ASSISTANCE TO THE DEPUTY DIRECTOR FOR SCIENCE AND TECHNOLOGY

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP72-00039R000100140005-9
• Release Decision: RIPPUB
• Original Classification: S
• Document Page Count: 37
• Document Creation Date: December 21, 2016
• Document Release Date: April 18, 2008
• Sequence Number: 5
• Publication Date: March 13, 1969
• Content Type: MF

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^ NCLASSIHLU L --j U CONFIDENTIAL ^ SECRET
ROUTING AND RECORD SHEET
SUBJECT: (Optional)
Assistance to the Deputy Director for Science and Technology
FROM: EXTENSION NO.
DATE
18 March 1969
TO: (Officer designation, room number, and
building)
DATE
OFFICER'S
COMMENTS (Number each comment to show from whom
RECEIVED
FORWARDED
INITIALS
to whom. Draw a line across column after each comment.)
1 Chief, Administrative
1 to 2. This is a rather ambitious
Support Staff, DD/S&T
program,
and we are .~.ppreciative
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CIA Records Administra
6 MAR 1
69
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`ORM USE PREVIOUS
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2 C MAR 1969
DD/S&T 1061/69
MEMORANDUM FOR: CIA Records Administration Officer
THROUGH Chief, Administrative Support Staff, DD/S&T
SUBJECT Assistance to the Deputy Director for
Science and Technology
1. A preliminary review of the DD/S&T records management
program needs and discussions with DD/S&T personnel indicate
that assistance in the following areas would be most advantageous
to the DD/S&T.
A. Development and implementation of a formal
Directorate-wide records management program through:
1. Preparation of directives and implementation
of procedures.
2. Conducting inventories of DD/S&T component
record holdings for the purpose of updating records
control schedules and auditing schedules presently in
effect.
3. Review, revise, and update component records
control schedules.
4. Finalize the DD/S&T Records Retention Plan.
5. Review and update the DD/S&T Vital Records
Program.
B. Development and installation of an automated
document control and information capability in DD/S&T.
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SUBJECT: Assistance to the Deputy Director for Science
and Technology
C. Development and installation of micro-reduction
techniques to project reports, technical data, and other
project, program, or operational records including micro-
film, aperture cards, "microfiche," and other media.
D. Development and installation of other records-
processing, maintenance, and disposition systems and
procedures as appropriate.
2. The above tasks are essentially those indicated through
the assistance provided selected DD/S&T components in 1967 as
being essential to an overall formal Directorate records manage-
ment program and substantiated by the more recent assignment in
the Office of Special Projects.
3. To accomplish the above tasks a minimum period of six-
months is required. Additional time may be necessary if over-
riding considerations are given somewhere down the road.
DD/S&T/RMO
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MEMORANDUM FOR: CIA Records Administration Officer
SUBJECT: DDS&T Records Management Survey Report
I., PURPOSE
The purpose of this paper is to provide a report of the records
management survey conducted in the Office of Special Activities, Office
of Special:Projects, and the, Office of Research and Development of the
DDS&T.
2. BACKGROUND
As early as December, 1966, the CIA Records Administration Officer
was requested by the Executive Officer, DDS&T, to provide a management
analyst.for.the review of the records management programs and practices
x
in the Office of Special Activities; the Office of Special Projects; and
the Office of Research and Development, DDS&T. Because of the year end
holidays and vacation schedules, the first survey did not commence until
the first week of January, 1967. The first survey was conducted in the
conducted by
Office of Special Activities, followed by the Office of Special Projects,
and the Office of Research and Development. The Office of Research and
Development survey was completed on 26 May 1967. All three surveys were
SURVEY METHODOLOGY
in each DDS&T component,
Prior to the-survei, a meeting was held with designated personnel
at which time the purpose of the survey, its objectives, and its projected
benefits were explained and discussed. Also at these meetings, Record Survey (,QbtM
Sheet, Form 138, was distributed to the groups with the request that the
respresentative of each Office component return a completed foe for each
piece of safe file'equipment in which substantive records were held. This
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survey form was to show for each safe:
(1) The safe number.
(2) The designation of the Office in which the safe resided.
(3) The room number in which the safe could be found.
(4; A description of the records kept in the safe by category,
i.e., subject files, administrative files, project files,
contract files, working papers, technical data files, etc.,
including a description of the types of papers and/or
documents held in these files series.
(5) File arrangement, i.e., subjective, alphabetical, numerical,
chronological, etc.
(6). Dates covered by the records.
(7) Site of records, i. e., letter,'legal, etc.
(8) Type of equipment, and size.
(9) Volute estimates.
Work
b. ,A safe by safe audit was conducted for each RecordSurvey/Sheet
completed..
At the'timecof the Record Survey Work Sheet audit, file systems,
.procedures,.and problems were discussed with the record maintenance personnel
in the respective components. Time was also taken to discuss recordu
management philosophy, principles, and practices.
4. FINDINGS
Although the DDS&T Offices surveyed vary as to time of existence, as well
as. in functions and responsibilities, it was found that the records management
requirements fell within the areas of program establishment and implementation;
the creation, maintenance, and disposition functions; and in utilization of
equipment and supplies. These areas are discussed in general as follows:
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a.. Program Establishment and Implementation
(1) The Office of Special Activities was the only Office having
a designated Records Officer. However, this can be attributed to
the length of time OSA has been in existence, and that it originated
in the DDP which had component Records Officers within the overall
DDP records administration structure. The OSA, Records Officer
also had records administration background through experience in
(2) Each Office lacked a body of records management directives and
procedures.
b.,-,,Records Creation
(1) Each Office required the decentralization of internal.
correspondence control.
(2), Each Office requires standard correspondence preparation
and forwarding procedures.
(3) Blank forms were not found to be a major problem in any
Office, but there were no established procedures for their
management.
Maintenance
(1) Duplication of records was found to be a practice in all
Offices surveyed. Not-that this is-necessarily undesirable, but
it is-a_.practice which should be given critical consideration
under a continuing records management program.
(2). There was found.to be a state of doubt as to who was
responsible for what records, as the office of record, not
only for the maintenance of records, but also their disposition.
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(3) There is a tendency to designate the registries as central
file repositories for the Office. This adds to duplication, and
responsibility,confusion.
(4) File systems were varied within each Office component, using
a system of its own design, and generally by the senior secretary.
This does not mean the systems were d I-%- Quite to the
contrary. Some were very adaptive and useful. All that is
inferred is that standardization and simplifying procedures had
not been applied as part of an overall program.
d. Disposition
Each Office was found to require current records control schedules.
OSP and ORD did not have established channels and,procedures for the final
disposal, and retirement of papers. OSA had no formal records disposition
directive, although it had an informal and known procedure.
e." Equipment and Supplies
(1).,There is a practice within the Offices surveyed to provide
two-drawer desk safes to officer and some administrative personnel.
This practice increases costs in the procurement of office equipment,
encourages the creation of paper, and provides a convenience for the
development of individual reoord holdings, at the risk of denying
the centralized official files of official records. It mE.y also
hinder accessability to papers which should reside in the official
files.
(2) There was found to be an abundant use of expensive pressboard
folders, rather than the less expensive kraft quality. Pressboard
folders-do provide durability and.,an extended use potential, provided
they are salvaged and re-used when records are destroyed or retired.
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Their use requires the transfer of papers to the less expensive'
folders upon retirement of records to the Records Center in order
to-retain their salvage value, and conserve space.: These folders
also consume, in the aggregate, valuable file space on th,,ir own-'
account over and above that which can be rebaonably expected.
(3) A nominal control over equipment procurement exists through
review of equipment requirements based upon requisitions, but there
is a lack of records officer authority to limit or deny requests
in favor of other measures, such as reduction of records, use of
less expensive equipment, etc. This reverts to the lack of
established programs and directive authorities.
(1i) Despite the special restrictions placed,. upon the metelods of
controlling and filing records in the three DDS&T Offices surveyed,
the use of newer types of file equipment such as: over-cabinet
storage for unclassified forms, supplies, and convenience items;
Conserv-A-File and Conserv-A-File V, as well as Full Space units
in secure areas; Suspendex for files of charts, etc., would be
worthwhile investigating further.
(5) Pitney-Bowes modular mail tables, and other types of registry
and mail handling equipment would be advantageous to OSA and OSP.
ORD is using Pitney-Bowes mail equipment.
5. ACCOMPLISI rS
During the course of the survey, a close relationship was maintained with
the Executive Officer, OSA; Chief, Support Branch, Program Administration
,Division, OSP; and the Administrative Officer, ORD, as well,-as key personnel
in the various Offices. Because of this relationship, records procedures,
systems-, and other-related aspects were recommended and implemented without
formal presentation. These were ad hoc adjustments made to current practices
in full agreement with the Office concerned. These and other formalized
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accomplishments with respect to pertinent records management areas follow:
a. Program
All Offices were given a basic standardized directive for the
establishment of a records management program.
Creation
(1) All Offices were given a directive for the control o_'
documents and correspondence. Each Office was also provided
a sample correspondence manual for adaptation as may be
considered practicable.
(2) OSA was given a directive on Form Control.
(3) OSA was given a directive on the establishment of
Director,' OSA, Central Files.
c. Maintenance
(1) File systems were discussed with Office personnel during
the course of the survey. Some systems were developed and
implemented at the time, other systems were suggested and
outlined for further consideration and implementation.
(2) Each Office was provided a directive, in one form or
another, regarding records maintenance reponsibility and
procedures.
d. Disposition-
(1) . Records Control Schedules were developed for each Office.
This aspect of the survey was the most time-consuming, but it
provides the more tangible evidence of survey results.
(2) Assistance was provided in the retirement of records to the;
Records Center.
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(3) The Records Center accessions from OSA were analyzed and
converted to conform with the control schedules developed during
the survey.
(~4) Advice was also provided as to material destruction and
general holdings reduction.
(5) Each Office was provided a directive establishing channels,
and responsibility for records disposition.
e.- Equipment and Supplies'.
Each Office was counseled as to types of equipment and supplies
available, and how each could be utilized.
6. GENERAL OBSERVATIONS
a. The personnel of the three Offices surveyed aid assisted were found
to be concerned with their records problems and desirous of methods and tools
through which they can manage their papers. This provides the basis for a
successful program. Given continuing guidance and support, these personnel
will induce efficient records managment within their respective components.
But, they must have competent and continuing guidance and support.
b. An attempt has been made through the surveys and on-site assistance
to give.. these Offices the basics of a records management program. The ball
ha: now been tossed to the Offices for the formal establishment, implementation,
and effective administration of a continuing program.
APPRECIATION
hospitality
Th6mmapakmi= and cooperation received from the OSA, OSP, and ORD
'ersonnel was impressive and appreciated. If any value is to be derived
from the records management surveys of these three DDS&T Offices, the credit
is due to the competency with which personnel completed the initial survey
work sheets,, and their willingness to pitch in wherever and whenever needed.
They deserve a: Well Done;
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MEMORANDUM FOR: Administrative Officer, Office of Research
And Development, DDS&T
SUBJECT: ORD Records Management Survey Report
1. Attached is a report of the records management survey
conducted by Mr. of this Staff between the
dates of 19 April and
May 1967. Recommendations as to
the ORD program are contained on pages _ through _ of the
report.
2. As noted by Mr. in his report, the best that can
be expected from an initial records management survey is the
.determination of needs toward the establishment of a forward
oriented records management program, and toAupply suggested
principles, tools, and procedures for the establishment,
implementation, and administration of an aggressive and pro-
gressive program. All the while, it is recognized that the
success of the program is the responsibility of the office to
which it pertains. Mr. has provided these basic needs
in his report, and be assured that this Staff stands ready to
further advise and assist the individual in whom you will place
the_r.esponsibility for the ORD records management program.
3. Do not hesitate to call upon us for clarification and
1 Iurther explanation of any items in Mr report. Also, 25X1
I should like to voice my personal appreciation for the fine
attitude, cooperation, and hospitality extended to Mr.
during his stay in ORD. This type of reception and help not
only makes our job easier, but also pleasurable. Benefits
cannot help but enure, to the Agency through such cooperation.
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MEMORANDUM FOR: Administrative Officer, Office of Research
and Development, DDS&T
Ul~~
SUBJECT:`, Records Management Survey Report
1. PURPOSE
The purpose of this memorandum is to provide a report
on the records management survey, and to set forth several
observations as to steps which can be taken by ORD to fur-
ther improve its records management practices, as well as
,forward suggested papers supporting these observations.
SURVEY METHODOLOGY
a. A meeting was held with ORD personnel at 1000 hours
on 19 April 1967, at which time the purpose of the survey,
as well as the objectives, and projected benefits were
explained and discussed. Also at this meeting, Record Survey
Sheet, Form 138, were distributed to the group with the
request that each one return a completed form for each piece
of safe file equipment in which substantive records are held.
This form was to show for each safe: ,,s.
(1) The safe number.
(2) The designation of the Office in whch the safe
resided.
(3) The room number in which the safe could be
found.
(4) A description of the records kept in the safe
by category, i.e., subject files, administrative
files, project files, contract files, *orking
files, technical data files, etc., including a
description of the types of papers and/or
documents were held in these files series.
(5) File arrangement, i.e., subjective, alphabetical,
chronological, numerical, etc.
(6) Dates covered by the records.
(7) Size of records.
(8) Type of equipment as to size.
(9) Number of drawers in the respective piece of
equipment.
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b. The survey formally began on 20 April 1967 with a
complete survey of the procedures and records of the Registry
Branch, Administrative Staff, in conjunction with the Chief
of the Registry.
C. The survey was extended to the other ORD components
at the time are audit was made of the Records Survey Work Sheets
completed by the ORD personnel.
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d. At the time of the Records Survey Work Sheet audit,
file systems, procedures, and problems were discussed with
the secretarial personnel, who are responsibile for the records
function in their respective offices. Time was also taken to
discuss records management philosophy, principles, and practices.
3. FINDINGS
a. General
A sincere desire to maintain records at a mininimum,
in good order, and under standardized procedures was found
throughout the ORD personnel charged with the records man-
agement function. There was also found an intuitive aware-
ness of the importance of records and of ways in which their
effectent and effective management might be realized. This
finding was highly encouraging, because without intelligence
and motivation on the part of records managers, the best
conceived program may fail of success. ORD has a basic
ingredient to the implementation and administration of an
effective records management program. Having been able to
begin on this note of encouragement, the remaining findings
will be devoted to areas in which attePtion or improvement
may be directed toward the establishment of an effective ORD
records management program. Many of these observations are
obvious, and are not necessarily original with the writer.
b. Program
(1) Of primary-importance to the establishment of a
formal ORD records management program is the issuance
of an ORD directive, establishing the program, and
outlining responsibility for its administration.
(2) ORD should appoint a Records Management Officer
who would be responsible for the program within ORD.
If possible, this responsibility should not be an
additional duty, but full-time. The Records Management
Officer should be situated at a high enough level Ln
the organization to permit him to speak with authority
as regards the program. He should be a knowledgeable
individual with regard to administrative and managerial
principles and practices because records management is
noitii ger. a file clerk function, but has professional
status in the managerial arts and sciences.
(3) 'There should also be a body of records management
directives, and procedures issued for the guidance of
all ORD personnel, supplementing and issued under the
authority of the basic directive.
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(4) Records management should be a continuing
effort within ORD, and not something to be done
only on a time avaiy;lalle basis. It was-Pot
noticed that therb;lexisted- an excess of time
available in ORD.
c. Creation
(1) ORD could benefit from the decentralization of
internal correspondence control.
(2) It is understood that preliminary work has been
started in the office of the Director, ORD, toward
the development of a correspondence manual. This
effort is commendable, and is encouraged. This is,
however, a responsibility more properly placed with
an ORD records management officer.
(3) Although multi-copy creation of internal corre-
spondence is not of major consequence in ORD at the
present time, ORD cannot be entirely absolved of the
propensity to engage in this practice. There is
some evidence of a tendency to digptribute some types
of internal correspondence throughout the organization,
and while this practice is accepted as an effective
means of communication, it should be held in check
and under control.
Maintenance
(1) Duplication was found to exist in the substantive
records of ORD. But here again, duplication is not
necessarily undesirable, unless it is by and for its
own sake. For example, there would seem to be ample
justification for retaining a copy of a contract, and
other relevant papers in a project file. The reverse
would not be justified. Other duplication would be
in copies of reports, correspondence, personnel data,
etc.
(2) The functional organization of ORD lends itself
advantageously to the assignment of office of record
responsibility. This should be done in the interest
of creating single-source data banks.
(3) Files systems were found to be reasonably logical
and effective. There could be some standardization
because the various ORD components hold comparable
categories of substantive records.
(4) A coordinate system for the filing and finding of
research and.technical reports would be worthy of further
consideration and development.
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e. Disposition
ORD, as any other activity, requires an approved
means of disposing of its paper. While this .can be seen
as the ultimate phase of a records management program,
it is perhaps the best documented through records control
schedules. The development of revised records control
schedules for ORD has received the primary emphasis in
the ORD records management survey.
f. Equipment and Supplies
Another obvious observation as to an area of concern
in the ORD records management program and records practices
is the more efficient utilization of equipment and space.
Invoking the provisions of the revised records control
schedules will aid considerably in the area of equipment
and space utilization. However, the propensity toward the
creation and maintenance of paper in such volud-sas to offset
any net disposition gains emphasizes the need for a contin-
uinc* effort toward maximum use of equipment and space.
Every effort should be made to utilize safe space for doc-
uments and materials which are classified and must be
secured. Other types of equipment should be used for the
storage of unclassified documents, forms, and supplies.
4. RECOMMENDATIONS
a. ORD should issue a directive establishing an ORD
'records management program, and outlining responsibility
..for its administration. A draft of :a proposed directive
.is attached as TAB A.
b. ORD should appoint a Records Management Officer,
preferably on a full-time basis, but at least one who
will have the interest and drive to administer an effective
program.
c. ORD should develop a body of records management
directives and procedures', covering all aspects of the
records management function for the guidance of ORD
personnel.
'.d. ORD should decentralize the control of internal corre-
spondence to the originating components, leaving the
Registry Branch, Administrative Staff, responsibile only
.for the mail function, and the centralized control of Top
Secret and other sensitive document controls. A proposed
draft directive concerning the manner in which this could
,be achieved is attached as TAB B.
e. The Registry Branch, Administrative Staff; should be
relieved the responsibility of filing any ORD.substantitive
records.
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J. The Registry Branch, Administrative Staff, should be
given the responsibility for the receipt and distribution
of all material, except library documents, within ORD.
g. Each functional component of ORD be designated the
..office of record for the papers it receives as the action
office or office of primary interest, and that the respec-
tive office be held responsibile for the maintenance and
'disposition of its official records in good order. A
draft of a proposed directives' regarding the assignment of
this responsibility, as well as the maintenance function
.-in general. is attached as TAB C.
h. Establish standardized file systems, insofar as possible
wt?chin ORD. At least establish standard file categories.
.Proposed standard file categories are attached to the
.,directive appended as TAB C.
i. A manual for the preparation of correspondence under
:standardized procedures should be prepared. In an effort
to assist this effort, a copy of a correspondence manual
prepared for another Agency component has been made avail-
able to the personnel in the office of, .the Director who
are attempting to develop such a manual.
j.. ORD should have developed, and maintain on a current
basis, approved records control schedules. These have
been developed, and will be submitted for review and
approval of ORD separately.
k. OFD should issue a directive for the guidance of ORD
.personnel in the disposition of records. A draft of a
proposed directive for this purpose is attached as TAB D.
1. Kraft quality folders should be used wherever possible
for filing papers in place of the heavy duty, metal tabbe d
folders now being used throughout ORD. Pressboard folders,
,,in the aggregate, consume valuable file.space on their own
account and reduce space utilization. Also they are quite
expensive. They also require the transfer of records to
less expensive folders upon retirement in order to conserve
.space in the Records Center.
M. Equipment such as over-cabinet storage should be used
for unclassified forms, supplies, documents, coffee trays,
and other convenience items. Secure areas, open-shelf
filing, and other types of equipment should be used for
purely storage purposes, thus freeing Registry Branch space
for its activities.
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n. All requests for record-keeping equipment be given
thrrough evaluation as to justification, whether space
cannot be made available through the retirement or
destruction of materials, or whether the material
cannot be stored in secure areas or less expensive
equipment.
5. PROGRAM IMPLEMENTATION
.a. Of necessity, the initial survey of a management
.fuction or process is limited to the personnel and time
available, much as the administration of an ad hoc program.
The most that can be expected, then, from this records
management survey is a pointing of the way in which a program
may progress. ,When the initial broad brush survey is over,
there remains the task of developing, implementing, and
administering a program on a continuing long-range?basis
sensitive to the changes in the organizational structure,
and its functions. Management is dynmaic, never static, and
because of this characteristic, the records management of an
organization cannot be fully prescribed in one rather limited
review.
b. What remains for ORD is the establishment of an integrated
records management program along the guidelines set forth above,
as well as the implementation of the program an a current basis.
To .-?o. this, it is reasonable to expect there will be a need for
follow-up assistance from the Agency Records Administration Staff,
or preferably, from a centrally established records management
expsr?tise in the executive offices of the DDS&T. It has not
been possible to provide for all contingencies of the program
at this time, but an effort has been made to provide some
fundamental principles, tools, and ideas for the guidance of
an integrated ORD repords management program.
6. APPRECIATION
The writer wishes to express his appreciation for the
cooperation provided by all personnel in ORD in conducting
the initial records inventory, and for their hospitality.
-Assisting ORD with its records management problems has been
an enjoyable experience.
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RECORDS MANAGEMENT PROGRAM
A. GENERAL
The purpose of this regulation is to establish an
Office of Research and Development records management
.program.
Section I, dated 15 April 1964; Subject:
. 'SCOPE
The Office of Research and Development records
management program includes all elements of the Agency
program, as set forth in Section I, and applies
to all documents originated in or received by the Office
of Research and Development, pertaining to policy, admin-
istration, and operations.
D. OBJECTIVES
The objectives of the Office of Research and Devel-
opment records management program are:
1. Identification, maintenance, and preservation
of documentation as to the administration and
operation of the Office of Research and Development.
2. Promotion of record utility through the improve-
ment and standardization of maintenance practices,
systems, equipment, and procedures.
3. Disposal of non-record material and retirement
of non-current records under established and approved
records control schedules.
4. Identification of vital materials, and their
movement to a repository for safekeeping.
E. DEFINITIONS
1. Record Material
The general definition of record material is
found in Section I, paragraph 1, a. In
addition, recor s may be current or non-current in
nature. These are defined as follows:
a. Current Material
Record material which is required in the
the performance of day-to-day operations or
administrative activities.
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b. Non-Current Record Material
Record material which is no longer required
in the performance of day-to-day operations or
administrative activities,but which must be made
available for reference or for historical purposes.
Non-Record Material
Those records which are preserved solely for purposes
of reference such as, but not limited to:
a. Reading file, copies of correspondence.
b. Tickler, chronological, follow-up or suspense
copies of correspondence.
c. Extra copies of printed or processed material
of which official copies have been retained for
purposes of record.
d. Letters of transmittal that do not add any
information to that contained in # he transmitted
material.
e. Classified material, consisting of extra copies
and duplicates, including shorthand notes, prelim-
inary drafts, used carbon paper, and other material
of similar nature.
. Disposal
Disposal is used only in the sense of destruction
in accordance with existing regulations. The main
.objective of disposal is to eliminate those records
which have served the purposes for which they were
.created, and do not have a continuing or enduring value.
4. Retirement
Retirement is used in the sense of archiving or
.storing non-current historical records in an appropriate
espository.
5. Vital Materials
Those specific items in the possession of the Office
of Research and Development which" .are essential to the
Agency on a continuing basis and which, in the event of
'destruction, would constitute an irreplaceable loss.
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F. RESPONSIBILITY
1. Office of Research and Development Components
Chiefs of the several organizational components
of the Office of Research and Development are respon-
sible for the implementation of the ORD records man-
agement program within their respective organizations.
In the exercise of this responsibility, heads of ORD
components will:
a. Ensure that personnel within their respective
offices are familiar with ORD records management
policies and procedures.
b. Hold tb a minimum all files retained by the
component, and dispose of documents no longer
required under established records control
schedules through the ORD Records Management
Officer and the Registry Branch, Administrative
Staff.
c. Select and have deposited regularly through
the ORD Records Management Officer, those records
or materials essential to the continued operation
of the organization during a national emergency.
2. Office of Research and Development Records Management
Officer
Responsibility for the development and administration
of the ORD records management program is assigned to the
ORD Records Management Officer, under the supervision of
the Administrative Officer, ORD. In addition the ORD
Records Management Officer is designated the Area Top
Secret Control Officer, the Publications Control Officer,
and other responsibilities commensurate with his duties
as the ORD Records Management Officer. These duties
include:
a. Development of ORO paperwork management policy.
b. Providing staff guidance to ORD components in all
aspects of paperwork management.
c. Conducttng studies, inventories, and inspections
to determine requirements and effectiveness of ORD
records management programs.
d. Developing systems and procedures for the creation,
maintenance, and disposition of ORD records.
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Uli lit I.
e. Developing standards and centralized control
and approval for the procurement of equipment and
supplies pertaining to the ORD records managment
program.
f. Providing ORD with centralized forms management.
g. Preparation of directives, manuals, and other
materials necessary to the implementation of the
ORD paperwork management program.
h. Serving as the ORD representative on all boards,
committees, special study groups, task forces, etc.,
pertaining to records management.
G. PROCEDURES
Procedures for the implementation of the Office of
Research and Development records management program are
contained in supplementary directives, handbooks, or other
issuances as appropriate.
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Stulit1,
DOCUMENT AND CORRESPONDENCE CONTROL
A. GENERAL
The purpose of this regulation is to establish responsibility
and procedures for the control of documents and correspondence
within the Office of Research and Development.
1. Office of Research and Development Components
Components of the Office of Research and Development are
responsible for the control, maintenance, and disposition of
all incoming and outgoing cables, dispatches, memoranda, and
other documents pertaining to their respective missions and
functions, with the exceptions noted under Registry Branch
responsibilities. Each ORD component is also responsible for
-ontrolling correspondence it originates in accordance with
the procedures outlined below.
2. Registry Branch, Administrative Staff
The Registry Branch, Administrative Staff, ORD, is
responsible for :
a. Receipt:, routing, and control of all incoming mail
for all.components of the Office of Research and Devel-
opment.
b. Assignment of all Top Secret and other sensitive
document control numbers.
c. Maintaining master centralized files of document
controls, except for internally prepared correspondence.
d. Preparing and controlling all ORD outgoing mail.
The Registry Branch will not be responsible for maintaining
chronological copies of documents, other than cables, or for
the assignment and control of intra-Office of Research and
Development memoranda, or correspondence numbers.
PROCEDURES
1. Correspondence Numbering System
Each Office of Research and Development component is
assigned a symbol (listed below) which is to be used in
identifying correspondence it originates and is signed by
the respective official in charge. Correspondence prepared
for the signature of the Director, ORD, or an officer in
the. executive office of the Director, will be identified
under the Director's numbering system. In identifying
correspondence prepared within ORD, the symbols set forth
below w fll be used followed by the year and the number
assigned in consecutive order, beginning with a new
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on 1.January each year. Example: ORD-67-0001. The following
symbols are-those assigned to the components of ORD.
a. Director,and his executive office: ORD
b. Administrative Staff: SDM
c. Analysis Division: XDM
Audio Physics Division: ADM
Biological Sciences Division: BDM
.. Medical and Behavioral Sciences Division: MDM
g. Optics Division: ODM
h. Physics and Chemistry Division: PDM
i. Radio Physics Division: RDM
j.- Identification and control of incoming documents: ORD-D
2. Correspondence Control
Each component will establish a centralized control point
for the issuance of correspondence control numbers. This
control may be maintained on Document Control, Form--.'238, on
:log sheets, or in a log book. Acc1ronological file may be
maintained as a checking mechanism as to the actual use of the
correspondence numbers assigned.
3." Forwarding of Correspondence
All copies of correspondence, with any attachments, are to
..be sent to the Registry Branch for the preparation of envelopes,
registration, preparation of courier receipts, and any other
processing required to place the correspondence in the Viail.
The Registry Branch will note the appropriate control numbers
on the official (yellow copy), as well as other copies to be
returned to the originator for filing.
r f,
V3
fried- the
.The originator of correspondence will
official (yellow copy) record copy of correspondence in the
pertinent substantive file of the component"s central record
holdings.
4. Filing of Official (Yellow Copy)
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RECORDS MAINTENANCE
A. GENERAL
The purpose of this regulation is to set forth policy, and
guidelines for the maintenance of the official records of the
Office of-Research and Development.
13. POLICY
a. Systems under which records are maintained throughout
the Office of Research and Development will be standardized
to the extent possible in accordance with the attached
file system guides.
b. Each component of the Office of Research and Development
will be considered the office of record for papers and
documents received in or produced by the Office of Research
and Development, pertaining to the respective missions and
functions of the various components.
c. Duplication of records is to be avoided wherever possible,
and although of possible justification, will,, be held to a
minimum.
d. Officer personnel are to have the privilege of maintaining
personnel files to the extent that these personnel files are
working files only and of pertinence to individual assignments.
These files are not to be maintained at the expense of the
official records of the Office of Research and Development,
and once they assume such a relationship will be integrated
into the official files of the respective component.
e. The original copy of incoming correspondence, and the yellow
copy;of outgoing correspondence, as well as one copy of contracts,
reports, documents, and other papers received in multiple copies
will be designated the record copy and be maintained in the
official ORD files.
MAINTENANCE GUIDELINES
a. Systems
The Office, of Research and Development file system will be
subjective, with each major subject being given a numeric desig-
nation. Each major subject may be further refined with each
breaL:down being givenaassecondary and tertiary number as required.
Systems outlines are shown in the attached guides.
b. Document Filing 1
Each document filed in an official ORD file will have the
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numerical designation of the respective file placed in the
lower right-hand margin of the document. This will facilitate
re-filing should the document be withdrawn from the file.
c. Finding Media
Each ORD component is to maintain an index to the subjects
contained in its file system as both an aid in the determination
of where a document is to be filed, as welcllas an aid in finding
documents pertaining to a particular subject. Documents which
are.subjected to control and accountability may have the file r
number noted on the Document Control, Form 238.
d. Equipment
Kraft file folders are to be used in preference to the more
costly pressboard folders. The use of kraft folders also permits
the direct transfer of records to boxes for retirement to the
Records' -Center. Pressboard folders should not be used for the
retirement of records becausedof their cost and the fact that
_th&y are lost to further use.
e. Volume
All files in ORD are to be held to a minimum through the
continued practice of destroying extra copies, and disposing of
other records, in accordance with approved records control sched-
ules.' This makes for more efficient use of manpower, and permits
economy of space and equipment.
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EXECUTIVE OFFICE of the DIRECTOR, ORD
1.- ACCOMPLISHMENTS
1.1. History
1.2 Milestones
ADMINISTRATION
2.1 Budget
2.2` ? Logistics.
'2.3 Personnel
2.4 Security
.2.5 Support
2.6 Training
2'.7 Travel
3. BRIEFINGS
4. CONTRACTS *
5. COMMITTEES, PANELS, and BOARDS
6. COORDINATIONS *
7.. MEETINGS **
S. ORGANIZATION
8.1 Mission
8.2 Procedures
9. PROGRAMS ***
10. PROJECTS ***
* Files would be maintained under these categories in strict
alphabetical order.
** Files would be maintained under this category generally where
the meeting was one-time and not of an established committee.
*** These would replace the general category of "Subject Files."
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S~ARIL
FILE SYSTEMS
ADMINISTRATIVE STAFF
1. -ACCOUNTING
APPROPRIATIONS (BUDGET)
3. 'AUTHORIZATIONS
4. BUILDINGS.AND GROUNDS
5. COMMUNICATIONS
6. CONTRACTS
7. EQUIPMENT AND SUPPLIES
8. FORMS,
9. MEDICAL
10. ORGANIZATION AND MANAGEMENT
11. PERSONNEL
12. PRINTING AND REPRODUCTION
13. PUBLIC RELATIONS
14. RECORDS
15. '? SECURITY
16. TRAINING
17. . TRAVEL
See the detailed file system breakdown in the file guide maintained
by the Administrative Staff.
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ADMINISTRATION
1.1 Budget and Finance
1.2 Personnel
.1.3 Reports
.1.4 Security
1.5 Services
1.6 Supplies and Equipment
1.7 Training
1.8 Travel
2. ORGANIZATION
2..1 Development
a,.2 Plans
a.3 Policy
..4 Procedures
3. COMMITTEES, PANELS, AND BOARDS
4. CONTRACTS **
5. COMPANIES ***
6. PROJECTS ****
7. TECHNICAL DATA AND STUDIES *****
* File alphabetically by committee, board, or panel title.
If desired, agenda, minutes, repots, membership lists, etc.
in separate folders or multiple-section folders.
Contracts may be filed by contract number, or alphabetically
by contractor. It may be desired to'keep a cross-reference
by number or name, according to the filing method.
*** Companies may be filed alphabetically rather than attempt
to assign numerical designations, such as: 5.1, 5.2, etc.
**** It may be desired to partition these files according to the
types of records, i. e. reports, correspondence, etc. but
filed by project name alphabetically.
***** These files would consist of studies, charts, etc., and
could be broken into subject areas; i. e., animal, etc,
and arranged under the primary number code, or given a
secondary numerical breakdown, such as: 7.1, 7.2, etc.
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RECORDS DISPOSITION
A. GENERAL
The purpose of this regulation; is to establish respon-
sibility.and outline procedures for the archiving of Office
of Research and Development non-current record material.
B,.. SCOPE
The provisions of this regulation include the identification.,
control, deposit, maintenance, and recall from the Records Center
of all Office of Research and Development records.
C. DEFINITIONS
1. Records Control Schedule
A Records Control Schedule is a written plan identi-
.fying records series of each organizational unit, or the
.office as a whole, which should be preserved, destroyed,
..or retired prior to disposal. (See Records Control
Schedule 91-67-0 and 91-67-1 attached ,o this regulation
as EXHIBIT A.)
-,2. Records Retirement Request
A Records Retirement Request is a request to retire
scheduled material to the Records Center. It also provides
for restrictions to be imposed on the use of retired records.
(See Records Retirement Request, Form 140 attached tothis
regulation as EXHIBIT B.)
3. Records Shelf List
A Records Shelf List is an accession list of retired
records which-provides the Records Center and the depositor
with an inventory of file titles deposited. (See Records
Shelf List, Form 140a attached to this regulation as
EXHIBIT C.)
D. . RESPONSIBILITIES
1. Office of Research and Development Components
In the exercise of their responsibility for the
,,disposition and archiving of Office of Research and Devel-
opment records, heads of ORD components will:
a. Have prepared and maintain a current Records
Control Schedule in conjunction with the ORD, RMO.
b. Submit appropriate records on a timely basis to
the ORD, RMO in accordance with current authorized
Records Control Schedules.
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SEC~rt.
Office of Research and Development Records Management
Officer
The Office of Research and Development Records Manage-
ment Officer is responsible for monitoring the archives
program and for :
a. Preparing Records Control Schedules in conjunction,,
with.QRD components, providing for approval, and main-
taining a central file of all ORD records control
schedules.
b. Maintaining a secure storage area for material in
process for deposit in the Records Center.
c. Preparing Records Retirement Requests and Records
Shelf Lists for all ORD files, and for packaging and
arranging transportation of material to the Records
Center.
d. Recalling records from the Records Center at the.,
request of ORD components.
e. Providing research and analysis service in records
retired to the Records Center.
PROCEDURES
1. Record Preparation
a. Records to be retired will be:
(1) Placed in a soft, Kraft folder wherever
practicable.
(2) Labeled with adequate description, including
the inclusive dates of the documents.
(3) Identified with a strip of green card stock
attached to each TOP SECRET document which-.should
be retained in the file for continuity.
(4) Forwarded to the ORD, RMO, referencing the
item number of the Records Control Schedule which
is the authorization to archive the records.
(5) Forwarded through the Registry Branch when
they are TOP SECRET for transfer of control.
b. ORD, RMO
The ORD,, RMO will:
(1) Prepare a Records Retirement Request and
obtain a deposit job number from the Records
Center.
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(2) Pack and number the folders and prepare the
Records Shelf List covering the retirement.
(3) Prepare the archives boxes with appropriate
labels and banding. (See procedures for the
banding and preparation of archives boxes for
sensitive material attached to this regulation
as EXHIBIT D.)
(4) Forward the deposit to the Records Center
and obtain receipted copies of the shelf list
for the depositor.
(5) Maintain a master file of all receipted
shelf lists.
2. Recall of Records
a. ORD components wishing to recall material from
retirement either on a temporary or on a permanent
basis will verbally request the ORD, RMO to bring
back the material and cite the job number, box
number, and folder number, taken from the shelf
list. If this information is not available to the
requestor, the ORD, RMO will obtain it from his
master shelf list. An indication of when the.
records are needed will assist the ORD, RMO to
determine whether routine, priority, emergency,
or after-hours service will be requested of the
Records Center.
b. Material on temporary loan from the Records
Center may be retained no more than four (4)
weeks unless the ORD, RMO is notified and a
definite extension period is granted.
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S-E-C-R-E-T
PART 111 (TO ER COMPLRTEO Er THE RECORDS CENTER)
REFERENCE ACTIVITY
YEAR JAM f[1 MAN ATR NAT JUN JUL AUG 11P
OCT
NOY
DEC
TOTAL
ST GE LP T N
Joe N0. AREA PA
reLs
DISPOSAL ACTIVITY
T
0/F IC(
OIVIIION
eR ANCM
/[CT IQM.
E
011101Al RA
AUTHORITY FOR DISPOSAL
$CNEOUL( Ro. (er L[.1)
PAS(
ITIN
i.EMARRI
RECEIPT PROCESSING
CUBIC I[[T
NO. OF CONTAINERS
TYPE OP CONTAIN [RE
OATC NECCIVED
NECLIYEO ST
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25 January 1965
PROCEDURES FOR HANDLING RD, B, T, K, AND/OR C RECORDS
1. The five copies of Form -40 received for assign-
mentof Accessioning Job Number w.Il show the regular
security classification of records to be transferred, and
in addition, the special category(s) of records involved.
2. After determining that the records offered are
eligible for retirement, the Job Number reflecting the
special category will be assigned. Example:
ILLEGIB
If the records involved have more than one special category*
only one-letter will be used and in the order shown in the
example.
3. When received in the A&RC, the box(s) containing
the special category(s) of records will be encircled with
th:e ,appropriate color tape as follows:
It is possible for the box to contain any combination or
all of. the special categories of records, in which case
he color tape will have been placed around the box for
each category contained.
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REFERENCE:
1.?. The requestor in completing the request form
(Form 490) will have used the address of the Control
.Ceflter for his Area.
2. Reference Personnel will assure that*all docu-
ments containing RD, B, T, and/or C classifications are
sent thru appropriate control systems.
3. When dispatching these documents, this procedure
will apply:
.a. The original of the request form will serve
as.a document receipt.
of courier receipt.
g. Place a carbon copy of the request form on
the suspense board pending return of the signed orig-
inal. A follow-up will be made on all document re-
,ceipts outstanding at the expiration of one week.
b. The documents along with the document receipt
(form 490 with request for signature) will be wrapped
and sealed with 3 inch gummed tape.
c.. The package will be inscribed with the name
and address of the requestor, the address of the Con-
trol Center, and the courier receipt number.
d. Three copies of a courier Receipt (Form 240)
will be affixed to the package.
e. Place a band of the appropriate color tape(s.,)
completely around the package.
f. Obtain signature of courier on second copy
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DISPOSITION:
1'.? Existing procedures for disposing of records in
accordance with the disposition instructions in the Records
Control Schedule will be observed.
In addition to the above the following special
procedures will apply when special categories are involved:
a. The records will be matched with the corres-
ponding manifest to assure all documents listed are
being accounted for.
b. A member of the Archives & Records Center
Disposition function will witness the destruction by
burning..
c. In ac.dition.to the certification of destruc-
tion made on the Form 140, a copy of the manifest will
be reproduced and forwarded to the trar sferring office
control center, via the Office, Records Management
Officer.
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