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

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 05496178
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 11
• Document Creation Date: December 28, 2022
• Document Release Date: March 30, 2018
• Case Number: F-2017-02159
• Publication Date: April 8, 2004

UNCLASSIFIED/ /rite-
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Central Intelligence Agency
Washington, D.C. 20505
8 April 2004
Dr. Michael J. Kurtz
Assistant Archivist for
Records Services - Washington, D.C.
National Archives and Records Administration
8601 Adelphia Road
College Park, Maryland 20740-6001
Dear Dr. Kurtz:
(b)(3)
(b)(3)
(b)(3)
(b)(5)
(U) Since our last correspondence on 15 December 2003, we
have taken the requested actions to close out nine more of the
recommendations in your Evaluation of the CIA Records Management
System. The attached progress report details our actions with
respect to the following recommendations: II/lb, 11/6, 11/8,
111/3, 111/5a, 111/6, 11I/1, VI/2, V1/5.
CUT/nDetTrWard to 1ne Li. ny withyoirto-revew
the complex issues of
Please call
at your convenience
report.
the
recommendations that remain open
or me
after you have reviewed our progress
Enclosure
(b)(3)
Sincerely,
Acting Director
Information Management Services
Chief Information Officer
UNCLASSIFIED//FOliO
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Recommendation II/lb:
(U) Telephone conversations should be documented through Memorandums
File.
Action Items Identified from Latest Correspondence:
to the
b)(3)
� (U) Modify
as noted by NARA.
(U) Provide
NARA with a
copy of the draft guidance on
documenting
telephone conversations
and creating memorandums of conversation.
CIA Response:
b)(3)
b)(5)
(U) The need to document telephone conversations and create memorandums of
conversation has been referenced in our Information Management Computer Based
Training (CET) and in the Employee Bulletin on "Records Responsibilities of
CIA Employees and Managers"
which was reissued on 3 October
2003.
(b)(3)
Furthermore, also cover the
need to document
telephone conversations. As such, we believe adequate mention has been made
to reinforce the employees' record responsibilities with regard to telephone
conversations.
UNCLASSIFIED/9�
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VINLIJI-1.00101M1J//lvfl,
Recommendation 11/6:
(U) 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.
Action Items Identified from Latest Correspondence:
bX3) � (U) Modify
disposition
bX3) � (U) Further modify
CIA Response:
b)(3)
b)(5)
to require a review by ARC staff of the assigned
authority.
as noted by NARA.
UNCLASSIFIED//W4
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(b)(3)
(b)(5)
A
UNCLASSIFIED//3Q4-e�
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(b)(3)
(b)(3)
(b)(3)
(b)(5)
Recommendation 11/8:
(U) Continue the
Ensure
that IMOs continue reviewing
more recent vital records.
recent
initiatives
to revitalize the
Vital
Records
Program.
older
vital
records
in the ARC
Action Items Identified from Latest Correspondence:
� (U) Modify
as noted by NARA.
and
identifying
� (U) HoW will the CIA ensure that it will have access to the needed
information if the original records are lost or destroyed?
CIA Response:
[Classified information was omitted from this section in an effort to reduce
the classification level of the entire document.]
UNCLASSIFIED//
�
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Recommendation 111/3:
(U) Ensure that all staff are familiar with the schedules that cover the
records they accumulate.
Action Items Identified from Latest Correspondence:
(U) The section of the PERM General User Training on "Agency Records"
should be revised to read "documents, e-mail, and other materials that
records office organization, functions, policies, decisions,
procedures, activities, and essential transactions."
� (U) The section of the PERM General User Training on "Agency File Plan
Benefits" should be modified by deleting the reference to links to
approved Agency Records Control Schedules.
CIA Response:
(U) The section of the PERM General User Training on "Agency Records"
(attachment #7) has been revised according to your 17 April 2003 response.
(b)(3)
(b)(5)
UNCLASSIFIED/R.' U
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Recommendation III/5a:
(b)(3)
(U) Ensure that all staff who create or maintain records are familiar with
and properly apply existing agency guidance pertaining to what is a record
and the records status of working files,
Action Items Identified from Latest Correspondence:
� (U) Revise all handbooks and regulations to incorporate the results of
the new schedule on working files, and issue a new Employee Bulletin
that conveys that information to all employees.
� (U) Expand the PERM General User Training on "Agency Records" to
include more details as noted in Recommendation 111/3.
� (U) What provisions or mechanism exist to ensure that documents marked
"draft" [in PERM] are re-categorized as "final" when that stage is
reached?
� (U) What provisions are there to ensure that documents marked "draft"
in PERM will be preserved as called for in the revised schedule for
working papers?
CIA Response:
(U) The Agency Records Control Schedules database, as well as any handbooks
or regulations referencing working files, has been updated to reflect the new
schedule on working files. The Employee Bulletin entitled "Update to the
Agency's Record Control Schedules" (attachment #8) has also been issued to
notify the Agency of this fact.
(U) The section of the PERM General User Training on "Agency Records"
(attachment #7) has been revised according to your 17 April 2003 response.
(U) Once a document is deposited into PERM, it cannot be edited from within
the PERM repository. If a user wishes to modify a document existing in PERM,
a copy is made to their local desktop where they can then make necessary
modifications. Once the modifications are completed, the revised document is
re-deposited and held alongside the original version within the same file
tag. This also holds true for documents marked "draft". All "draft"
versions of a document are held with the "final" version and are available
for a user to search on and view. Therefore, documents are never re-
categorized within PERM. It is the user who re-deposits it as such when the
document has reached final completion.
(U) The new schedule on working papers calls for drafts and other work papers
to be filed in an "appropriate recordkeeping system with the final version of
the document to which they relate". As noted in the previous paragraph, PERM
complies with this instruction. All related documents are held together in
the same file tag and inherit the approved disposition of the file series.
Currently, all documents in PERM are being treated as permanent until such
time as NARA approves our Record Control Schedules for application to
electronic records.
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Recommendation 111/6:
(U) 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-
236-85-1, Item le.
Action Items Identified from Latest Correspondence:
(U) Modify the Employee Bulletin on "Records Responsibilities of CIA
Employees and Managers" as noted by NARA
� (U) Modify the Information Management Checklist as noted in previous
recommendations.
� (U) Explain how, other than through guidance, you are ensuring that
Chronological files used as finding aids or indexes are being retained
for as long as the records to which they provide access.
CIA Response:
(U) Per letter dated 15 December 2003, the Employee Bulletin on "Records
Responsibilities of CIA Employees and Managers" has been modified and
reissued in accordance with your 17 April 2003 response.
(U) The IM Checklist was replaced by the IM Survey, which was implemented
during the period January through March 2003. Our 15 December 2003 letter
contains additional details regarding the IM Survey.
(U Component IMOs have an ongoing responsibility to ensure the offices
to which they are assigned are following established recordkeeping practices.
This includes ensuring that materials, such as finding aids, are being
maintained in accordance with approved disposition authorities. Moreover,
the annual IM Survey is used to identify areas that may not be in compliance
with established recordkeeping practices. Once the data is compiled,
specific recommendations are made and resources are allocated to assist areas
in improving their recordkeeping programs.
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Recommendation VI/1:
(b)(3)
(b)(5)
(U) Issue specific guidance concerning the creation, maintenance, and
disposition of nontextual records that incorporates NARA guidance. This can
be done either through a separate issuance or by incorporating guidance into
the appropriate records management regulationl
Action Items Identified from Latest Correspondence:
� (U) Modify the Employee Bulletin on "Non-Textual Records
Preservation" as noted by NARA.
CIA Response:
(U) Per our letter dated 15 December 2003, the Employee Bulletin on "Non-
Textual Records Preservation" has been modified and reissued in accordance
with your 17 April 2003 response.
UNCLASSIFIED//O
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Recommendation VI/2:
(U) Use formats that conform to 36 CFR 1232.30 for permanent and unscheduled
video recordings.
Action Items Identified from Latest Correspondence:
(b)(3)
�
(U) Modify the Employee Bulletin
recommendations.
as noted in previous
�
(U) Describe the steps the Agency will be taking to ensure that
permanent video recordings are produced on archival media.
CIA Response:
(U) Per our letter dated 15 December 2003, all Employee Bulletins have been
modified and reissued in accordance with your 17 April 2003 response.
(b)(3)
(b)(5)
(U/AR*W0) Component IMOs are responsible for overseeing the preservation
process within the offices to which they are assigned. This includes
ensuring that records originated in audio/visual formats are produced and
maintained in accordance with 36 CFR � 1232. In the same way that component
IMOs direct the use of acid-free folders and boxes for permanent record
material existing in paper form, they also ensure the use of archival media
for permanent record material existing in audio/visual formats, such as video
recordings. If, during their verification procedures, the Directorate IMO
determines that proper preservation procedures have not been observed, the
job is returned to the component IMO for remediation. A job is only sent to
the ARC once the Directorate IMO is satisfied with the preservation
proceedings.
(U) All Agency officers are also periodically reminded of their
responsibilities to preserve audio/visual record material through the
issuance of Employee Bulletins. The most recent one entitled "Non-Textual
Records Preservation" was revised and reissued in accordance with your 17
April 2003 response.
A
UNCLASSIFIED/ /rvuu
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Recommendation VI/5:
(U) Develop and implement a plan to preserve nontextual 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
nontextual records, copying permanent records maintained on obsolete media to
contemporary formats, and reviewing the ARC's nontextual holdings to identify
accessions in need of preservation action. Particular attention should be
paid to locating nontextual records containing in accessions retired to the
ARC prior to 1978.
Action Items Identified from Latest Correspondence:
(b)(3)
(b)(3)
(b)(5)
� (U) Modify the Employee Bulletin on "Non-Textual Records
Preservation" as noted by NARA in Recommendation VI/1.
� (U) Allow NARA to reinspect the ARC.
CIA Response:
(U) Per our letter dated 15 December 2003, the Employee Bulletin on "Non-
Textual Records Preservation" has been modified and reissued in accordance
with your 17 April 2003 response.
(b)(3) U NARA staff
Chief/RCMG,
(b)(3)
is
welcome
to visit the ARC. Please contact
to schedule an appointment.
(b)(3)
A
UNCLASSIFIED/�
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