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Document Creation Date: 
December 9, 2016
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October 26, 2000
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January 16, 1973
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PDF icon CIA-RDP79T01762A001100040004-9.pdf424.7 KB
Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 .1.6 January 1973 EM0RA2 DUM FOR: Members of the. Records Management Board SUBJECT List of Key Documents for Agency Annual Report REFERENCES a. b. Memorandum from Executive Director-Comptroller to Deputy Directors dated 26 May 1972, Subject: Information Control--Archives, History, and Records Memorandum from Executive Director-Comptroller to Deputy Directors dated 3 July 1972, Subject: Agency Annual Report 1. This memorandum provides supplemental guidance as to what documents and files should be included in each component's submission, plus additional background information on the relationship of the key documents lists to the Agency's Archives and History programs. Legal Requirement for Archives 2. in recognition of the obligation of a democratic government to give an accounting of its performance to the citizenry, Congress has enacted legislation to ensure that records no longer useful for admini- strative or operational purposes not be destroyed until they had been ,appraised for possible historical interest and research value. 3. The basic law governing the disposition of government records Lis the Federal Records Act of 1950 (PI, 81-754), -which requires the head of each agency to "cause to be made and preserved records containing adequate and proper documentation of the organization, functions,-Poli- cies, decisions, procedures, 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 agency's activities." This law places the function of issuing records disposal regulations under the Administrator of General Services and empowers him to inspect the records of any Federal agency and to obtain disposal reports from them. 4. The Central Intelligence Agency occupies a privileged and some- what unique position with respect to the Federal records prograri. The National Security Act of 1947 (PL 80-253) charges the Director of Central Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 Int~~:LLi en ca with r.esoonsibility for protecting _LntelllgOnc sources and methods from unauthorized disclosure, and' in view of th:iss, the Agency was speci._fica-11y-sxem ed from PL 81-754. The Agency's Leal Staff re~z-deed . an opinion in October 1950, however, that it was the desire of Congressi that the Agency adhere to the provisions of PL 81- 754 to the extent possible without jeopardizing sensitive intelligence 'methods and sources. Consequently, the Agency maintains a separate storage facility for semicurr2nt and noncurrent records, but adheres closely to the policies, procedures, and standards promulgated by the National Archives and Records Service (Z,,RS), General Services Admini- stration. 5. NARS publishes guidelines from time to time- in the form oc General Records Schedules, which deal with the clispositior Of certain types of records common to many governi:tenta.l organizations. Permissive in character, they are designed, i.e., to throw further light on the 0 categories of records which must be retained indefinitely or must he considered for retention. Additional guidance can be obtained from A:6 through the submission of specific requests for disposal authority (Standard Form 115). 3.fechanism for Idnriti- v--ina and Controlling R=cords of Archival Value 6. Records Control Schedules, prepared for each major component, are employed by the Agency to stipulate the various retention periods the Records Control Schedule by identifying record types which should be preserved for their historical value and for r1j, co ,one , .. a s i n hi g f les w t W. ch are believed to meet the stated criteria. 0. 5- e 7. Records which must be retained indefinitely tend to fall i t n o two g=eneral classes--those which must be preserved on an across-the- '-t?oarcl basis and those where the Agency is to be selective. Retention of such records as Agency regulations, finished intelligence Wipub lics,.ions, disseminated-information reports and published ma s b h l n p is ot al -i ciusive 2M mandatory. Al.l such items must be preserved and procedures have` taaen or will be developed to provide for their orderly retirement to Archives. For some categories of records, however, the ultimate disposition of specific documents, file units, films, and other record media is- -depen-dant upon an appraisal of their worth. Most subject files and project files would seem tot fa=within this class. - 8. It is Agency policy that the Archives should consist of a relatively small and manageable body of essential--re_.. -_co-_rded e.,perience. Tine screening of the great - quan'L1tleS oF"records which hmust be appraised before destruction can be authorized is, of course, a monumental task but not an impossible one if the work is decentralized and performed on an annual basis. The preparation of the key documents list is therefore Approved For-Release 2001/08/14: CIA-RDP79TO1762AU 011000044,0004-9 -2- Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 in one f:ieu e a :first-st'eq rev e.w. of Agency records, pinpointing those which orovice evic'm-c:' of the or`;'ariz Lion, l: unctions, policies, deci- s .ons, procedures, op rations, or of er Agency aCtiV'1tie5 eVIZfentlal ialue) , or are of enduring interest because of the informational value of the data contained therein. _-lation to Aryency I-j i s to r the achievements and programs cited in each component s narrative con- tr.ibution to the annual report. But beyond this, e suture needs of 't gorncy histar ans in identifying and locating source materials for the preparation of even t-oriented'his tories should also be anticipated and, insofar as possible, accommodated. list, in this sense, serves as a Source oibliograohy for the annual cam- 9 . Agency histories prepared in the past have, for the most part, been the history of specific components. The emphasis is to be shifted to event-oriented, rather than organization-orlante(i ~LStories, suture histories will therefore deal with important Agency activities and oper- ations, analyzing,' the ways in which the various elements of the Agency worked to ether to produce the overall contribution to the operation in question. the new version or the annual rcoorc is designed to suffice as an annual update to the sundry component histories The key document Selection of Key Documents 10. Ti-a-_ _term "documents" should be construed to broadly encompass recorded information, usually textual, in any format. Rather than in- dividual?d~,cuments, it may be appropriate in many instances to include entire file unit folders (subject, proiect,'contract , etc.). Other record mdin materials may also merit inclusion (e.g., photographic film, briefing displays). 11. Storage of record materials under the prescribed environmental conditions is costly, and the Idfger the accumulation the more difficult it b=ecomes to arrange, inventory, and retrieve. Insofar as it is con- sistent with Government-wide policies and guidelines, it is the goal of the Agency to limit its archival holding to the "cream of the crow`` -- the tru] s iffcant and precedent-mating materials ;AIZS e.:perience indicates that only 2-5 per cent of all records of the Federal Government is of such enduring value as to merit preservation.) To qualify as "significant," the topics treated by the documents should have had a substantial irl~ ct on-foreign policy initiatives and objectives, repre- serlted technological breakthroughs or intelligence coups, or had - marked efCect on component activities, missions, or employment of resources.. The lmoortance may have derived from the sheer magnitude (human and material resources) of the undertaking, or because it drastically altered the way things are done (new collection systems), or because it reflected Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 3_ Approved For Release 2001/08/14: CIA-RDP79T01762A001100040004-9 a major shift in ritission emphasis (task team activities). Failures and abort?d Projects, if they wer oE crib al imoOrt~InCe or rep r`e_sented iimalor commitments of resources, should be documell,ted aion,, with the successes. 1 ~ 12. Once i~ .h , aetermned TJn I, gs, trends, and- clevelop meats hav been important enough to warrant mention in the annual renort- an , by itension, worthy of doe:umenting in the Agency Archives-- remains of selecting the particular docurimerts, file units, etc. , needed to aderLuately describe and explain than. Generally sneaking, priority should be accorded documents of general scope over documents of partic- ular scope. Careful consideration should be given to records which deal with broad policies and procedures, sumraari... of experiences and actions, overall d"irectinrr"and major phases of programs, principal trends, and similar -matters of broad functional significance or historical interest. To be complete enough to satisfy the needs of historical researchers-- Agency historians and, perhaps at some distant time in the future, private -researchers --the documentation should explain, at the minimums why an action Jess taken preliminary planni.nexecutive ~Leci lion ooints and authority, implementation steps, progress reports, and post mortems, if any. .~ _.._ 13. It would serve no worthwhile purpose to suggest the number of key documents appropriate for any particular component's contribution. The length of a component'q list could be expected to vary widely from year to year in direct relationship to its activities. It is antlerate , however, that the fiighar thi component- is i.n the Agency command hierarchy, the larger the percentage of its records that would meet the criteria established for key documents. 14.? The following topics--the list is merely suggestive and is by no means intended to be exhaustive--might be expected to appear in annual .report contributions and thereby require coverage in the key document section: - ADP planning and implementation R&D breakthrous,ns Internal reorganizations Covert action projects Budget trends Shifts in coverage or emphasis (subject, area) Establishment and accomplishments of task forces Responses to major new requirements (targets, functions) Planned or implemented changes in collection, processing, or production Major improvements in efficiency and productivity of on- going activities Spacial, nondisseminated studies prepared in response to requests from high-level policymakers Approved For Release 2001/08/14: C1A-RDP79T01762A001100040004-9 -4- Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 n lutellig?ncFe coups L':npact o :Local deveelonments on overseas ouerations Major rev-i.sions of agreements and procedures in the support area Changes in relationships within the intelligence community, with Coneys, with the Executive Office of the President '-tiremenc to Archives 15. Components are urged to ensure that key documents and file units identified in the annual report are rlagea for deDos--;t in the A;?,'_r'icy Archives for permanent retention once they have become non- current. Thera are certain techniques successfully employed by other agencies which you may wish to consider for adoption. r~.rnon,, these are: the use of special colored file folders for materials deemed of archival value; the.r:arking of each file folder, whether it contains permanent or temporary records, with disposition instructions; and the stcra?e of per- manent records in separate safe or file cabinet drawers, with appropriate labels on the drawers. 16. ?Men, as is frequently the case, a single file folder contains both documents of enduring value and others of only transitory interest, )an effort should be made to purge nonpermanent records from the mile prior to its retirement to Agency Archives. This tasCan be simplified if the practice is followed of filing permanent records on one side of the folder and temporary records on the other. On-6 agency (TVA) uses a system of dual folders for file units, one for permanent records and one for nonpermanent records. 17. Per -,nanent_ retention records, whether they are individual docu- ments or file units, should, whenever possible, consist of clean origi- nals. Microfilm copies, verified for completeness and accuracy, are equally acceptable-indeed, in the case of bulky files, preferred. (Federal Property Management Regulations, Subchapter B, Subpart 101-11.5 should be consulted for microfilm standards for permanent records.) 18. The timing of the transfer of per-anent records to the custody of the Agency Archives should be governed by the component's reference requirerents. While in current use, they should, of course, be retained by the component, and not transferred to Archives until such time as they become noncurrent. If the records are not in active use but it is probable that the component will have occasion to consult them, it is advisable to deposit them in the Agency Records Center, which is better equipped to provide reference service than is Archives, as an inter- mediate step, scheduling them for transfer to Archives at:. a later date. Approved For Release 2001/0$/14: CIA-RDP79TO1762AO01100040004-9 Approved For Release 2001/08/14: CIA-RDP79T01762AO01100040004-9 19. or si.)ecific guidance on questions not cov?recl in this paper, addressaes ars referred to the Historical Staff, extension 2521, or the Agency Archivist, eKtansion 5615. !STQTINTL Approved For Release 2001/08/1f : CIA-RDP79T01762AO01100040004-9 t F' !,F: r 7GO6 Hq s I'aE .Nsr-L W- R(flda15e 2001/08/14: CIA-R7 i *7-4 1d 1 t U 10040004- DATE -----T 2ECcIVED I FORWARDED { 3. STATINTL 7. STATINTL 0. 9' STATINTL ) RM -o2 USE P EVIOUS EDITIONS ?" ... E~,a3~:1 I c'~s'Ead'~ T EX'ENSION NO, DATE OFFrCER'S INITIALS 7 February 1973 COMMENTS (Number each comment to show from whom to whom. Draw o line across column af)er ouch comment.) Maybe the five. of us can get together some day next week and talk about this paper. : CIgj RDP79T01762AO01100040004-9 4a +? I' E