RECORDS REVIEW PROJECT

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00390R000300240010-8
• Release Decision: RIPPUB
• Original Classification: S
• Document Page Count: 21
• Document Creation Date: December 12, 2016
• Document Release Date: February 26, 2002
• Sequence Number: 10
• Content Type: REQ

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RECORDS REVIEW
PROJECT
annual inventory
records retention plan
records control schedule update
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RECORDS REVIEW PROJECT
TABLE OF CONTENTS
--- THE RECORDS INVENTORY
-- THE RECORDS RETENTION PLAN
--- SURVEY PREPARATION BACKGROUND
--- RECORDS INVENTORY REFERENCE DOCUMENTS
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THE
RECORDS
INVENTORY
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A. SOME BASIC CONSIDERATIONS:
1. Objective. A records inventory survey is conducted
for the primary purpose of collecting and recording factual
information on each series of records. Sufficient and accu-
rate data must be obtained on each records series for its
proper evaluation and appraisal in terms of administrative,
legal, fiscal, and historical value. The factual information
obtained on each series and its evaluation stated in time
elements, for its cut-off, retirement,and/or destruction,
are essential for the preparation of Records Control Schedules.
2. Method of Collecting Data. The preferred method
of collecting data for the survey is for the component
Records Management Officer to take an inventory of all files
maintained by his organization.
3. Coverage. For the initial preparation of Records
Control Schedules and for the annual review of Schedules
thereafter, a comprehensive survey must be made of records
maintained in all organizational elements. This survey will
cover all file series including both record and non-record
materials. In addition, all space in filing equipment used
for purposes other than for the housing of records will be
recorded. This includes file space reserved for expansion,
overnight storage, and equipment storage, and for housing
other materials not included on the Records Control Schedule.
This additional information, though not included on the
Schedule is useful for detecting and controlling filing
equipment utilization practices.
4. Preparation. Before beginning the survey there are
three requirements necessary for an intelligent and prac-
tical approach to the problem: namely, proper authorization,
background data, and assistance.
a. Proper Authorization. Authority for the survey
should be obtained by the Records Management Officer from
the Chief of the component concerned.
b. Background Data. Secure and study organizational
charts, reports, regulations, administrative orders, direc-
tives, and controls regarding the activities, functions, and
procedures of the organizational element.
c. Assistance. Secure the names of individuals to be
consulted in each organizational unit. These individuals
should be at such an organizational level that they can
speak ailt.horitatively on the administrative value or need
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B. HOW TO CONDUCT THE SURVEY:
Form No. 138, Records Survey Work Sheet, is the recommended
form for recording the information collected during a records
survey. Copies of these forms may be obtained from the Agency
Records Administration Officer. In order to prepare comprehen-
sive Records Control Schedules and to properly analyze and
evaluate the results obtained it is essential that a Work Sheet
be prepared for each records series as outlined below:
1. Date. Enter the current date of the survey.
2. Office, Division, Branch, and Section. Enter the
organizational elements down to the unit maintaining the files.
3. Location. Enter building name or number and room
number.
4. Name of File. The title selected for the file series
should be descriptive, self-explanatory, and consistent with
the terminology of the office using and maintaining the file.
If applicable, it is best to assign the title by which the
using office identifies the file series. In other words, the
title selected should not be foreign to the user of the file.
In addition, subject files will be identified by title in the
following manner: "Office Subject File." "Division Subject
File." or "Branch Subject File," whichever is applicable.
Uniformity in use of names of files is desirable when the
same type of file is maintained in two comparable organizational
elements. For example: A file designated by title of "Mail
Control File" in one division should be similarly named when
found in a comparable organizational element.
5. Custodian. Enter name of the custodian or the person
who is responsibIe for the files. Also enter the telephone
extension so that problems arising later may be settled by
telephone.
6. Description. This is the most important factor
involved in conducting a records inventory survey. The
Records Management Officer should obtain answers to questions
such as these: What is the purpose or use of the record?
Where does it originate and to what offices is it distributed?
Which is the official file copy? How is the record filed?
What is its relationship to other records? Such questions are
obviously necessary for a competent appraisal of the records.
The importance of accuracy and completeness in this detail
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cannot be overemphasized if proper values are to be assigned
to records. Therefore, each record series should contain a
description including, but not necessarily limited to the
following:
a. Record Categories. In making a records inventory
meaningful as a tool for Records Control Schedule revision,
as well as a medium for the development of other management
information, records should be identified by category, and
wherever possible be keyed to the existing Records Contro l
Schedule. Therefore, categories of records should be
identified as follows:
(1) Records series identified in existing
Schedules. This is done by noting the Schedule
number, and the Item number of the records series
in the respective Schedule. Further description,
as noted below, need be included only if found to
differ from the description in the Schedule.
(2) Records series not covered by a Schedule.
The description of these series should be written
up in detail.
(3) Reference type materials which are not
part of substantive files, nor covered by a
Schedule, but occupy office space (library books,
journals, other agency directives and manuals), etc.
(4) Other. Example: records stored for another
office or individual. These should be identified and
described.
b. Description of Documents. To eliminate any doubt
as to identification of the file,a representative cross-
section sampling of the types of documents making up a
file series should be recorded. Note form numbers and
titles and the presence of any correspondence, memoranda,
cables, dispatches, reports, etc.
c. Function of the File. Give a brief statement of
the specific operation or process that creates the file.
This statement should reflect the use of the file and the
purpose the file serves.
d. Frequency of Use. The activity of a file or the
approximate number of references made to a file for a
specific period os a determining factor for the establish-
ment of cut-off dates and disposition procedures after
cut-off.
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e. Extra Copies Existing. If there are copies of
these documents maintained at another file location,
record that information here. Such entries might be:
"Extra copies filed in Branch Subject File," "Extra
copies filed in Reading File," etc. If, for instance,
the file series being surveyed were the extra copies,
with the official or record copy maintained elsewhere,
a proper notation might be: "Record copies filed in
Office Subject File," etc.
7. Arrangement. Indicate the filing arrangement of the
record series. This should be recorded in brief statements
such as: "Alphabetically by surname," "Alphabetically by
subject," " Numerically by requisition number," etc.
8. Inclusive Dates, Enter the date (year only) of the
oldest document in the series and the date (year only) of
the most recent documents. If the file arrangement is such
that this information is not readily apparent, a brief
sampling of the material should reveal the most character-
istic date coverage.
9. Size of Records. Check in appropriate squares the
size of the records and enter the linear feet of records in
the box provided.
10. Equipment Occupied by Records. Check in the
appropriate square the type of filing equipment housing
the records. Under "Other," enter the number of trays,
shelves, etc., utilized. This information along with the
above can be useful in controlling effective utilization
of filing equipment.
11. Remarks. Show here the disposition action
recommen ed An official of the organizational unit
responsible for the file should be consulted. The official
should be one who has knowledge of the value of the file
from an operating viewpoint and should be in a position of
authority to determine retention periods based on the
operating and administrative needs of the office. Infor-
mation recorded here will consist of a cut-off procedure,
retention time in office space after cut-off, and the
overall retention period for the record series. The
retention period, at this point of the survey, is based
only on the administrative or operational value placed on
the file by the users. This is a preliminary step in the
overall evaluation process required in the appraisal of
records. This space and the back of the sheet are also
useful for recording ideas, conversations, comments, or
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or other information pertaining to the records series not
included elsewhere on the work sheet. Such bits of infor-
mation often aid materailly in the evaluation process or in
spotting or solving a record problem.
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THE RECORDS RETENTION PLAN
WHY --------
WHAT ---------
HOW --------
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--- Required by law (Federal Records Act of 1950)
Documentation of an Agency's stewardship
of its public trust and responsibilities
Accounting owed by public officials to
the people
Consistency and continuity of governmental
actions
Provides information as to the structure, missions,
and functions of an organization
Basic to comprehensive record disposition program
development
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--- Records containing evidence as to the organization
and functioning of the governmental body that
produced the records
-- Formal policy and procedural issuances with
related documentation concerning their origin
and development
-- Organization charts, functional statements,
and directories
-- Narrative and statistical reports on program
accomplishment at the divisional and higher
organizational levels
-- Publicity and informational material
-- Records on executive direction: laws, exec-
utive orders; court decisions; legal opinions;
legislative history; agenda, minutes, tran-
scripts, and supporting papers of meetings;
studies, surveys, audits, and inspections;
documents reflecting relations with the
White House, the Executive Office of the
President, and the Congress on substantive
matters; and budgetary documentation
-- Records showing program accomplishment
-- Records containing information about persons,
corporate bodies, things, problems, conditions,
programs, projects, and the like with which the
organization dealt
-- Papers containing direct reference to trends or
developments in political, social, economic or
other fields, particularly if they contain, un-
published statistical or financial data -covering
a long period or wide area
-- Papers relating to the more important aspects of
scientific or technical research and development
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HOW --------
Analyze functions and activities of the organization
Identify various types and classes of records
accumulating in connection with each function
Determine to what extent each function should be
documented
Identify the types and classes of records that
should be preserved for administrative history
and general research
--- Prepare the formal records retention plan which
governs the selective retention of records of
continuing value and which, with records control
schedules, provides for the orderly disposal of
an organization's records
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RECORDS MANAGEMENT WORKSHOP
HOW DO WE MANAGE RECORDS
~x~erpt~ from
TH3_EEDE~A-_RECUROSA.C TGF_1Y50
(Pub I iC_Law754 - 91st Congress)
"RECORDS MANAGEMENT; THE ADMINISTRATOR
"SEC. 505. (a) The Administrator shall make provisions for the
economical and efficient management of records of Federal agencies
(1) by analyzing, developing, promoting, and coordinating standards
procedures, and techniques designed to improve the management of
records, to insure the maintenance and security of records deemed
appropriate for preservation, and to facilitate the segregation and
disposal of records of temporary value, and (2) by promoting the
efficient and economical utilization of space, equipment, and supplies
needed for the purpose of creating maintaining, storing, and servicing
records.
"(b) The Administrator shall establish standards for the selective
retention of records of continuing value, and assist. Federal agencies in
applying such standards to records in their custody; and he shall notify
the head of any Federal agency of any actual, impending, or threat-
ened unlawful removal, defacing, alteration, or destruction of records
in the custody of such agency that shall come to his attention, and
assist the head of such agency in initiating action through the Attorney
General for the recovery of such records as shall have been unlawfully
removed and for such other redress as may be provided by law.
"(c) The Administrator is authorized to inspect or survey person-
ally or by deputy the records of any Federal agency, as well as to make
surveys of records management and records disposal practices in such
agencies, and shall he given the full cooperation of officials and
employees of agencies in such inspections and surveys: Provided,
That records, the use of which is restricted by or pursuant to law or
for reasons of national security or the public interest, shall be inspected
or surveyed in accordance with regulations promulgated by the Admin-
istrator, subject to the approval of the head of the custodial agency.
"(d) The Administrator is authorized to establish, maintain, and
operate records centers for the storage, processing, and servicing of
records for Federal agencies pending their deposit with the National
Archives of the United States or their disposition in any other manner
authorized by law; and to establish, maintain, and operate centralized
microfilming' services for Federal agencies.
"(a) Subject to applicable provisions of law, the Administrator
slial promulgate regulations governing the transfer of records from
the custody of one executive agency to that of another.
"(f) The Administrator may empower any Federal agency, upon
the submission of evidence of need therefor to retain records for a
longer period than that specified in disposa' schedules approved by
Congress, and, in accordance with regulations promulgated by him,
may withdraw disposal authorizations covering records listed in dis.
posal schedules approved by Congress.
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"RZOORDS MANA[OEMENT; 4 OBNOY D FADS
"Szc. 506. (a) The head of each Federal agency shall cause to be
made and preserved records containing adequate- and proper docu-
mentation of the or *anization, functions, policies, decisions, pro.
cedures, and essential transactions, of the agency and designed to
furnish the information necessary to protect the legal and financial
rights of the Government and of persons directly affected by the
agenc 's activities.
"(b)y The head of each Federal agency shall establish and maintain
an active, continuing program for the economical and efficient manage-
ment of the records of the agency. Such program shall, among other
things, provide for (1) effective controls over the creation, mainte-
nance, and use of records in the conduct of current business- (2)
cooperation with the Administrator in applying standards, procedures,
and techniques designed to improve the management of records, pro-
mote the maintenance and security of records deemed appropriate for
preservation, and facilitate the segregation and disposal of records of
temporary value; and (3) compliance with the provisions of this
title and the regulations issued thereunder.
"(c) Whenever the head of 'a Federal agency determines that sub-
stantial economies or increased operating efficiency can he effected
thereby, he shall provide for the storage, processing, and servicing of
records that are appropriate therefor in a records center maintained
and operated by the Administrator or, when approved by the Admin-
istrator, in such a center maintained and operated by the head of such
Federal agency.
"(d) Any official of the Government who is authorized to certify
to facts on the basis of records in his custody, is hereby authorized to
certify to facts on the basis of records that. have been transferred by
him or his predecessors to the Administrator.
"(e) The head of each Federal agency shall establish such safe-
guards against,the removal or loss of records as he shall determine
to be necessary and as may be required by regulations of the Admin-
istrator. Such safeguards shall mojude making it known to all offi-
cials and employees of the agency () that no records in the custody
of the agency are to be alienated or destroyed except in accordance
with the provisions of the Act approved July 7, 1943 (57 Stat. 880-
883), as amended July 6, 1945 (59 Stat. 434, and (2) the penalties
provided by law for the unlawful removal or destruction of records.
"(f) The head of each Federal agency shall notify the Administra-
tor of any actual, impending, or threatened unlawful removal, defac-
ing, alteration, or destruction of records in the custody of the agency
of which he is the head that shall come to his attention and with
the assistance of the Administrator shall initiate action tl'irough the
Attorney General for the recovery of records he knows or has reason
to believe have been unlawfully removed from his agency, or from
any other Federal agency whose records have been transferred to :his
legal custody.
"(g) Nothing in this title shall be construed as limiting the author.
ity of the Comptroller General of the United States with respect to
prescribing accounting systems, forms, and procedures, or lessening
the responsibility of collecting and disbursing officers for rendition
of their accounts for settlement by the General Accounting O?oe,
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1
This Notice Expires 1 August 1962
25X1A
25X1A
1. Effective 1 July 1967, the Information Requirements Advisory
Group (ZRAG) was established to facilitate common action among the
intelligence-producing components of the Agency and the Information
Requirements Staff (IRS) on information requirements and to assist
Agency Operating Officials, as appropriate, in developing consistent
CIA positions on information gaps, priorities, and requirements policies.
Its members are: The Assistant Deputy Director for Intelligence
(Chairman); a representative of the Deputy Director for Plans; the Chief,
Information Requirements Staff; and the Deputy Director (or his represent-
ative) of FMSAC, OBI, OCI, OER, ONE, OSI, and OSR. Representatives of
collection and processing activities may be asked by the chairman to
participate in meetings of the Group as appropriate.
2. The general and continuing responsibilities of the IRAG are:
a. To review problems arising out of the information
requirements process, both as they relate to the collector-
producer relationship and as they involve the responsibilities
of office directors and division chiefs;
b. To recommend specific actions or develop programs and
procedures to resolve the problems; and
c. To assist in developing guidance to collectors,
including evaluating reported information, with the objective
of achieving the efficient use of collection resources relative
to the needs of producers for intelligence information.
3. The initial and specific responsibilities of the IRAG are to
undertake the planning and to propose the actions necessary to imple-
ment various recommendations contained in the IG Survey. These are:
a. To devise practical measures to assist the directors of
the member offices and their substantive division chiefs in
carrying out their responsibilities for control, validation, and
recording of requirements; for communication on needs with
collectors; and for periodic audit of office and division perform-
ance in the field of information requirements (Recommendations
Nos. 24 and 25) ;
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1 July 1967
b. To undertake the preparation of collection guides as
needed on selected intelligence problems (Recommendation No. 13);
c. To reassess the Current Intelligence Reporting List
(CLRL) and recommend appropriate action (Recommendation Nos. 10,
1 1 , and 12) ; and
d. To develop measures facilitating communication and
exchange of information between CIA analysts and CIA collectors
(Recommendation No. 7).
If the IRAG concludes that a recommendation of the survey is not
feasible, practical, or desirable, the chairman will so advise the
Deputy Director for Intelligence and the Deputy Director for Science
and Technology.
4. Meetings of the IRAG will be held at the initiative of the
chairman or upon the request of any member. Special meetings may be
called between the chairman and selected members on topics of concern
only to one or a few offices which are not of general interest to the
IRAG as a whole. The Information Requirements Staff will provide
necessary secretariat assistance.
R. L. BANNERMAN
Deputy Director
for Support
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R
A
F
T 13 September 1968
SUBJECT : CIA Collection Requirements Stored
in the CIA Records Center
1. The collection requirements now being held in the CIA Records
Center are of three general types, each type reflecting the collection
system to which it is directed: signals intercept, photography, human
source. The requirements are ad-hoc in nature, having been written almost
entirely to extract whatever information is available from a source
or collection opportunity that has already been developed. Either singly
or in whole the requirements do not present a complete picture of CIA's
substantive interests at a given time, and they can not in any sense be
construed as the programming device that has set the collection system
in motion. The requirements have some historical value In that they
demonstrate the evolution of format and processing system that has taken
place over the years; and in this sense it is desirable that enough
requirements be retained in the Center to illustrate each format and system
that the Agency has used. A very small number of samples will suit this
purpose; and the remaining requirements, which constitute the great bulk
of the present holding, can be destroyed.
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