AGENCY REPORTS MANAGEMENT PROGRAM OUTLINE

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• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP75-00399R000100020005-0
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• Document Creation Date: December 19, 2016
• Document Release Date: May 4, 2006
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AGENCY REPORTS MANAGEMENT
PROGRAM OUTLINE
TABLE OF CONTENTS
Page
INTRODUCTION
1
PROGRAM OBJECTIVES
2
PROGRAM SCOPE
3
PROGRAM PLAN
4
PROGRAM ORGANIZATION AND MANPOWER REQUIREMENTS
7
FOOTNOTE REFERENCES
9
APPENDICES:
A. AN INTRODUCTION TO REPORTS MANAGEMENT
B. REPORTS MANAGEMENT REGULATIONS -
B.l - United. States Department of Agriculture,
Administrative Regulations: Chapter 8 -
Reports Management.
B.2 - Sample Regulation: ABC Office Reports
Management Survey.
B.3 - Sample Agency Regulation on Reports
Management.
C. REPORTS MANAGEMENT HANDBOOKS -
C.l - Internal Revenue Service, dated. November 11, 1966.
C.2 - United States Department of Agriculture,
USDA Reports Management Handbook, P&O Handbook
No. 1, June .19 .
C.3 - Federal Aviation Agency, FAA Re orts Management
Handbook, OA P 1340.1, 12/14/62.
C.4 - CIA, Operating an Area Reports Management Program,
January 1956.
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PROGRAM OUTLINE
INTRODUCTION
1. BACKGROUND
a. In order to operate, any organization needs a flow of information,
because:
Information is vital to the success of any organization.
Information'provides the basis for management decision.
It also provides knowledge and. intelligence about the
organization and. its functions. It is a link in an op-
erating procedure. In each case, specific types of data
are required to meet the particular requirements . . .1
and. reports are the media for providing this information1 Also, the process
of reporting permeates the entire organization, because:
At whatever point work is divided. and, delegated., the
process of reporting begins. At whatever point
policy is formulated. or mod.ified. the process of
reporting is imperative. Indeed, the field, of report-
ing, broadly interpreted, is the field. of communica-
tions ...(and.)... the matter of communicating is a
complex process. It is more than a "two-way" flow of
information; it is a flow of information that runs in
many directions simultaneously. All sorts of infor-
mation must, of course, flow upward and. downward.
within a given organization; but furthermore, and.
equally important in many cases, information must
somehow be reported outward., across, and. around.. If
relationships in large and complex establishments
are not only lateral and. vertical, but circular, then
the lines of communication must follow these relation-
ships ... It is in this broad context of relationships
that the process of reporting ... must be und.erstood..2
b. Unfortunately, organizations have permitted, the reporting mechanism
to become unrestrained. and, overloaded. As a result, the process impedes
rather than strengthens the management information system. Because of this
tendency, reports, in turn, have become objects of managerial control, and,
the volume and. cost3of reports production becomes the focus of a reports
management program, when the program's primary purpose should. be "... to
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assure that reports and, reporting systems provid.e necessary information in
the most effective manner available, and. as efficiently and. economically as
possible."4 If managed. properly, reports enable the Agency "...(1) to
account upward, and. outward for its own performance and for the justification
of its program; (2) to report upward. and outward information concerning
progress, future needs and, plans, decisions being made, or which may be
made; (3) to report upward for purposes of executive control; and (4) to
inform downward. in the organization concerning policies) program, organiza-
tion, resources, procedures, and all other matters affecting the work in
the enterprise."5
2. PROGRAM OUTLINE PURPOSE
The purpose of this paper is to outline an Agency Reports Management
Program which meets the above requisites.
PROGRAM OBJECTIVES
3. GENERAL
As noted. above, the primary purpose of a reports management program is
"... to assure that reports and. reporting systems provid.e necessary informa-
tion in the most effective manner available, and. as efficiently and.
economically as possible". The emphasis of the program is directed. to the
system as of first and foremost importance, and. we find. that:
Reports management encompasses the development of the most
effective reports and. reporting systems. As conditions or
needs change, reports management must provide for improve-
ment of reports or systems; it must also provide for the
control of reporting requirements to insure minimum burden
and. maximum effectiveness of end results.6
Thus, d.evelopment of reporting systems becomes the primary program objective,
accomplished. through a mechanism of report analysis and. control. These
aspects of the program, in turn, have sub-sets of purposes and objectives
as noted, below.
4. SYSTEM DEVELOPMENT AND CONTROL
The objectives of the system development and. control aspects of the
program are to:7
a. Provid.e for a uniform, well defined. flow of reliable
information for use by each level of management to
carry out Agency functions.
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b. Insure that all data available to management are
used before imposing additional reports.
c. Limit reports to those essential for management
purposes.
d.. Insure that required, reports are obtained, at a
minimum cost.
5. REPORTS ANALYSIS
Reports analysis is directed. toward:8
a. Elimination of reports no longer needed..
b. Consolidation, simplification, and standardization
of reports.
c. Elimination of unnecessary items and. copies.
d.. Use of economical methods of preparation.
e. Elimination of nonessential distribution.
f. Prevention of new reports which cannot be justified.
PROGRAM SCOPE
6. GENERAL
The scope of the proposed Agency Reports Management Program involves
three considerations: 1) magnitude of the reporting process; 2) types
and. d.efintions of reports to be covered. by the program; and. 3) elements
of the program. The first two conditions will be discussed. under the pro-
gram plan; so, the program scope will be introduced. here from a general
philosophical, and. elemental viewpoint. In general:
A..... manager has the right to require and. to expect the
organization to furnish that information necessary for
effective performance of his mission. Reports management
is one element of .... management used. to control movement
and. use of information and to furnish effective reports
and. reporting systems.
Reports management covers the reports and reporting systems
involved. in a management information system. Many
principles and. techniques are applicable in an information
system. Some principles relate to such functions as plan-
ning, giving direction, controlling operations, and, eval-
uating performance. Some techniques relate to mechanization
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or automation, mathematical or statistical processes,
specialized. production control or progress measurement method.s,
mechanical or manual systems forms design, information storage
and retrieval d.evices, and. many other applications, according
to the particular situation. The principles and. techniques
applicable to reports and. reporting systems within the infor-
mation network are those with which management is concerned.,
and. which apply in supporting the needs of .... management.9
7. PROGRAM ELEMENTS
The elements of a reports management program are: 1) control, and.
2) analysis, or as described. in the Navy Manual:
Reports management consists of two major elements:
reports control and reports analysis. Through a reports
control point located in the organization, the review and.
control of individual reports and report requirements can
insure efficient response to management requirements.
Through reports analysis studies, reports or reporting
systems can be developed. or improved.. Such analyses are
conducted. as a part of management or system studies in
the organization.10
8. PROGRAM COVERAGE
The proposed. Reports Management Program will includ.e only recurring
administrative or managerial reports but will extend. to the entire Agency.
(Intelligence reporting is a specialized activity which, while subject to
essentially the same control principles as managerial reports, are excluded.
from the proposed, program.)
PROGRAM PLAN
9. BACKGROUND
a. While the extent of report production in the Agency is not now
known precisely, empirically, at least, it can be said. that the volume of
report preparation and. d.istribution is sizeable. Report production is also
seen as a significant uncontrolled contributor to the problem of Agency
records creation. So, there is no question but that a reports management
program is need.ed..11 Also, reports manageme is an established element of
the Agency Records Administration Program i
b. In the absence of a current operating Agency reports management
program, it is necessary to institute a program ab origine. This requires
three phases: 1) development; 2) implementation; and. 3) administration.
These program phases are discussed in d.etail below.
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10. PHASE I: PROGRAM DEVELOPMENT
a. This phase of the Agency Reports Management Program plan includes:
(1) Development 6f background. to the Agency reports
production practices, magnitude, types, and. other
information of pertinence through:
(a) Review of regulatory requirements,
including handbooks.
(b) Review record.s of official forms.
(c) An Agency reports inventory in con-
junction with component Records
Officers, 12
(2) Establishing the scope of the program and defining
the activities covered. by the program.
(3) Establishing program authority and, responsibility,
which will utilize the decentralized structure of
the records management program with overall CIA
Records Administration Officer guidance, and Record.s
Administration Branch analysis and control.-3
(I) Preparation of reports anagement directives,
stand.ard.s, and. guides.14
b. This phase of the program may require a minimum of six (6) months.15
11. PHASE II: PROGRAM IMPLEMENTATION
a. The implementation phase of the reports management program would.
have been begun in the development phase, through the involvement of component
Record.s Officers, and. the reports inventory. It is also assumed that there
would. have been a preliminary record.s officer orientation outlining the
requirements and, procedures for the initial inventory. Also, there would.
have been records officer involvement in the coordination of proposed
program issuances. This preliminary work having been accomplished, the
formal implementation of the program would. include:
(1) Component records officer orientation, conducted.
through a series of meetings held. for each
Directorate. (Independent Office record.s 16
officers would. be combined. in one meeting.)
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(2) Assistance from Records Administration Branch
personnel as might be required. by components in
establishing an internal reports management
program; or for other unforeseen reasons.
(3) Development and issuance of a directory of all
approved, reports. This index and report register,
or catalog, to be issued. as machine listing and. to
contain the following basic information: 17
(a) Functional or subject classification.
(b) Report identification. (May consist of
a symbol and. number, or number only
assigned, in sequence.)
(c) Report title.
(d.) Form number.
(e) Frequency.
(f) Regulation identification (or preparation
requirement authority).
(g) Preparing Office.
(h) Distribution, and, number of copies.
(i) Office of Record.
(j) Records disposition authority (this could
be records control schedule citation of
the office of record.).
(k) Related. or feeder reports, and, cross
references.
(1) Approval date.
b. This phase of the reports management program may require a minimum
of another six (6) months following the program's development.
12. PHASE III: PROGRAM ADMINISTRATION
a. This phase of the Reports Management Program would. be a continuing
effort, once the program is developed. and. implemented., and. would involve:
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requirements.
Placing reports under centralized control.
Other activities related to the reports management
function as required..
Initiation of reporting requirements.
Establishment of reporting systems.
Review of proposed. regulatory reporting
Development of forms or report formats.
Development of distribution patterns.
b. As this phase of the program will become an integral and. continuing
activity of the Agency Records Management Program, it will have no specific
time frame.
PROGRAM ORGANIZATION AND MANPOWER REQUIREMENTS
13. ORGANIZATION
a. CIA Records Administration Officer: i8
The CIA Records Administration Officer would have overall Agency
responsibility for the Reports Management Program through the Records
Administration Branch, SSS/DDS, and. under the authority ol STAT
and. other supplementary regulations. This responsibility e:
(1)
(2) Analysis of inter-Directorate and inter-Agency
reporting requirements, as defined in pertinent
regulations.19
(3) Control of the above reports, through approval
authority; maintenance of background. dossiers;
and issuance of the reports catalog.
(4) Providing Agency components with reports
control program assistance.
b. Directorates and. Independent Offices:20
(1) Assuming a full-time Records Management Officer at the
Directorate level, and. one in each independent office, these
individuals would administer an internal Directorate and. independent
office reports management program based upon the Agency program
mod.el. Und.er this organizational concept these RMO's would. be
n.,tgg g
responsible for:
all
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(a) Providing analysis and control for all
intra-Directorate or intra-Office
reporting requirements.
(b) Serve as the channel between the component
Records Officer and. the CIA. Records
Administration Officer.
(c) Maintain a master Directorate or Office
dossier and catalog of reports. (This
catalog to be a product of the Records
Administration Branch control system.)
(d.) Provide reports management assistance to
Directorate or Office components.
(2) Directorate or Office component records officers would also
provide reports analysis and control within the respective component,
and, furnish required data through channels to the CIA Records
Administration Officer for the Agency reports catalog.
14. MANPOWER REQUIREMENTS
a. Records Administration Branch:
The development, implementation, and, administration of an Agency
reports management program, as outlined. in this paper, will require the
services of at least one qualified records management analyst in the
Records Administration Branch, and as the program becomes more firmly
established., additional personnel may be required. either on a time
available or full-time basis. These additional personnel needs can be
determined. better after the magnitude of the program is established..
As a caveat, however, once the program is established., its administra-
tion must be maintained if benefits are to be realized.21
b. Agency Components:
Many of the component records officers have a part-time responsi-
bility toward, the records management program. As the Agency records
management program moves toward an integrated. total program, of which
reports management is one element, the records officer responsibility
should be full-time, and. may eventually lead. to additional personnel
assistance.
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FOOTNOTE REFERENCES
1/ Department of the Navy, Reports Management Manual, AOINST 5213.29,
Navy Department, Administrative Office, Washington, D. C.,
27 August 1965, p. 1.
2/ Catheryn Seckler-Hudson, Organization and. Management: Theory and.
Practice, The American University Press, Washington, D. C., 1955,
pp. 2219.
3/
As to cost considerations, Mr. Ronald. F. O'Neil stated.:
"A popular conception concerning the function of a Reports
Evaluation Program - REP - is that it is conducted, by a
company to reduce the cost of record maintenance. This is
an erroneous conclusion because its primary purpose is to
produce a more meaningful report so that communication is
improved between a company's departments and, divisions."
Ronald F. O'Neil, "Evaluate Reports, Improve Communications",
Information and. Records Management, Information and. Records Management,
Inc., 1 East 28th St., New York, N.Y., Vol. 2, No. 4+, April/May 1968,
pp. 34-35.
4/ Department of the Navy, Reports Management Manual, oa. cit.
5/ Catheryn Seckler-Hud.son, op. cit., p. 220.
6/ Departmentof the Navy, Reports Management Manual, 22. Lit-
7/ Federal Aviation Agency, FAA Reports Management System, Handbook 13+0.1,
Federal Aviation Agency, Washington, D. C., May 25, 1967, p. I.
8/ Mary Claire Griffin, Records Management: A Modern Tool for Business,
Allyn and Bacon, Inc., Boston, 1964, pp. 31-32.
9/ Department of the Navy, Reports Management Manual, op. cit., p. 1.
Ellipses replace the word. "line" to broaden the concept of reports
management application to all organizational components and. levels.
10/ Ibid.
11/ In a memorandum from the Chief, Management Staff to the Deputy Director
of Support dated. 19 June 1957, Subject: Administrative/Support Workload.
at Small Stations and Bases, seventy-nine (79) support-type reports were
required. in Agency regulations. Thirty-eight (38) were required on
logistics matters, twenty-eight (28) on finance, five (5) on personnel,
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four (1+) on security, and, one (1) each on travel, training, services,
and. general support matters. Also, in 1956 it was reported, that in the
DDS area over 100,000 man hours were spent yearly in preparing 226 re-
ports. (Memorandum from the Acting Deputy Director for Support to all
DDS components, dated. 24 August 1956, Subject: Reports Management)
12/ This inventory could. fulfill two purposes: 1) provide a basis for
determining the scope of the program; and 2) serve as the initial
inventory for preliminary control.
13/ It is assumed. that there will be four hierarchical levels of control;
1) internal component; 2) intra-Directorate; 3) inter-Directorate; and.
4) inter-Agency. Also, reports will be classified as to whether a
respective level prepares reports on its own or external requirements.
Component records officers would. manage internal component reports,
Directorate records management officers would, manage intra-Directorate
reports, and the CIA Records Administration Officer would, manage inter-
Directorate and. inter-Agency reports. All reports, however, would be
contained in a master Agency index. STAT
1V It is proposed. that the Agency Reports Management Program be established.
by a directive issued, in the Agency regulations system based upon
This directive would. give the records management system strength
support throughout the Agency as well as provide a sound. basis upon which
records officers could. establish and administer reports management
programs. In addition to the directive, there should be a manual issuance
establishing reports management stand.ard.s, and. outlining the program's
operating and. administrative procedures. These documents would. also
provide a framework for the issuance of formal guides and notices essential
to the program's continuing administration. Sample documents are at-
tached. as APPENDICES.
15/ The establishment of an Agency Reports Management Program will require a
great d.eal of initial preparation and, coordination. It is estimated.,
therefore, that a minimum of six (6) months will be required. for the
development of the program. The implementation of the program may re-
quire another six (6) months. The administration of the program will
then become a continuing responsibility of the Agency records management
system.
16/ The National Archives and Records Service conducts a reports management
workshop. This workshop is presented in five (5) one-half (2) day
sessions. This workshop would be of value to all Agency records officers,
and. as part of the orientation program. NABS indicated. it may be recep-
tive to a request that it present this orientation; therefore, it is
suggested. that NABS be requested to present this workshop over a period.
of the required class time continuously in Agency quarters. This orienta-
tion could. be held. in the reports management development phase, but it
would be more appropriate to hold. as the kick-off to PHASE II. Should
NABS not provid.e this instruction, the Records Administration Branch
would. have to prepare and. conduct the orientation workshop.
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17/ This catalog would, be issued. through the Records Administration Branch on
a regular basis, say semi-annually. There would, be a formal approval
request procedure from which machine input would. be prepared.. Also, the
various data elements may or may not follow in the order shown, because
this paper is intended only to show the basic elements required. There
may be other elements such as security classification, etc., which may
be required..
18/ Discussions with reports managers in several government agencies have
revealed. a more aggressive approach to reports management, emphasizing
a primary function of providing needed reporting, rather than the more
negative control approach. This new orientation is one of a systems
concept, using analysis of data generated, throughout the organization,
generally through automatic data processing. The location of the
Agency reports management responsibility in the DDS/Support Services
Staff in juxtaposition with the development of support information pro-
cessing systems has already given the program a basis for the implemen-
tation of this concept in the Agency Reports Management Program. The
CIA Records Administration Officer, or staff designee, should be a
participating member of the SIPS team.
19/ This responsibility would. include any requirements falling within the
Federal Reports Act of 1942 (Public Law 831, 77th Congress); Executive
Order 10033; Bureau of the Budget Circular A-39, A-40, and. A-46; and,
the Administrative Procedure Act (Public Law 404, 79th Congress) ex-
cept where specific responsibility under any of these documents is as-
signed. to another Agency component.
20/ This organization establishes the levels of responsibility mentioned,
previously. The CIA Records Administration Officer would. hold ultimate
responsibility because all components would. be required to submit reports
information to the CIA RAO for final review and. approval for issuance
in the reports catalog. This approval would, be somewhat pro forma for
intra-component and. Directorate reports.
21/ The Veterans Administration has what is known as the Reports and.
Statistics Service. This organization reportedly has thirty-five (35)
professionals involved. in designing reporting systems. Others provide
statistical services. Significantly, this Servicelas the least number
in control and. record.-keeping function. This results, generally, from
the control having been designed. into the system.
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