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December 12, 2016
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January 29, 2002
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January 1, 1968
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Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 46 FPMR 101-11 RECORDS MANAGEMENT HANDBOOK managing emergency preparedness files FEDERAL VITAL RECORDS PROGRAM 1968 GENERAL SERVICES ADMINISTRATIONS` ix t *1-1 GENERAL SERVICES ADMINISTRATION NATIONAL ARCHIVES AND RECORDS SERVICE OFFICE OF FEDERAL RECORDS CENTERS Federal Stock Number 7610-543-7722 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 RECORDS MANAGEMENT HANDBOOK / c Managin g Corer jency ,Prepares nea i Ji ej FEDERAL VITAL RECORDS PROGRAM 1968 GENERAL SERVICES ADMINISTRATION NATIONAL ARCHIVES AND RECORDS SERVICE OFFICE OF FEDERAL RECORDS CENTERS For sale by the Superintendent of Documents, U.S. Government Printing Office Washington, D.C., 20402 - Price 20 cents Approved For Release 2002/02/25 : CIA-RDP74-00390R0001000100074 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 RECORDS MANAGEMENT HANDBOOKS are developed by the National Archives and Records Service as technical guides to reducing and simplifying paperwork. RECORDS MANAGEMENT HANDBOOKS: Managing correspondence: Plain Letters .......... 1955 47 p. Managing correspondence: Form Letters .......... 1954 33 p. Managing correspondence: Guide Letters ......... 1955 23 p. Managing forms: Forms Analysis ................ 1960 62 p. Managing forms: Forms Design .................. 1960 89 p. Managing mail: Agency Mail Operations .......... 1957 47 p. Managing current files: Files Operations .......... 1964 76 p. Managing current files: File Stations ............. 1968 52 p. Managing current files: Subject Filing ............. 1966 40 p. Managing noncurrent files: Applying Records Sched- ules ................................... 1961 23 p. Managing noncurrent files: Federal Records Centers . 1967 39 p. Mechanizing paperwork: Source Data Automation ... 1965 78 p. Mechanizing paperwork: Source Data Automation Equipment Guide ......................... 1962 120 p. Mechanizing paperwork: Source Data Automation Systems ................................ 1963 183 p. General: Bibliography for Records Managers ....... 1965 58 p. General: Copying Equipment .................... 1966. 82 p. Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 To put the Federal vital records program in its proper perspective, it must be remem- bered that its entire purpose is to protect that core of records (information) deemed necessary to ensure continuity of essential Governmental activities during and follow- ing national emergency conditions, including a possible enemy nuclear attack upon the United States. The continuity of Government program was initiated on the Federal level by Execu- tive Order 10346 of April 17, 1952. Under this order each Federal department and agency was made responsible for placing itself as soon as possible in such a position that it could carry out its essential functions in an emergency. The continuity of Government program includes, among other things, the development and maintenance of a program for the protection of vital records so that such records would.be available at the time and place where they would be needed. Leadership and coordination for overall emergency preparedness resides in the Of- fice of Emergency Planning, acting on behalf of the President. Section 304 of Execu- tive Order 11051 of September 27, 1962, specifies that OEP shall develop policies and plans to assure the continuity of essential Federal Government activities through a variety of programs providing. among other things, for safekeeping of essential records. Emergency preparedness responsibilities of the General Services Administration in the area of records management are set forth in Executive order 11093 of February 26, 1963. Section 2(e) of this order directs GSA to "provide instructions and advice on appraisal, selection, preservation, arrangement, reference, reproduction, storage and salvage of essential records needed for the operation of the Federal Government after attack, on an emergency basis including a decentralized system." Designed to assist Federal records officers, defense coordinators, and others con- cerned with emergency preparedness, this handbook suggests some of the factors and methods that should be considered in developing and operating vital records protection programs. It supersedes the 1958 edition of the GSA Records Manage- ment Handbook entitled "Protecting Vital Operating Records." Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Page 1. DEFINITIONS AND BASIC ASSUMPTIONS ......................... 1 2. WHAT RECORDS ARE VITAL? ...........I ........................ 2 3. METHODS FOR PROVIDING VITAL RECORD COPIES ................. 4 4. MECHANICS OF PROTECTING VITAL RECORDS .................... 5 5. GOVERNMENT-WIDE USE OF GSA'S VITAL RECORDS DEPOSITORY ...... 8 6. VITAL RECORDS PROTECTION STATUS REPORTING ................. 11 7. ENSURING ADEQUACY OF THE PROGRAM ......................... 15 APPENDIX A-VITAL RECORDS (CHECKLIST) ...................... 16 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 1. DEFINITIONS AND BASIC ASSUMPTIONS As part of planning for national survival, the vital records program augments related emer- gency preparedness programs assigned by law or executive order to virtually every department and agency of the Federal Government. To achieve optimum status of the program on a continuing Government-wide basis, each Fed- eral executive department and agency is re- sponsible for selecting and safeguarding that body of information which would be most use- ful to its own essential emergency and recovery functions. This means that each must estab- lish and maintain its own vital records pro- gram. Let's start by providing some definitions of terms. Vital Records This term is synonymous with "essential rec- ords," "emergency preparedness records," "in- dispensable records," "relocation records," and several other terms denoting records vital to facilitating continuity of Government activities under national emergency conditions. Emergency Operating Records This category of vital records relates to the essential functions of the Government for the duration of an emergency if this country is attacked, and comprises organization and manning records (readiness) as well as sub- stantive and procedural records basic to imple- mentation of emergency operations. They are the records that would be needed immediately, that should normally be prepositioned at emer- gency alternate or relocation sites, and that should normally be in the form of paper copies so that they could be used (read) directly with- out reliance on enlarging or other equipment. Protection of this category is of prime im- portance. Such records include those neces- sary to: 1. The military effort of the Nation -the operation of the Armed Forces; 2. The mobilization and protection of the material and manpower re- sources of the Nation; 3. The maintenance of public health, safety, and order; the conduct of essential civil defense activities. Rights and Interests Records This category of vital records relates to the preservation of rights and interests of indi- vidual citizens and of the Government. They need not necessarily be kept at alternate sites, as they would not normally be needed imme- diately, nor need they be kept in readable paper form. The central theme of this handbook is that a formal vital records program, reflecting top management support, is needed within each Federal executive department and agency to fulfill this aspect of emergency preparedness. It should be designed to achieve optimum ca- pability in this area within budgetary limita- tions. The cost and complexity of work that would en- sure the availability of every document that might be needed would be prohibitive. It is particularly important that the program be kept on a practical basis because: 1. It is an essential part of the pre- paredness program designed to en- sure the continuity, of Government under the most adverse circum- stances. Overall preparedness will be found wanting to the extent that necessary information is not avail- able when it is most needed; 2. There is every reason to expect that this program must be kept cur- rent for an indefinite period of time. If it is overly elaborate, cumber- some, or costly, inevitably it will not be kept up. The procedures for en- suring that vital records will be avail- able must be made routine. The Federal program herein set forth is based on certain ground rules that have been gen- erally accepted as valid. These basic assump- tions, applicable to State and local govern- ments and industry as well, are that: 1. The best and most accessible storage space available, in terms of possible nuclear attack, should be used to safeguard vital records. Con- sideration should also be given to use of the best available equipment when dispersion is used as a key protective measure; 2. The need for duplication of rec- ords varies according to the value of the records, the normal distribution of copies, and the relative safety of the places to which the copies are distributed; 3. Providing special alternate sites for emergency operations in non- target areas is perhaps the most practical means of providing protec- tion, with the realization at the same time that the hitherto nontarget areas may become targets as soon Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 as valuable material is moved into them; 4. A calculated risk must be taken with regard to certain records of lesser value than those identified as vital records; and 5. Each Federal executive depart- ment and agency affected is respon- sible for planning and putting into effect action necessary to protect its own vital records. The department or agency actions necessary to es- tablish and maintain a vital records program are depicted in figure 1. PROGRAM ELEMENTS 1. Delegate agencywide program responsibility to a headquarters official, and desig- nate a network of liaison officers to implement the program in the field; 2. Develop basic principles and guidelines to be followed, covering elements such as program responsibilities, location of operations (concentrated or dispersed), and records to be safeguarded; 3. Develop and issue to agency officials involved an establishment directive outlining plans for unified management of the program, including guidelines and procedures for the selection, collection, inventorying, transferring, protecting, and otherwise maintaining the vital records; 4. Preposition the vital records at operational or other safe locations, providing any necessary equipment to use machine-coded or micro-filmed records; and 5. Indoctrinate all agency personnel concerned with maintenance and operation of the vital records program. 2. WHAT RECORDS ARE VITAL? Standards for identifying the vital records of a department or agency cannot be established except in very general terms. The key to identifying the records in the emergency operating category, already de- fined, is obvious. Essentially only records necessary to the conduct of emergency func- tions of a substantive nature are involved, although those covering organization, assign- ment of specific responsibilities and duties, delegation of authority, succession to com- mand, and related emergency readiness mat- ters are included.' However, the determination as to whether or not a given record is vital and which category it fits is often a difficult decision to make. Certain records may fall within both the emergency operating and rights and interests categories. Much of what most employees do from day to day would not be done in an emergency. Every- one tends quite often to forget this, and it is necessary constantly to remind ourselves. Normally in identifying the vital records of a department or agency either one of two ap- proaches can be used: 1. A complete inventory is com- piled, showing all records touching on emergency functions, and then a selection is made from them of the records to be safeguarded; or 2. A careful study is made of how functions would be carried out under emergency conditions, and then on the basis of such a study a listing is made of what records would be re- quired. In either case the only practical way to deter- mine the completeness of the selection. is through a test under simulated emergency conditions. The first of these alternatives might at a glance seem the surer, but that is not always true. In using the inventory method alone, there is a tendency to earmark entire series of records for duplicating although actually only a few papers in the file are essential. The difficulty in the second method is, of course, obvious. It is difficult enough to imag- ine the conditions under which emergency functions would be carried out because we are too used to telephones, files, easy trans- Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 portation, and consultation. It is even more difficult to imagine what records would be vital in carrying out the work to be done under emergency conditions. It cannot be overemphasized that in identify- ing vital records the records themselves must be evaluated only in regard to their essentiality in carrying out emergency functions or in pro- tecting rights or interests. The person making the selection is not concerned with the archival or research value of the files. Many records currently being safeguarded have no lasting value, but their value at the onset of an emer- gency can hardly be questioned. Lists or payrolls of persons receiving pensions are not of much enduring value after the statutory period for claims has run. Neverthe- less, these records would be vital in maintain- ing or reestablishing the flow of cash through the economic system of the country in the event of an emergency. On the other hand, experience has indicated that certain personnel are so familiar with existing problem areas and carry so much pro- gram knowledge in their heads that they have not given sufficient attention to records which should be at the relocation site. They over- look the twin facts that in time of emergency they themselves may not reach the relocation site, and that people not so well acquainted with their activities may have to take over. Records at the site should be usable by others. In identifying vital records, as might be ex- pected, there are a few types that almost every department or agency evaluates in about the same way: General Management Records Vital records include statements of mission in an emergency, plans and programs for carrying out this mission, statements of delegations of authority and of succession to command, any predrafted regulations or announcements to be issued immediately upon the onset of an emergency, action programs that may have been drafted in skeleton form, information as to the whereabouts of vital records, informa- tion about agency personnel, property, and activities sufficient to provide a basis for dam- age assessments, and similar information on essential emergency functions. Copies of basic legislation, regulations, and procedures are often included, even though many of these would be rendered at least temporarily in- operative in an emergency. Personnel Records Among the personnel records most frequently designated as vital, in addition to lists of key employees assigned emergency duties, are rosters of employees (often in the form of a telephone directory or a copy of the payroll) and rosters of employees' skills that might be useful during and following an emergency. Of prime importance, of course, in time of emer- gency would be information as to which em- ployees were available for duty and which were casualties, but such information must be ob- tained through a prearranged reporting system rather than through storage or security copies of records. Legal Rights Records In general a distinction has been drawn be- tween records that support legal rights which might be reestablished through affidavit and which are well known to those involved, and records of legal rights maintained by the Federal Government as the statutory office of record, particularly if it is unrealistic to expect those involved to know the details of the rec- ords. Real estate titles, for example, have in the past been reestablished after loss of records, and usually departments and agencies know what real estate the Government owns. Furthermore, there are inventories of Federal land holdings, with copies dispersed in various locations. Finally, the Federal Government is not the office of record for real estate titles; they are registered in local court houses, many of which would almost certainly escape relatively un- harmed in an emergency. For these reasons Federal agencies have not tried to safeguard title papers to federally-owned land. Affidavits and other records that might survive an emer- gency should be sufficient to reestablish title. Where the Federal Government is the office of record for legal rights-citizenship, for exam- ple-it has a primary responsibility for their protection. Few people know the amount of their equity in retirement funds, so the neces- sary records to protect this equity have been safeguarded. Most Federal departments and agencies have also taken steps to protect the rights of their employees to earned leave and to pay due them through safeguarding copies of periodic payrolls and key leave records. Fiscal Records There has been no effort to provide vital record copies of all the fiscal records of the Govern- ment simply because it would be too unwieldy and expensive. Most departments and agencies have safe- guarded copies of periodic summaries of their financial status, records of significant amounts of money due to the Government, and records of certain debts owed by the Government. For the most part, however, no effort has been 3 298-433 0 - 68Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 made to safeguard copies of all fiscal records relating to procurement; it is up to the seller to preserve what he might need to prove his claim. On the other hand, the Government tries to safeguard a record of loans it has made in order to collect, if collection would be possible after an emergency. In its handling of fiscal records the same factors and motivation pre- vail in the Federal Government as in state and local governments and in private industry. Ow- ing to differences in the respective missions of Government and private industry, however, different records are chosen. Industrial Records The Federal Government operates many kinds of industrial establishments, and in such es- tablishments the key records are the same as are to be found in private industry. Engineering drawings, explanations of complex industrial processes, lists of suppliers of items and materials not everywhere available, and similar records are carefully safeguarded. Assigned Mission Records In determining what are indispensible records of activities peculiar to individual departments and agencies, each must of course make its own decision in the light of the emergency mission for which it is responsible. The rec- ords designated will be greatly influenced, how- ever, by whether the emergency mission is simply a continuation of a normal peacetime program or is instead a completely or nearly completely new program, such as price con- trol, which is not a normal function. If the emergency mission represents continua- tion of a normal program, copies of those rec- ords that show the current status of the pro- gram should be safeguarded. Records showing the location of stocks of medical and other supplies may be of the ut- most importance; records of building construc- tion and of public utility systems may be es- sential for repair and rescue work as well as for determining the relative safety of structures still standing. Basically, departments and agencies will want to provide vital record copies of summary in- formation needed to continue and expand going programs. On the other hand, if the emergency mission, or a part of it, consists of the administration of a program not a part of normal Government functions, background material as to how the work was done in previous emergencies, or how it should be done, should be safeguarded. A small stock of forms used to accomplish the mission, reports required, regulations, proce- dures, and, particularly, critical evaluations of the success of comparable predecessor pro- grams, would be vital. Such materials may often be available in printed or published form rather than as manu- scripts. Regardless of form, they will be all important in getting the program off to a fast and effective start. There are additional problems in correlating the selection of vital records by central offices and field offices of agencies. As a rule, there is no need to safeguard the same information from both places. If a pension roll is being safeguarded centrally, field offices need not protect the same information at each field loca- tion. On the other hand, a certain amount of duplicate information is required at central offices and field offices. 3. METHODS FOR PROVIDING VITAL RECORD COPIES Most often vital records are maintained as duplicate copies. The methods employed to protect vital records vary from department to department and from agency to agency, but es- sentially they involve combinations of four ex- pedients: Reliance on Existing Duplicates at Other Locations Almost all departments and agencies rely to some extent on duplicate sets of documents already on file at separate locations within their own organization, in other agencies, or even in non-governmental institutions to which they would have access in time of emergency. These documents are regularly added to as a part of everyday business. This has been termed "built in dispersal." In some instances the whereabouts of these duplicates is well known; usually field offices have copies of all of an agency's directives, regulations, organi- zation charts, and the like. In other instances only a handful of employees are even vaguely aware of the existence of the program for the protection of vital records, and therefore only that handful have even thought in terms of the existence and preservation of duplicates in field office files. 4 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Provision of Duplicates for Storage at Another Location In most instances duplicates are assembled specifically for storage in emergency alternate or relocation sites, or at other security loca- tions. This has been called "improvised dis- persal." The volume of these records normally is not such as to create a space problem. Such duplicates are usually prepared simultaneously with other records in regular day-to-day opera- tions for periodic transfer to security storage. Provision for Copies of Existing Records Many departments and agencies have under- taken programs for making copies of existing records, either because there are existing ac- cumulations of vital records of which no extra copies are available or because the nature of the record makes it impracticable to create it in multiple copies. Examples of the first type of records are construction drawings for public utilities constructed in the past; examples of the second are records of certain loans. Copies are made by various methods, depend- ing on the quantity of records to be copied and on the nature of the record. Conventional office copiers are now extensively used, but micro- film has been the most used method for repro- ducing existing files. Some Federal agencies have used their own cameras or have arranged for the General Service Administration to do the filming on a cost reimbursable basis, whereas others have contracted with commer- cial companies that are equipped to do the job. When the vital records program was first ini- tiated it was necessary to microfilm significant quantities of existing records to provide the copies for security storage. As time has passed, provision has been made for providing extra copies at the time records are created, and microfilm has been used less. There are at least three reasons for this decline: 1. Microfilming is more costly nor- mally than providing an extra copy at the time the record is created; 2. Microfilm is relatively difficult to use, and in an emergency there might be real-difficulty in providing necessary readers or reader-printers; 3. As long as the images are on a single reel of microfilm, only one person can use the reel at a time. In certain circumstances, however, microfilm- ing has merit in providing vital record copies. It can be done relatively quickly, it presents a minimum storage problem at the alternate or relocation site, and it is usually less costly than other reproduction processes where re- production of existing documents is necessary. When vital records are maintained in machine- coded form, as for example on magnetic tape or on punched cards, consideration should be given to providing equipment for using the coded information. Stored records so coded also should be accompanied by a copy of the program or other information necessary to use them. Evacuation of Official Files to Relatively Safe Locations Evacuation of vital records to a safe location is feasible when they are referred to very seldom, or when, after their immediate administrative purpose has been served, they will not be needed for a predictable or relatively long period of time. It may also be practicable when the emergency relocation site is in the imme- diate vicinity. The particular method used in ensuring the availability of records depends on what records are to be available, to what extent their disper- sal has been accomplished through normal procedures, and the relative costs of providing protection through the several available methods. 4. MECHANICS OF PROTECTING VITAL RECORDS After vital records have been identified and de- cisions made as to the best method of provid- ing copies of them, the next question that arises is, where should they be stored. For storage purposes, a distinction may be made between the two categories of vital records: 1. Records that are "vital to the es- sential functions of the Federal Gov- ernment for the duration of an emer- gency if this country is attacked" should be available at the depart- ment or agency relocation sites. These are the emergency operating .records. 2. Records that are essential to the preservation of rights and interests of individual citizens and of the Gov- ernment require special protection but need not be at relocation sites. The sites chosen for such records should be relatively safe, but often these records are voluminous and it may be impracticable to keep them at relocation sites. Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 required by security regulations of the agency. Only in this way can proper handling be as- sured in transmission and storage. Transfer to Storage Normally records are not transferred to reloca- tion sites on a daily basis (unless the material is of the utmost importance) but on a weekly, monthly or other basis, particularly if the send- ing of a special messenger is involved. Pro- vision for interim storage in local vault or other suitable space is desirable. In some cases it may be appropriate to arrange with the local postmaster at the relocation site to receive and hold unclassified materials for temporary stor- age in a post office vault or safe. Periodically the material may then be picked up and moved to the storage site. If the agency security officer approves, this same system can be used for classified materials, but before such ap- proval is given, an inspection of the postal facilities is usually required. Storage At the relocation site the records are usually arranged on an organizational basis (by collect- ing points, as noted above) and thereunder chronologically by date of receipt or numeri- cally by inventory number. Rotation of Records Records are retained at the site in accordance with instructions on the package labels or on the inventory sheets. If new shipments are to replace old records, this fact must be clearly indicated, and the envelopes, folders, bundles, or cartons of records to be destroyed should be destroyed on the spot, or they may be re- turned to the collecting point for destruction there. Similarly, when supplementary materials are received at the relocation site, their rela- tionship to materials already there should be clearly set forth on the package label and on the inventory. Responsible Custody Some individual must be responsible for maintaining the records in storage. It may be impracticable or unnecessary to station files personnel at the storage point at all times. In such event, someone will need to make peri- odic trips to file additional materials in their proper places, to remove disposable files, and to ensure the continued proper maintenance of the vital records. If all of the above factors have been con- sidered, when either a test alert or a real emer- gency occurs, the vital records should be ready for use. The records should be in such shape that they can be made available immediately, and there should be no need to search through obsolete files to find current records. 5. GOVERNMENT-WIDE USE OF GSA'S VITAL RECORDS DEPOSITORY The General Services Administration maintains an underground Vital Records Depository suit- able for safeguarding emergency preparedness records of all Federal executive departments and agencies. Its use is optional. Established primarily for the protection of vital records of the rights and interests category on a Government-wide basis, this facility also ac- cepts emergency operating records (those nor- mally maintained at the individual department or -agency relocation sites), particularly "sec- ond" or "insurance" copies. The option of deciding whether this Depository is an appro- priate site for storage of emergency operating records is one for each department or agency. The Federal judicial and legislative branches of Government are also invited to use this facility for storage of their preparedness records. The protective physical features of the Deposi- tory conform to criteria established for agency relocation sites for National emergency opera- tions. It is centrally located in the United States, accessible to motor, rail, and air trans- portation. Atmospheric conditions within are ideal for proper storage of photographic film, magnetic tape, as well as paper records. An air conditioning system, with auxiliary stand by power feature, controls its temperature and humidity. Built-in automatic sprinklers pro- vide fire protection. The Depository operates as an annex to the Federal Records Center, Kansas City, Missouri. It provides essentially the same records serv- ices as do the other Federal records centers, as are explained in the GSA Handbook, Federal Records Centers, Federal Stock Number 7610- 298-6904, except as set forth below. The Depository performs the following services for Federal departments and agencies without cost reimbursement: 1. Receives and stores vital records on preinstalled shelving within the underground complex in the same basic arrangement as received, safe- guarding them by appropriate meas- ures on a 24-hour basis; Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 2. Makes the records available for use as early as practicable after re- ceipt, answering inquiries about them as authorized; 3. Adds, replaces, withdraws, de- stroys, or returns records, as appro- priate, usually on an unopened con- tainer basis. Departments or agencies using the Depository should: 1. On initial transfers, provide the name, address, and telephone num- ber of officials having primary re- sponsibility for the transferred rec- ords, and designate, in writing, officials authorized to order disposi- tion and to inspect or otherwise have access to the records . (providing specimen signatures); 2. For each shipment of records transferred, show the highest de- fense classification on the inner con- tainer of each packaged file item; 3. Provide any special instructions or assistance concerning arrange- ment, service, or maintenance of the records, if required; 4. Bear the costs of shipping records to and from the Depository. To help facilitate handling transfers at the Depository, a completed inventory or descrip- tive list of the records (in duplicate) should accompany each shipment, or be mailed in ad- vance. One copy will be signed and returned as a receipt for the shipment. For future reference to the records, it will show an acces- sion number assigned by the Depository. Standard Form 135, Records Transmittal and Receipt, and Standard Form 135A (Continua- tion Sheet), if needed, may be used for this purpose, or the using agency's own vital rec- ords forms may be used (see figure 2 for ex- amples). A memorandum or letter will also suffice. The particular forms used are not important so long as adequate information is furnished. Standard size transfer cartons are available for shipping records to the Depository. De- partments and agencies are encouraged to use these cartons because of their compatibility with the uniform-size shelving installed at the Depository. The cartons have inside dimen- sions of 10 by 12 by 15 inches and hold each one cubic foot of either letter or legal size rec- ords. Standard cartons may be obtained by requisition from the nearest Federal Supply Service depot (Federal Stock Number 8115- 290-3379), or at no cost from the nearest General Services Administration Federal rec- ords center. Half-size cartons are also avail- able at no cost from the Federal records cen- ters. These measure approximately 5 by 10 by 15 inches inside. Records will be handled at the Depository in accordance with instructions provided on the inventories furnished or on the individual pack- aged items (inner container labels). Replaced records will be burned at the Depository or returned as instructed. The updating of records prepositioned at the Depository is best accomplished by subsitut- ing unopened containers of current records for like containers of obsolete records. This tech- nique should be used to the maximum extent practicable to help minimize, at the Depository, such time consuming and costly operations, for example, as changing, correcting, or interfiling individual documents. Uniform processing at designated agency vital records assembly or collection stations is essential to effective and economical use of this technique. This means that the department and agency stations should package separately all records readily identifiable as a unit, label each pack- age with an identification label similar to the one shown in figure 2 (or otherwise relate the packages to the inventories), place them in records transfer cartons (or otherwise repack- age them), and address them for shipment to the Depository, as follows: For Shipments Via Postal Channels: Federal Records Center Annex, GSA Post Office Box 141 Neosho, Missouri 64850 For shipments Via Commercial Motor or Rail Freight: Federal Records Center Annex, GSA Ozark Terminal Neosho, Missouri 64850 Prior to initial use of the Depository, depart- ments and agencies are asked to sign a "Rec- ords Transfer Agreement," covering essentially the conditions outlined above plus any special ones (subject to negotiation) which are mu- tually agreeable. Agency officials requiring any additional information about the Deposi- tory, or a copy of the specified agreement, should communicate with: Regional Director, NARS General Services Administration 1500 East Bannister Road Kansas City, Missouri 64131 Representatives of departments or agencies in the Washington area who are interested in transferring vital records to this depository are invited to contact: General Services Administration National Archives and Records Service Office of Federal Records Centers-NC Washington, D.C. 20408 10 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 6. VITAL RECORDS PROTECTION STATUS REPORTING The primary purpose of vital records status re- porting is to provide current information for the Office of Emergency Planning to evaluate overall readiness of the Federal executive de- partments and agencies in safeguarding rec- ords needed for emergency operations. It is also instituted as a reminder to such depart- ments and agencies that their programs should be reviewed periodically for possible improve- ment. Instructions requiring submission of the vital records protection status reports are set forth in the Federal Property Management Regula- tions (41 CFR Part 101-11). Status reports in two parts, covering both emer- gency operating records and rights and inter- ests records (see figures 4, 5, and 6 for forms used), are submitted by departments and agencies to the General Services Administra- tion, National Archives and Records Service, Office of Federal Records Centers-NC, Wash- ington, D. C. 20408. The reports are reviewed and transmitted to the Office of Emergency Planning for overall evaluation and appropriate action. Reports are required for each individual vital records program. Generally, this means that the smaller independent agencies will prepare a single consolidated report. Larger agencies and cabinet departments will prepare an in- dividual report for each large component (e.g., bureau, service, administration, or office). Re- gional or field program reports shall be incor- porated within the reports for bureau. level or above before being transmitted to GSA. The reports should reflect any outstanding recommendations and actions to be taken con- cerning vital records arising out of overall records management program evaluations con- ducted within the reporting department or agency by the National Archives and Records Service. The reports should provide in the answers or in attachments appropriate comments as to conditions and planned improvements, essen- tially as follows: Plans and Facilities Has your agency developed plans for preserv- ing and providing operational and safe loca- tions for storing its vital records? If not, what corrective actions will be taken during this year? Programs Has your agency developed an on-going pro- gram to preserve and prelocate its vital rec- ords? If not, what stopgap plans are going to be used in an emergency and what corrective actions will be taken this year? Readiness If a nuclear attack were to occur, would your agency have the required vital (operating) records to carry on emergency operations at alternate facilities? If not, what corrective ac- tions will be taken this year? Recovery Have the vital (rights and interests) records of your agency been prepositioned at safe and accessible locations from where they can be recalled as needed during recovery? If not, what corrective actions will be taken this year? Each report is to be complete in itself and supersedes the previous report. The reports should be security classified appropriate to the degree of classified information they con- tain. The reports are to be submitted in duplicate annually, as of June 30, and are due in GSA within 10 workdays thereafter. Special ad- visory reports should be prepared and sub- mitted whenever a significant change occurs in the status or location of the records pro- tected. Limited quantities of the illustrated reporting forms are available at no charge from GSA Region 3, Office of Administration, Administra- tive Services Division-3 BRD, Washington, D. C. 20407. 11 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 GENERAL SERVICES ADMINISTRATION NATIONAL ARCHIVES AND RECORDS SERVICE VITAL RECORDS PROTECTION STATUS REPORT (PART I - EMERGENCY OPERATING RECORDS) INSTRUCTIONS Please submit this report in duplicate to the address shown below. This report shall be prepared for bureau level or above and shall incorporate subordinate unit program reports before being submitted to GSA. Use plain bond paper to complete any report items. F TO: General Services Administration National Archives and Records Service Office of Federal Records Centers Washington, D.C. 20408 0b. OTHER (Specify) 0 B J E C T I V E S COMPLETE (11 INCOMPLETE (2) a. PLANS FOR PRESERVING EMERGENCY OPERATING RECORDS b. EMERGENCY ORGANIZATIONAL AND MANNING RECORDS (READINESS) PRELOCATED c. EMERGENCY SUBSTANTIVE AND PROCEDURAL RECORDS (OPERATING) PRELOCATED d. RECORDS NOT PRELOCATED MARKED FOR EMERGENCY MOVEMENT e. EQUIPMENT NEEDED FOR USE OF PRELOCATED RECORDS PROVIDED 7. STATUS OF RECORDS OF MAJOI PARTICIPATING UNITS COMPLETE NO. INCOMPLETE NO. 8. PERCENT OF OVER-ALL PROGRAM COM- PLETED AND MAINTAINED CURRENT PERCENT 9. MAJOR LOCATION(S) OF PROTECTED RECORDS (YES OR NO) UNITS OF ORIGIN ADDRESSES SPACE PROTECTED IN. OR ACCESSIBLE TO. EMERGENCY OPERATING FACILITY RECORDS IN USABLE FORM RECORDS COMPLETE 10. PROGRAM REVIEWED 1:1 a. ANNUALLY r_1 b. SEMIANNUALLY C. OTHER (Specify) It. GIVE REASONISI FOR UNCOMPLETED PROGRAM ACTIONS FOR EACH ITEM INCOMPLETE UNDER ITEMS 6 .AND B. Figure 4. Status Report Form for Emergency Operating Records M a. TOTAL ORGANIZATION 12. LIST DEFINITIVE CORRECTIVE ACTIONS TO BE TAKEN THIS FISCAL YEAR !ND INTERIM STOPGAP MEASURES FOR EACH ITEM INCOMPLETE UNDER ITEMS 6 AND B. ONE Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 GENERAL SERVICES ADMINISTRATION NATIONAL ARCHIVES AND RECORDS SERVICE VITAL RECORDS PROTECTION STATUS REPORT (PART 11 - RIGHTS AND INTERESTS RECORDS) INSTRUCTIONS Please submit this report in duplicate to the address shown below. This report is to be filled-out for the some reporting element for which GSA Form 2034, dealing with emergency operating records, was completed. F TO: General Services Administration National Archives and Records Service Office of Federal Records Centers Washington, D.C. 20408 4. REPORT COVERS 0 a. TOTAL ORGANIZATION b. OTHER (Specify) O B J E C T I V E S COMPLETE 111 INCOMPLETE (2) a. PLANS FOR PRESERVING RIGHTS AND INTERESTS RECORDS b. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF DEPARTMENT OR AGENCY EMPLOYEES PRESERVED C. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF PUBLIC (CITIZENRY) PRESERVED d. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF DEPARTMENT OR AGENCY PRESERVED _ _ _ 7. STATUS OF RECORDS OF MAJOR PARTICIPATING UNITS COMPLETE NO. INCOMPLETE NO. 8 PERCENT OF OVER-ALL PROGRAM CONT. PLETED AND MAINTAINED CURRENT C ENT VffR 9. MAJOR LOCATION(S) OF RECORDS DEPOSITORIES (YES OR NO) UNIT OF ADDRESSES OR GIN SPACE PROTECTED RECORDS COMPLETE 10. PROGRAM REVIEWED a. ANNUALLY 11. GIVE REASON(S) FOR UNCOMPLETED PROGRAM ACTIONS FOR EACH ITEM INCOMPLETE UNDER ITEMS 6 AND B. 12. LIST DEFINITIVE CORRECTIVE ACTIONS TO BE TAKEN THIS FISCAL YEAR AND INTERIM STOP-GAP MEASURES FOR EACH ITEM INCOMPLETE UNDER ITEMS 6 AND B. Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 RECOJ ING MEDIUM(Paper, microlfi m, punt -cars, etc.) b, 14 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 7. ENSURING ADEQUACY OF THE PROGRAM What appears on paper to be the best possible program for the protection of vital records will represent virtually a complete waste of time and effort if it is not kept up-to-date. To ensure that the program is adequate, it must be simple and economical, and it should be reviewed at least annually. Vital records inventories should be reviewed for adequacy in terms of any new or revised program respon- sibilities. As has already been indicated, in determining what are vital records there are two conflicting tendencies to be reconciled: 1. The tendency of most people to over-emphasize the value of the tasks they are performing and con- sequently to earmark too many rec- ords as vital records, and 2. The tendency of people to forget that when someone else must per- form their vital functions, that other person will not have the benefit of all the information in their own minds. The records must be complete enough to en- able a person relatively new to the job to carry it out, and they must be few enough to make a continuing program practical. Federal agencies have found that, as in the case of private companies, the percentage of all their records that deserve designation as vital records will vary with the functions they are to perform, but that in any event the per- centage will be relatively small. On an average not more than 1 or 2 percent at most of the total holdings are vital records. Accordingly, optimum protection should be provided. Care should be taken to avoid developing overly elaborate programs to safeguard too many records so that they can be continued indefi- nitely without running into budget or proce- dural difficulties. The vital records reporting system provides full information on the status of the program, the persons responsible for specific activities, and the nature and whereabouts of the key records. The information, which should be kept where it is available as well as safe, will be needed not only at the agency relocation site, but also where it can be used by the relocation officers and others responsible for planning, directing, and reviewing emergency activities. Among the data needed are the specific loca- tions of the vital records. In an emergency it would not be sufficient to know only the name of the city where the records are held. If only this were known by the official needing the records the emergency might well be over be- fore the records were found. Similarly, if records are kept at several loca- tions, the person needing them wants to know which files are at which location so that he can get what he wants with a minimum of delay. In addition, names and addresses should be kept of several people who know about the program, preferably people at different loca- tions. This is done on the theory that the same disaster that made necessary recourse to the records might also eliminate the officials at any single location who know about the pro- gram. Unless this information is reviewed regularly and kept current it may be of no value in time of emergency. Valuable information for improving the pro- gram can be obtained by testing it under simu- lated emergency conditions. Such tests are also useful to instill in the participants a sense of the meaning and importance of prepared- ness. These should be designed to disclose, among other things, that: 1. Records essential to carrying out assigned responsibilities are pro- tected; 2. Records are current and can be located quickly and easily; 3. Records are sufficiently complete to permit persons other than regu- larly assigned employees to perform required tasks; 4. Methods and procedures relating to records transfers to security site(s), and their updating, are suffi- cient to ensure smooth operation; 5. Lines of program supervision and organization are clearly shown in the records and understood by those as- signed emergency responsibilities. Naturally such tests are not conclusive, but nonetheless they are among the best available means of ensuring program adequacy. In conducting surveys of overall agency rec- ords management programs and practices, under authority of the Federal Property and Administrative Services Act of 1949, 63 Stat. 377, as amended, the General Services Ad- ministration (National Archives and Records Service) includes a review of agency programs for the protection of vital records. Approved For Release 2002/02/25 : CIA-RDP74-0039OR000100010007-9 Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9 CHECKLIST The questions are so worded that check marks in the NO column indicate the need for corrective action. 1. Do you know the emergency mission of your organization? 2. Are all records vital to your emergency mission stored at your relocation site or otherwise appropriately safeguarded? 3. Are appropriate officials of your agency apprised of services available at GSA's Vital Records Depository? 4. Are records at the relocation site kept current? 5. Are they adequately arranged and listed or indexed? 6. Are obsolete materials systematically removed? 7. Are statements of emergency mission, delegations of authority, and predrafted emergency issuances available at relocation site? 8. Are adequate records of personnel there? 9. Are voluminous records vital to eventual safeguarding of rights and in- terests maintained separate from emergency operating records either within the relocation site or elsewhere? 10. Are records necessary to facilitate establishment of new programs at relocation site? 11. Has the availability of any special equipment needed to use the records in the area been checked? 12. Have field office plans been coordinated with central office plans? 13. Are you able adequately to monitor the program by available reports and inventories? 14. Are program status reports prepared and submitted annually? 15. Were the records at the relocation site adequate during the past test? 16. Is your program so simple and inexpensive that you anticipate no diffi- culties in keeping it up to date? 17. Are adequate security measures in effect for the program? 18. Is your office's program in full operation and now capable of meeting emergency requirements? Appendix A-Vital Records (Checklist) ^ ^ ^ ^ Approved For Release 2002/02/25 : CIA-RDP74-00390R000100010007-9