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

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 05496180
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 42
• Document Creation Date: December 28, 2022
• Document Release Date: March 30, 2018
• Case Number: F-2017-02159
• Publication Date: September 28, 2004

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WUJL LU
Washington D. C.20505
28 September 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:
(U) Since our last correspondence on 8 April 24 we have taken
the requested actions to close out eight more of the recommendations
addressed in your evaluation "Records Management in the Central
Intelligence Agency". The attached progress report details our
actions with respect to the following recommendations: 11/3, 111/4,
111/6, 111/7, IV/1, IV/4, IV/5, V1/5.
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(U/71Perrier) I would welcome an opportunity to discuss
recommendation 111/4 and an approach to the closure of the remaining
six recommendations. Please call Or
me at your convenience
progress
eport.
after you have
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reviewed
Director, Information Management Services
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28 September 2004
Progress Report on the NARA Evaluation
of CIA Record Keeping Practices
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Table of Contents
(U) Records Creation and Maintenance
Recommendation 11/3
(U) Records Scheduling and Disposition
Recommendation
111/4
Recommendation
111/6
Recommendation
111/7
(U) Agency-Wide Electronic Records Management
Recommendation IV/1
Recommendation IV/4
Recommendation IV/5
(U) Audiovisual and Cartographic Records
Recommendation V1/5
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Recommendation 11/3:
(U) Monitor the implementation of the "Agency File Guide" to ensure that it
is effective and meets the needs of the directorates.
Action Items Identified from Latest Correspondence:
� (U) Since the Agency File Plan is based on schedules approved for paper
records and PERM covers records in electronic format, do not use the
file plan for the disposition of records before it is approved by NARA
after submission of an SF 115, Request for Records Disposition
authority.
� (U) Do not use the Agency File Plan as the basis for the disposition of
any records, especially where the disposition noted in the File Plan
conflicts with approved disposition of the series covered by a
particular schedule.
CIA Response:
(U) As stated in our 8 April 2004 response to Recommendation 111/3, the
Agency is not currently utilizing the Agency File Plan for disposition.
Rather, we follow the existing approved RCS items for disposing of Agency
records.
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Recommendation 111/4:
(U) Work with NARA in the development of a revised schedule for DO
operational project files; use this schedule as the basis for written
guidance that is provided to those who review and/or process older
operational files.
Action Items Identified from Latest Correspondence:
� (U) Submit a schedule reflecting NARA's determination that all parts of
Operational Activity files (OPACT) warrant preservation.
CIA Response:
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Recommendation II//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-
263-85-1, Item le.
Action Items Identified from Latest Correspondence:
� (U) Forward information on the details of the sampling procedure and
findings.
CIA Response:
(U) Your letter of 24 May 2004 indicates "CIA's explanation regarding
chronological files used as finding aids or indexes is sufficient to meet the
requirements of this recommendation. We continue to look forward to receiving
information on the details of the sampling procedure and findings. This
recommendation will be closed when we receive that information."
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Recommendation 111/7:
(U) Continue the project to apply correct schedule items to ARC accessions
improperly retired as permanent; include NARA review as part of this process.
Action Items Identified from Latest Correspondence:
� (U) Provide NARA with a tabular report indicating those jobs for which
the disposition authority has been changed and the new and old
disposition authorities.
CIA Response:
(U) The Agency Information Management Officers and ARC staff maintain an
ongoing effort to validate the use of approved RCS items assigned to jobs
accessioned to the ARC. The Agency's retirement process (as described in our
December 15, 2003 reply) includes a series of quality checks. The Directorate
IMO validates that the proper RCS item has been selected for each retirement
job sent to the ARC. In the course of recalling material from the ARC, an
Information Management Officer (IMO) may determine that an RCS item was
previously misapplied. The IMO would then correct the RCS for the job, which
subsequently would be verified by the Directorate IMO prior to the job's
return to the ARC. This is the extent to which disposition changes would be
made and are documented in the job's shelf-list comment field, but no
standard report of these changes is currently available.
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Recommendation IV/1:
(U) Comply with NARA guidance contained in 36 CFR 1234 when electronic
systems are developed, maintained, or upgraded. Of particular importance is
the need to include migration strategies as part of the life-cycle planning
for electronic records systems design and implementation.
Action Items Identified from Latest Correspondence:
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CIA Response:
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Recommendation IV/4:
(U) Complete the centralized catalogue project so the agency will have a
comprehensive, agency-wide inventory of electronic records. After the
centralized catalogue is completed, implement measures to keep it current as
additional systems are developed.
Action Items Identified from Latest Correspondence:
� (U) NARA is concerned about the unevenness of implementation of CATDB
and would appreciate continued updates with your next reports.
CIA Response:
(U) We are continuing our efforts to identify all existing databases and will
report to you as additional information becomes available. With respect to
your concern about "unevenness" we expect that our continued survey will
confirm that the number of databases varies significantly from directorate to
directorate.
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Recommendation IV/5:
(U) Using the centralized catalogue data as well as pre-existing inventories
and lists, work with NARA to initiate and carry out a project to ensure that
all CIA electronic records systems are eventually covered by NARA-approved
schedules. This effort should begin as soon as possible, using existing
inventory information, and should encompass the review in coordination with
NARA of housekeeping systems to determine which are covered by the GRS and
which are not. Develop schedules for non-GRS records, beginning with those
that pertain to CIA's core missions and are the most likely to be appraised
as permanent.
Action Items Identified from Latest Correspondence:
� (U) CIA must work with NARA to ensure that all CIA electronic records
systems are eventually covered by NARA-approved schedules. CIA's
approved schedules, which were largely approved for paper records only,
may not be applied analogously to electronic records.
CIA Response:
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Recommendation 1TI/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 contained in accessions retired to the
ARC prior to 1978.
Action Items Identified from Latest Correspondence:
� (U) This recommendation will remain open until the reinspection is
complete.
CIA Response:
(U) David Sponn, Space and Security Management Division, reinspected the
Agency Records Center (ARC) on 7 July 2004 and found that it is compliant
with NARA's records center requirements.
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