normally a subset from one or more record series)
released in response to the inquiry. On 29 March
2001, OIM provided a demonstration of MORI and the
material maintained therein to NARA representative,
Mr. David Langbart.
� Recommendation IV/3:
Disseminate the Agency e-mail regulation to
all Agency staff who use e-mail and monitor its imple-
mentation. Update this issuance as NARA develops new
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guidance concerning the maintenance and disposition of
e-mail.
CIA Response:
Complete.
CIA already has established procedures for
the capture and appropriate use of e-mail records,
documented in Agency regulations. These regulations
were disseminated to all employees. The regulations
are on-line in Agency regulatory databases available
to CIA employees. In addition, the appropriate
capture of e-mail as a record continues to be
articulated in training and periodic reminders (see
our response to Recommendation 1/3, II/1 and II/la,
above). The PERM records management application
provides users with an easy way to capture e-mail
in its native form.
1, Recommendation IV/4:
Complete the centralized catalog project so
the Agency will have a comprehensive, Agency-wide
inventory of electronic records. After thefl
centralized catalog is completed, implement measures
to keep it current as additional systems are
developed.
CIA Response:
Complete.
b)(3)
b)(5)
CATDB has been redesigned and a deployment
schedule has been developed. IMOs already have been
instructed to populate CATDB, and substantial progress
has been made in two of the five Agency directorates.
The population of CATDB is a mandatory condition in
the new IT Streamlining process mentioned above in our
response to Recommendation 11/4, i
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� Recommendation 1v/5:
Using the centralized catalog data as well as
pre-existing inventories and lists, work with NARA to
initiate and carry out a project to ensure that all
CIA electronic record systems are eventually covered
by NARA-approved schedules.
This effort should begin as soon as possible,
using existing inventory information, and should
encompass the review and coordination with NASA of
housekeeping systems to determine which are covered by
the GRS and which are not. Develop schedules for non-
GRS records, beginning with those that pertain to
CIA's core missions and are the most likely to be
appraised as permanent.
CIA Response:
Complete.
As explained above, in our Response to
Recommendation I1/4, above, CATDB is being populated.
Each system entered into CATDB must identify a
disposition authority to cover the records maintained
in that system. Records and/or systems for which
there is no prevailing GRS or Agency records control
schedule will be described (on Standard Form 115) and
sent to NASA for a disposition authority. In
conjunction with the CATDB population, OIM has
initiated an annual ERKS certification program to
identify all AIS systems that must be certified
against this Agency standard. The certification
process requires the system owner to be able to
identify, designate and preserve the record
(maintained in that system) through the record
lifecycle.
� Recommendation V/1:
b)(3)
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(b)(3)
(b)(3)
b)(3)
(b)(3)
CIA Response:
Complete.
� Recommendation VI/1:
Issue specific guidance concerning the creation,
maintenance, and disposition of non-textual records
that incorporates NARA guidance. This can be done
either through a separate issuance or by incorporating
guidance into the appropriate records management
regulation/
CIA Response:
Complete.
/ On 28 February 2001, OIM issued an Employee
Bulletin entitled "Non-Textual Records Preservation"
which provided specific guidance on disposition,
creation and maintenance of non-textual records.
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� Recommendation VI/2:
Use formats that conform to 36 CFR 1232.30 for
permanent and unscheduled video recordings.
CIA Response:
Complete.
(b)(3)
(b)(3)
As mentioned in our Response to Recommendation
VI/1 above,
10IM, in February
2001, issued an Agency-wide Employee Bulletin entitled
"Non-Textual Records Preservation," to provide
specific guidance in disposition, creation and
maintenance of non-textual records. The Employee
Bulletin refers employees to the component or
Directorate IMO for any questions of preservation,
migration of records, and transfer of inactive records
to the Agency record center. Records transferred to
the ARC, including video recordings, will be inspected
for compliance with prevailing archival practices.
(See our responses to Recommendations 11/6 and 11/7,
above).
� Recommendation VI/3:
Inventory non-textual records and develop
schedules for all unscheduled series as well as
specific schedule items for certain major collections
now covered by generic authorities as identified in
this report
CIA Response:
Complete.
The Agency IMOs periodically conduct full or
partial inventories of component holdings that would
identify non-textual records not covered by an
existing disposition authority. As mentioned in our
responses to Recommendations 111/2, IV/4 and IV/5,
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(b)(3)
(b)(5)
(b)(3)
each IMO will use the
CATDB to identify any record series, textual and non-
textual, for which there is no applicable RCS. The
IMO would prepare and send to NARA a Standard Form 115
describing the system(s) and/or record series and
proposed disposition.
� Recommendation VI/4a:
Modify schedules to accelerate the transfer of
non-textual records to NARA custody.
CIA Response:
Complete.
� Recommendation VI/4b:
Immediately transfer the OSS map collection to
NARA.
CIA Response:
Complete.
Our records indicate that we transferred to NARA .
105 cubic feet of permanent material on 23 April 1985,
Accession Job NN3-226-85-2. Included among these
records were: Entry 151 described as 4 cubic feet of
OSS Map Records, SF 115 Item No. 83, bearing no CIA
Job Number.
The OSS Map Collection was one of nine bodies of
permanent OSS records, identified in your letter of
12 March 2001, as yet to be transferred to NARA. We
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are addressing this issue in separate correspondence
you will receive shortly.
� Recommendation VI/5:
Develop and implement a plan to preserve non-
textual series that must remain in CIA custody for
more than 10 years. Include upgrading storage
conditions in the ARC to meet NARA standards for the
storage of permanent non-textual records, copying
permanent records maintained on obsolete media to
contemporary formats, and the review of the ARC's
non-textual holdings to identify accessions in need
of preservation action. Particular attention should
be paid to locating non-textual records contained in
accessions retired to the ARC prior to 1978.
CIA Response:
Complete.
As mentioned above in our response to
Recommendations 11/6 and 11/7, OIM already has
instituted a process to ensure that all record
series are properly preserved. Guidance on
disposition and preservation consistent with current
Federal requirements was re-issued
Additionally, on 28 February
2001, an Employee Bulletin was issued on "Non-Textual
(b)(3) Records Preservation." Processes such as the ARC use
of its checklist are now in place to ensure that
permanent records are properly preserved. This
includes provisions to migrate records to archival
medium. Also mentioned in our response to Recom-
mendation 11/7 above, is the OIM initiative to examine
all textual and non-textual permanent holdings at the
ARC to ensure that records meet prevailing preserva-
tion standards. The system inventories that will be
b)(3) done
b)(5) CATDB systems, and the examination of records
practices in conjunction with the deployment of PERM
will identify any permanent, non-textual materials
held outside the ARC that require actions to safeguard
the review of
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their integrity, stability, authenticity, form, format
and continued readability.
In February 2000, OIM identified all of its
microfilm stored at the ARC and, in accordance with
Federal guidelines, sampled the film for evidence of
any deterioration. All permanent film is in the ARC
"cool room" which meets prevailing Federal temperature
and humidity standards for this medium. ARC staffers
perform temperature and humidity data analysis to
ensure the humidity and temperature environment
remains constant.
Over the past three years, the ARC has undergone
renovations costing several hundreds of thousands of
dollars to meet prevailing fire and safety standards
required of records centers.
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(b)(5)
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1
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(b)(5
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2
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ADMINLJ LICH
EMPLOYEE Li BULLETINt
Jan 2001
(th
RECORDS RESPONSIBILITIES OF EMPLOYEES AIND MANAGERS
(U) The National Archives and Records Administration requires us to periodically remind
employees, particularly during a change in Administration, of certain records
management responsibilities.
� Each employee, regardless of rank or position, has an official responsibility to create
and maintain the records, electronic and non electronic, needed to document the activities
of the component to which he or she is assigned.
� These records would include cables, memoranda, e-mail, meeting minutes, instant
messaging, audio and video recordings, and speeches.
� Prior to leaving the Agency, employees should ensure that the records they have
received or created are in an approved recordkeeping system.
� Duplicate copies that employees have maintained in their offices for reference purposes
should be destroyed.
� Employees leaving the Agency are reminded that no official materials, including
copies, whether or not classified, are to be removed from Agency facilities without
authorization.
� An employee may take information of a purely personal nature not associated with
4 official gency activities when departing CIA and public service.
(t.A If you have any qucstions re arding the retention of federal records, please
cons It with your Directorate DNIMO - DI/IMO DO/IMO
DST/IMO flCMm4MO or component
tntormation Management.Officer Chief Records and Classification
Management Group, Office of Information Management...
ADD TIMIS TRATIV13 RNAL UED NLY
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February 5, 2001
Headlines: (
Records Responsibilities of Employees and Managers
(U// ) Records Responsibilities of Employees and Managers
The National Archives and Records Administration requires us to periodically
remii employees, particularly during a change in Administration, of certain records
management responsibilities.
(U// Each employee, regardless of rank or position, has an official responsibility
to cr ate and maintain the records, electronic and non- electronic, needed to document
the activities of the component to which he/she is assigned. These records include cables,
memoranda, e-mail, meeting minutes, instant messaging, audio and video recordings, and
speeches.
(U// Prior to leaving the Agency, employees should ensure that the records they
have eceiv
7 0_
ed or created are hi an approved recordkeeping system. Duplicate copies
that employees have maintained in their offices for reference purposes should be
destroyed. Employees leaving the Agency are reminded that no official materials,
including copies, whether or not classified, are to be removed from Agency facilities
without authorization.
(U// An employee may take information of a purely personal nature not
asso ted with official Agency activities when departing CIA and public service.
(U// If you have any questionscons t with your Directorate or component Information Management Officer o
regarding the retention of federal records, please
Chief/Records and Classification Management Grou , Office of nformation
ement This is UNCLASSIFIED
3/12/01 12:17
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� un'itka
(b)(3):#
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(b)(3)
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E-Mail
Quick Reference Guide
E-MAIL MUST BE RETAINED WHEN THEY:
�� are made or received by the Agency and
� show the formulation and execution of basic policies and decisions and
any associated actions; or
� are minutes of meetings related to any Agency activity; or
� facilitate action by Agency officials and their successors; or
� report Agency activities or business to Congress and other legal entities;
� protect the financial, legal, and other rights of the Agency and of persons
directly affected by the Agency's actions, or
� transmit, through attachments, record information.
� EXAMPLES OF E-MAIL WHICH SHOULD BE RETAINED ARE:
� substantive comments on draft memoranda or analyses;
� documentation of Agency decisions and commitments reached orally;
� information of value about Agency activities and significant programs;
� information that adds to understanding of Agency operations and
responsibilities; or
� official command channel communications.
(b)(3) For additional information, :ontact your
� component or Directorate Information Management uffIcer (IMO).
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MANAGING THE DISPOSITION OF E-MAIL:
E-mail must be retained in accordance with official Record Control
Schedules. Contact your component IMO or Directorate IMO to help you
determine the retention schedule for your e-mail.
E-mail which need not be kept for longer than 30 days may be kept in
electronic form and deleted when no longer needed.
E-mail which must be kept for longer than 30 days shall be printed to paper
and kept in a paper recordkeeping systems A copy of these records should be
maintained in their electronic form to facilitate their transfer to an electronic
recordkeeping system.
PRINTING E-MAIL
When printing e-mail that must be retained, the following steps should be
followed:
[44 print the E-mail, and all attached documents including hidden text;
14 print any return receipt you received for the message; and
file the message and receipt information in an appropriate hardcopy file.
REMEMBER THAT:
A The Agency E-mail system is for official or Agency approved uses
A. E-mail must be properly classified and portion-marked.
b)(3)
11
A E-mail is subject to search and retrieval for legal or investigative
purposes, including requests pursuant to the Freedom of Information
Act and the Privacy Act.
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(b)(3)
(b)(5)
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UNCLASSIFIED
New Permanent Retirement Job
Quality Control/Preservation Checklist
Date
Retirement Job Number
� -Number of Cubic Feet
Containers within 35 lb. limit? Y/N
Shelf list agreement with boxes submitted? Y/N
Acid-free boxes? Y/N
Service by box? Y/N
If service by box only, has IMO certified preservation? Y/N
Service by folder? Y/N
Folders numbered in sequential order in all boxes? Y/N
Record Preservation (Service by folder jobs only)
Acid-free folders in all boxes? Y/N
Removal of paper clips, metal fasteners, plastic bindings, and rubber bands? Y/N
Photos/nevvspaper clippings in polyester sleeves? Y/N
Thermofax and mimeograph documents replaced with photo copy? Y/N
Only acid free spacers in containers? Y/N
Is magnetic or film media in plastic or non-corrosive metal containers? Y/N
Reviewed by
Time for Review: hours minutes
UNCLASSIFIED
A
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/WNW
EMPLOYEE Qt_IBULLETINt
28 February 2001
(U) NON TEXTUAL RECORDS PRESERVATION
(U) The National Archives and Records Administration (NARA) has determined that the
Agency Archives and Records Center (AARC) meets the Federal standards to ensure that
records maintained at the AARC are properly safeguarded and preserved. The AARC not
only maintains a controlled environment but also periodically reviews film and other non
textual media for signs of potential deterioration.
(U) NARA requires that Agency component managers, who permit component records to
be stored outside of the AARC or at another NARA approved facility, be advised of their
responsibilities to properly maintain and preserve official business records in accordance
with Federal regulations.
(U) Of particular concern to NARA is the preservation of non textual records, including:
microfiche; microfilm; motion picture film; photographs; imagery; film stripes; sound and
video recordings; posters and other graphic works; multimedia productions with related
finding aids; and x-rays. Each of these media requires appropriate handling and storage in
order to preserve the information contained therein. Agency offices that store non textual
media in their areas or with another storage provider (other than the AARC) are reminded
to ensure that:
� Audiovisual media records are stored in a facility where the temperature does not
exceed 70 degrees Fahrenheit and relative humidity is below 50 percent. (Lower
temperature and humidity levels prolong the useful life of these records.)
� Film records requiring long-term retention be of the polyester-based silver gelatin type
as opposed to cellulose-acetate film which deteriorates over time.
� Equipment intended for projection or playback of all non textual media be in good
working order.
� Permanent audiovisual records be inspected every two years for damage or
deterioration.
� All photographs are placed in inert plastic sleeves. (Inert plastics and other storage
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materials are described in ANSI/NAPM IT9.11-1998 standard.)
� All media is packaged in inert plastic, non-corroding metal, or acid-free paper based
containers.
� Silver gelatin originals are separated from non-silver reference copies and, if necessary,
stored off-site of the customer premises.
(Ulla Component managers may wish to consider using the AARC to store non
textual materials which they now maintain within their �office or other facilities under
their 'control. Questions regarding the preservation of non textual media can be addressed
to AARC personnel on secure extension or to your Directorate or component
Information Management Officer.
ADMINISTRATIVE ITERNAL UER NLY
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(b)(3)
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ILaunch PERM
Deposit documents and Lotus Notes into PERM
that have continuing value to you, your workgroup,
or the Agency.
There are several ways to start the PERM application
including:
Ao:nnigdatesiicetion end
� M
From within Lotus Notes, Click Knowledgeiniagement
� From within MS-Word and Excel select "PERM' from
the menu, then select 'File to PERM Repository"..
IC
� From the desktop, double click the PERM icon PE" .
� From the NT Explorer:
1. "Drag and Drop" the record from the Explorer
window to the PERM icon, or
2. "Send To" command on the Explorer window
When PERM is invoked, the Records Management and
Classification dialogue box appears.
Select record status'
C bmIt
4:`
*User-entered, required fields
'System defaulted or user entered
Select/Launch
tassification*
Select/Launch
File*
Apply Record
Informationt
Spedifyi
Browse filet
Enter the
Subjectifitlet
Add Optional
Information
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OIM 01-0506
19 March 2001
(b)(3)
MEMORANDUM FOR:
FROM:
SUBJECT:
Executive Director
Deputy Director� for
Deputy Director for
Deputy Director for
Deputy Director for
Administration
Intelligence
Operations
Science and Technology
Director or Information Management, DA
(U) Identification of Agency Permanent
50-year-old Records for Transfer to the
National Archives
1. (U// Action Requested: Your support and
assistance is requested to identify Agency permanent records
in your Directorate that are dated prior to 1953. This
request is in support of an agreement between the Agency and
the National Archives and Records Administration (NARA) that
Agency permanent records will be transferred to NARA when
they become 50 years old unless the DCI determines that
continued Agenc retention is required.
2. (U// ) Background: By law, every Federal
agency submits to NARA a records control schedule that lists
all of its records and identifies which of them it believes
should be permanent and which should be temporary and may ?e.
destroyed after a period of time. NARA reviews and approve
the records control schedule and has done so with respect to
Agency records. Most agencies store records not immediately
needed at a Federal Records Center, and by law are required
to transfer permanent records to NARA when they become 30
years old. The Agency does not send its records to Federal
Records Centers but rather sends them to the Agency Archives
Unclassified//te when
Separated from Attachments
-P54,40A-1�
A
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SUBJECT: (U) Identification of Agency Permanent
50-year-old Records for Transfer to the
National Archives
and Records Center (AARC). In addition, CIA negotiated an
agreement with NARA to retain our permanent records for 50
years rather than 30 years before transferring them to NARA
fpr classified storage as appropriate.
(b)(3)
(b)(5)
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SUBJECT: (U) Identification of Agency Permanent
50-year-old Records for Transfer to the
National Archives
(b)(3)
(b)(5)
(b)(3)
7. (U) Please direct any questions on this activity
to J OIM/ODC11111.11.1.11.11 or your pirectorate
IMO. Thank you for your assistance in this matter.
Attachments:
A. Listing of Permanent Records
Stored at the AARC
B. Listing of Permanent Records
Control Schedule Items
C. Form Letter for Submitting
Response to this Request
D. Agency Transfer Plan
3
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