RECORDS AND CORRESPONDENCE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP76-00883R000100090084-7
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 26
• Document Creation Date: December 15, 2016
• Document Release Date: April 26, 2002
• Sequence Number: 84
• Publication Date: August 7, 1973
• Content Type: BOOK

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VITAL RECORDS PROGRAM
DISTRIBUTION:
7 August 1973
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FOREWORD
FOREWORD
This handbook has been prepared for the purpose of providing
guidance and uniform procedures to the Directorates: and Independent
Offices responsible for develo in their internal vital records
programs as delegated in I1 21 July 1971 and 25 STATINTL
September 1963. This handbook is issued as a means of implementing
a comprehensive and continuing Agency Vital Records Program.
7 August 1973
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Paragraph
1. GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . .
DEFINITIONS OF PROGRAM OFFICERS.. . .
a. CIA VITAL RECORDS COORDINATOR . . . . . . . . . . . . .
b. DIRECTORATE AND INDEPENDENT OFFICE VITAL RECORDS
OFFICER. . . .
c. OFFICE VITAL RECORDS OFFICER . . . . . . . . . . . . .
d. AGENCY REPOSITORY VITAL RECORDS OFFICER. . . . . . . .
3. GENERAL GUIDANCE FOR THE APPRAISAL, SELECTION AND MEDIA
OF VITAL RECORDS . . . . . . . . . . . . . . . . . . . . .
a. WHAT ARE VITAL RECORDS?.-. . .
(1) BROAD CATEGORIES OF VITAL RECORDS . . . . . . . .
(a) EMERGENCY OPERATING RECORDS. . . . . . . . .
(b) RIGHTS AND INTERESTS RECORDS.
(2) OTHER-RECORDS. ... . . . . . .
b. PROVIDING VITAL RECORDS COPIES AT CREATION .
c. METHOD OF MAINTENANCE, MEDIA OF DEPOSITS
AND COMPATIBLE EQUIPMENT. . . . . . . . . . .
Page
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STATINTL
CONTE17
Paragraph Page
4. PREPARATION AND DISTRIBUTION OF THE VITAL RECORD
S
DEPOSIT SCHEDULE (FORMS 829 and 829a). . . . . .
. . .
a. SOURCE OF SUPPLY . . . . . . . . . . . . . .
. . .
b. SCHEDULE REVISION AND SUBMISSION INFORMATION . . .
c. GUIDANCE FOR COMPLETING FORM 829 . . . . . .
. . .
d. PREPARATION OF SCHEDULE COVERS (FORM 829a) .
. .
5. PREPARATION AND DISTRIBUTION OF VITAL RECORDS
TRANSFER SLIP (FORM 620) . . . . . . . . . . . .
. . .
a. SOURCE OF SUPPLY . . . . . . . . . . . . .
. . .
b. GENERAL INSTRUCTIONS . . . . . . . . . . . .
. . .
c. DISTRIBUTION OF COPIES . . . . . . . . . . .
. . .
d. GUIDANCE FOR COMPLETING FORM 620 . . . . . .
. . .
e. PACKAGING RECORDS FOR SHIPMENT TO REPOSITORY
. .
6. WITHDRAWAL AND DISPOSITION OF RECORDS AT THE
REPOSITORY . . . . . . . . . . . . . . . . . . .
. . .
7. SERVICING DEPOSITED VITAL RECORDS. .
.
8. AUDITING AND REPORTING ON THE VITAL RECORDS PROGRAM.
iii
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1. GENERAL
There is a need to develop greater understanding
of the Agency's Vital Records Program and to build
a continuing interest in its support. There is also
a necessity to ensure that all Agency components give
adequate attention to selecting and safeguarding that
body of information which would be most useful to their
own essential emergency and recovery functions.
b. Agency regulations have established decentralized
responsibility for the program with the directorates
and independent offices. The Chief, Information Systems
Analysis Staff is the established CIA Vital Records
Coordinator for the program.
c. As a part of the Coordinator's role, this handbook
is being issued to assist all components in the appraisal,
selection and choice of media of records essential for
the continuation of operations under emergency conditions.
It is intended to give uniform technical procedures
required to carry out the transactions of the program
through uniform scheduling and timely deposits of the
selected records. It provides a means of checking the
program compliance through periodic audits.
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2. DEFINITIONS OF PROGRAM OFFICERS
a. CIA Vital Records Coordinator_(Chief,Information Systems
Analysis Staff)
The Coordinator is responsible for furnishing staff
guidance, assistance, and coordination of the Agency
Records Administration Program which includes the
Agency Vital Records Program.
b. Directorate and Independent Office Vital Records Officer
Under the decentralized Records Administration Program,
Deputy Directors and Heads of Independent Offices
have designated an individual who will be responsible
for the development and administration of the Records
Administration Programs under their respective
jurisdictions. The Records Administration Program is
defined to include the Vital Records Program.
c. Office Vital Records Officer
Those officers, usually Records Officers, officially
designated within the directorates and independent
offices as representatives of their internal functional
and operating offices for conducting and implementing
the further decentralized Records Administration
Program which includes the Vital Records Program.
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d. Agency Repository Vital Records Officer
The designated officer who is responsible for the Vital Records
Program at the Repository. The repository is the facility for
the storage, processing and servicing of deposited vital records.
3. GENERAL GUIDANCE FOR THE APPRAISAL, SELECTION AND MEDIA
OF VITAL RECORDS
a. What are vital records?
Those extra copies of records identified, scheduled and deposited
in the vital records repository that will facilitate continuity
of Agency activities under local disasters and national emergency
conditions. The Archival or Records Center retirement deposited
copy should not be used as the backstop for the Vital Records
program. In an emergency the retired permanent record copy would
convert to being used as a working copy without control or pro-
tection for preservation prescribed by statute. Vital Records
should be considered under two broad categories, emergency operating
records and rights and interests records.
(1) Broad Categories of Vital Records
(a) Emergency Operating Records
These relate to essential functions of the Agency for the
duration of an emergency and consist of organization and
manning records (readiness) as well as substantive and pro-
cedural records basic to implementation of emergency oper-
ations. They are the records that would be needed immediately,
that should normally be prepositioned at emergency relocation
site, and that should normally be in the form of paper copies
so they can be used (read) directly without reliance on
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(b) Rights and Interest Records
These relate to the preservation of rights and interests
of individual citizens and of the Government.
In identifying vital records, the records themselves must be
evaluated only in regard to their essentiality in carrying out
emergency functions or in protecting rights or interests. The
person making the selection is not concerned with the archival
or research value of the files. Many records to be safeguarded
have no lasting value, but their value at the onset of an emer-
gency cannot be questioned.
Experience has indicated that certain personnel are so familiar
with existing problem areas and carry so much program knowledge
in their heads that they have not given sufficient attention to
records which should be at the relocation site. They overlook
the twin facts that in time of emergency they themselves may not
reach the relocation site, and that people not so well acquainted
with their activities may have to take over. Instructions peculiar
to other than normal and routine use of records at the site should
be included.
OTHER RECORDS.
(2) /It should be remembered that although the major functional
offices of the Agency are responsible for depositing collections
of vital records concerning the rights and protection of people,
personnel fiscal records, etc., there may also be records within
other offices that are equally as vital but which do not duplicate
functional office information. The functional office's RMO may
be contacted if there is confusion as to duplication of information
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or deposit responsibility. This issuance cannot provide operating
offices with detailed guidance in the specific identification of
records vital to their operations and mission. Operating records
can only be identified through the combined efforts and judgment
of the office RMO, the operating office personnel, and the Emer-
gency Planning Officer. This paper provides only very general-,-----,
guidance concerning operating records.
b. Providing VitalRecords Copies at Creation
Once identification and selection has been accomplished it is
essential that vital records deposit copies of active transaction-
type records be made available for deposit at creation or at each
updating transaction. Arrangements must be made with the office
responsible for the creating and updating to adjust their initial
distribution to provide for the vital records deposit copy.
c. Method of Maintenance, Media of Deposits and Compatible
Equipment
The depositing offices must determine the method of maintenance
or document arrangement of the records at the repository to
make them most accessible and useful during the emergency. They
must consider the media of the records deposited in relation to
compatible equipment available at the repository. They must
consider the equipment they will be responsible for providing
to actively use, reproduce and continue their business based
on the media of information deposited. Arranagements for special
equipment placement and storage at the repository must be made
with the CIA Vital Records Coordinator. Space available and
many other factors must be considered prior to the shipment and
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4. Preparation of the Vital Records Deposit Schedule
a. The Records Administration Branch maintains the
supply stock of Form 829, Vital Records Deposit
Schedule and Form 829a, the green covers for the
schedule.
b. Schedules should be reviewed for partial or total
revision annually. Schedules and revisions of schedules
should be forwarded to the Records Administration Branch
for the approval of the CIA Records Administration
Coordinator. After reviewing the current schedule, if there
are no revisions necessary, written notification should
be submitted to advise the Records Administration Branch
that the annual review was initiated and an updating
revision is not necessary at this time. Interim revisions
should be submitted as frequently as new categories of
information become applicable to the Vital Records Program.
The interim revisions do not preclude initiating and
reporting the annual review of the total schedule. Annual
revisions and negative revision reports are due in the
Records Administrative Branch by
c. The following provides guidance for completing
Form 829:
(1) Prepare an original and four copies to be forwarded
for approval. After approval, the original and two
copies
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4c (1'
will be forwarded to the repository, a copy to
the originating office, and a copy will be
retained by Records Administration Branch.
(a) Office, Division Code - code numbers assigned
by Records Administration Branch for offices' use on
the Vital Records Schedule.
(b) No. of Pages and Date Prepared - Self-explanatory.
(c) Office,Division - should include the
directorate address symbol, followed by the full title
of the major staff, division or office, and the full
title of any subordinate office for which an individual
schedule is developed.
(d) Signature of Approving Officer - this will
be the signature of the head of the office for which
the schedule is prepared.
(e) Item Number - number each item consecutively,
beginning with number 1, through all items included
on an individual schedule regardless of the number of
pages included in that schedule.
(f) Vital Records Identification - clearly
describe the items included in the schedule to ensure
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4c (1) (f)
positive identification of the records to be
deposited on a one-time or.continuous updating
basis. Use titles that appear on the records,
when appropriate. Avoid using initials unless
their meaning is spelled out at first use. Use
commonly acceptable terminology, form or other
identification numbers, and where applicable,
inclusive dates, i.e., 1 July through 30 June,
monthly, bi-weekly, annually; to assist in a more
accurate description for positive identification
in future updating submissions. Try to keep
descriptions brief but not cryptic. Use the
guidance in paragraph 3 of this handbook in
parallel with the knowledge and experience of
immediate office personnel for assistance in
identifying appropriate primary and supporting
vital record information. Compare your appraisal
findings with the office's emergency mission paper
to ensure complete coverage.
(g) Media of Deposits - The vital records
program may encompass all forms of recorded
essential information whether the media is paper
hard copy, machine listings, microforms, electronic
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4c 1 (g)
data, punch cards, tapes, etc. However, under the re-
structions of budgeting and other factors which may limit
the office's program, take into consideration the avail-
ability, plans for furnishing,'or lack of compatible
equipment for use, reproduction and continued creation
of the media of records selected. (See paragraph 3d)
Primarily keep in mind that records which would be needed
immediately should normally be in the form of paper copies
so they can be used (read) directly without reliance on
enlarging. or other equipment. The need for information
will dictate the media or combination of media in which
deposits are made.
(h) Frequency of Deposit - this is based on the
frequency in which the updating issuances of records are
produced. Appropriate frequency notations may be: daily,
weekly, monthly, as amended, quarterly, yearly, etc.
(i) Disposition Instructions - The repository has
available services to process for direct destruction or
return to the depositor, upon request, obsolete items which
updated issuances have replaced. Vital Records are not
reference copies and should not be recalled for such use
with only the following exception. When the
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4c (1) (i)
deposited copy is the only copy in existence it may be
recalled with the understanding that it may not be
charged out more than a 24-hour period. Items should
not be recalled or removed permanently without the de-
posit of updating replacements unless action is taken to
submit a formal schedule deletion revision for approval
prior to the recall or removal of the item. Typical
instructions are: return upon deposit of current data,
destroy upon deposit of current data, permanent unless
officially deleted from schedule, destroy after 3 years
(or any given period appropriate to needs) after date of
deposit.
(j) Until revised 829 forms are available with
the classification exemption stamp preprinted, add and
complete the stamp in the lower right corner outside the
forms' broder.
(k) Prepare a page for signatures of coordinating
and approving officers to be inserted immediately under
the cover of each copy of the schedule. The signature
page should be prepared lengthwise and should be headed
with the office title for which the schedule is prepared.
Center two lines below the office title "VITAL RECORDS
DEPOSIT SCHEDULE". Four lines below the headings, the
following paragraph should be added with the office title
inserted in the spaces provided.
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RECORDS AND CORRESPONDENCE
The following Vital Records Deposit Schedule reflects
all records considered essential to the re-establishment
and operation of the (fill in office title) in an
emergency with the exception of records of other components
needed in support of these operations. Records covered by
this schedule and required in an emergency to support
other offices, will be made available on request through
a representative of the (fill in office title)
Signature and date lines should be arranged as follows:
Preparation and Review: Approval:
(Office RMO) Directorate or Office Head)
Date Date
(Directorate RMO CIA Vital Records Coordinator
Date Date
RAB
d. Preparation of Schedule Covers (Form 829a)
Type the address symbol of the directorate on the front
cover, followed by the full title of the staff, division
or office for which the individual schedule was developed.
Independent offices should use their full title. Fasten
the schedule pages for each copy inside a separate set of
covers and forward all copies through the Office Vital
Records Officer and Directorate Vital Records Officer for
approval by the CIA Vital Records Coordinator.
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5. Preparation and Distribution of Vital Records Transfer
Slip (Form 620)
a. The Records Administration Branch maintains the supply
stock of Form 620.
b. Delegation of responsibility and signature approval
authority for the preparation and submission of Vital
Records Transmittal Slips rests with the component's
internal program development. These slips accompany
the records for deposit in the repository. They serve
as a receipt of documents transferred to the repository,
record of physically deposited records and updating trans-
action as prescribed by the schedule. They will also serve
in auditing the program for compliance to scheduled
requirements. It is necessary that these transmittal
slips be maintained and controlled in an active system
available for preparation of program audits as well as
their use in current functional transactions.
c. Form 620 is a three part (non-carbon) form. The
original is yellow, with a pink and a white copy.
The yellow and pink copies accompany the material while
in transit to the repository. The white copy is held by
the originator as a suspense copy. The Repository Vital
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Records Officer signs and dates the form as received,
files the pink copy and returns the yellow copy to the
depositor. The white suspense copy is destroyed upon
receipt of the yellow copy.
d. Guidance for Completing Form 620
(1) Office of Origin - should include the directorate
address symbols, followed by the staff, division or
office address symbols for which the schedule was
prepared.
(2) Security Classification - self-explanatory. If
Top Secret classification is used, submit the
records for deposit with Form 620 through official
Top Secret Control Offices.
(3) Deposit Number - Enter the four-digit code
identifying the office of origin followed by a
hyphen and two digits indicating the current year,
another hyphen and the consecutive number of
deposits made for that year. The year of the
deposit will change at the end of the calendar
year. The consecutive deposit numbers for each
new year will begin at number 1. Where the office
identification number is not established, the
depositing office may use office address symbols
as some have done in the past.
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5d (4)
(4)CAT. - Where components develop their schedules
with the items divided into categories, enter the
category number in the first column.. The use of
category divisions is optional and is left to the
discretion of the component or office developing
a schedule.
(5) Item - Enter the corresponding item number used
in the schedule for the record or document being deposited.
(6) Date of Document(s) - Enter the date of each
document listed. In case of film, no date is required
except where inclusive dates are indicated on the
container and would be helpful in identifying the
reel. Items being deposited will determine if use
of dates is applicable.
(7) Description of Records - The description should
be as specific as possible to identify the information
being deposited as that prescribed by the schedule.
Use copy or identification numbers, dates, etc. when
item is an updated issuance.
(8) Remarks - Enter clarifying information regarding
the eventual disposition of any item on deposit
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which may be superseded by a current item being
deposited.
5d (8)
(9) Date Released - Enter date that the deposit
was forwarded to the Office Vital Records Officer. .
(10) Signature of Depositor - Depending on the
component's internal program; requirements, this
is usually the Office Vital Records Officer's signature
to indicate that the form and records have been
reviewed.
(11) Date Received and Signature of VRR Official -
This will be filled in upon receipt at the
repository.
(12) No. of Documents and No. of Reels - Self-explanatory.
(13) Security Classification - Same as (2) above.
e. Packaging Vital Records for Shipment to the Repository
(1) Prior to shipment, the Office Vital Records Officer
who is responsible for the depositing office should
verify the records with the information on Form 620
with the schedule and reconcile any discrepancies
with the depositor. This review will also surface
any delinquencies in updating deposits required by
the schedule.
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e (2)
(2) The Office Vital Records Officer preparing the
shipment should prepare a duplicate list of
deposit numbers from all transfer slips included.
The original should accompany the shipment to the
repository for use in verifying records transferred.
After verification, the repository officer will sign
and date ond return the original to the Office Vital Records
Officer for filing. The suspense copy should be
destroyed upon receipt of the signed original.
(3) The innermost wrapping should be in accordance
with security and any sensitive restrictions.
Attach the yellow and pinkcopies? of the Form 620 to
the outside of the innermost wrapping when opening
the innermost wrapper is prohibited. Mark this
wrapping "TO BE OPENED ONLY BY (fill in) Ti
More than one deposit may be packaged together
and shipped weekly except where the schedule calls
for more frequent shipments.
(4) Additional inner wrappings will depend on
security classification. Secret and Confidential,
not. registered, shall be double wrapped. Certain
offices have central mailrooms that handle the
preparation of the outer wrapping. Check with
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e (4)
director or office Records Management Officer for such
service before applying the outer wrapping
described in (5) below.
(5) Outermost wrapping' address for vital records._-
deposits is as follows:
0
PROPERTY OF THE U.S. GOVERNMENT
DO NOT OPEN
If Found Please Call
Washington, D.C. 351-6161, Collect
Use Form 240, Courier Receipt and attach it to the
outer wrapper. Vital records deposits should only
be made between Agency buildings and the repository
via the provided authorized official courier service.
(Also see
Transmission of Classified
Documents outside CIA, for specifications on wrapping
records and inner and outer wrapping markings.)
6. Withdrawal and Disposition of Records in the Repository
a. Withdrawals of deposited records will not be made
except as authorized by the office of origin in written
memorandum format. Disposition of deposited vital records
will be accomplished on a schedule basis through the
disposition provided in the memorandum when it conforms
with the scheduled instructions.
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b: Form 620 should be used only when records are being
deposited.
c. Disposition and withdrawal instructions must not
conflict with those in the schedule. Schedules must
be revised prior to any action being taken that
conflicts with instructions in the presently approved
schedule.
d. Authorization from the office of origin must specify
a positive description of the item for withdrawal or
disposition action to prevent any error in identifying
the item at the repository. Dispositions can be made
by repository personnel without opening restricted
packages when proper identification can be made from the
outside of the package.
e. The repository Vital Records Officer will notify the
office of origin when the disposition action requested has
been completed. Each disposal transaction will be
recorded on the repository copy of the Form 620.
f. Authorizations by memorandum will
be held on record at the repository.
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7. The depositing office has the option of making
periodic visits to the repository to service their
own records. By_furnishing appropriate instructions,
they may also have the repository officer service the
deposits, withdrawals and dispositions. In the latter
situation, the office of origin must furnish appropriate
maintenance arrangement instructions in addition to
specific detailed instructions. Repository personnel
are fully cleared to handle records deposited except
where offices of origin place special restrictions on
sensitive information. They can still handle the
receipting, filing, etc., of records placed in
sealed packages and marked as described in paragraph 5e
above. The seals will not be broken. The sealed
package will be filed in accordance with the depositor's
instructions and at time of disposition, will be disposed
of unopened, as scheduled or upon receipt of special
written disposal instructions from depositor.
8. Auditing and Reporting on the Vital Records Program
a. Auditing and reporting are scheduled for completion
twice annually on 31 May and 30 November.
b. Office Vital Records Officers are required to visit, the
repository for the purpose of conducting the audit and
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should notify Records Administrative Branch one day
in advance prior to traveling to the repository to
allow for appointment and working space arrangements.
c. An audit is made to determine program compliance.
The report of findings shall'be submitted via the
directorate Records Management Office to Records`
Administration Branch with a copy for the repository
and a copy retained by the office of origin for
follow-up action on discrepancies or needed revisions
of the schedule surfaced by the audit. A follow-up
report of action taken by the office of origin on
discrepancies found, is due in Records Administration
Branch 30 days after the submission of the initial
audit report. A follow-up report is not required unless
discrepancies are found by the audit.
d. The audit by the office of origin shall include the
following:
(1) Check the order of maintenance to determine if
the records are arranged in the most usable manner
based on those records that will be needed immediately
and those records that will be needed on a less urgent
basis.
(2) Using the schedule and deposit slips:
(a) Check to determine if all items listed in
the schedule are on deposit and if all are still
considered vital.
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8d(2) (b)
(b) Check schedule frequency against receipt
of updating issuances to ensure they are being
shipped as prescribed. List those that are not
and the date of last deposit.
(c) Check disposition instructions of schedule
or special memoranda against records to ensure that
correct-records were disposed of as prescribed.
(d) Check to ensure that any deposits made
with instructions not to be opened have not been
opened.
(e) Check, or arrange to have appropriate
technicians check, compatible equipment for any needed
repair to ensure its in good working condition.
This is optional where equipment is furnished by
the repository. Repository shall be responsible
for maintenance of equipment they furnish.
(f) Do reels of microfilm include adequate
indexing?
e. The Repository's audit shall be for receipt of
deposits only.
(1) Responsibility for accuracy of the contents of
envelopes rests with the office of origin, but
responsibility for checking receipt of the updating
records rests with the repository. The Repository
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 STATINTL
RECp1~.Wgeq,NBrF8" 3~ : CIA-RDP76-00883R000 000900844e(l)
U
Vital Records Officer is responsible for auditing
receipts of deposits to ensure that all were
received. This is extremely important because
contents of lost envelopes could be duplicated
if undertaken promptly and lack of complete
records could destroy the value of the reconstructed
record. Lost security classified records should be
reported to the originating office's Security Officer
for appropriate action.
(2) The repository may perform the audit of receipts
on a scheduled or continuing basis. When done on a
continuing basis, each discrepancy is acted upon as
it occurs. The office of origin is notified
immediately. Corrective measures taken by the
office of origin should be reported in writing to the
repository.
(3) The repository's report of audit should be
submitted 31 May and 30 November including all
discrepancies found and acted upon during the
reporting period. It is not necessary to furnish
copies of papers involved in these transactions.
A brief description of the problem, corrective action
taken, and any recommendations that may help prevent
similar problems in the future. Recommendations are
optional at the discretion of the reporting officer.
Approved For Release 2002/09/26 : CIA-RDP76-00883R000 `020090084-7