EXECUTIVE SUMMARY - RECORDS REVIEW AND DISPOSITION STUDY

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP09-01482R000300210001-3
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 12
• Document Creation Date: December 27, 2016
• Document Release Date: July 17, 2013
• Sequence Number: 1
• Publication Date: October 3, 1985
• Content Type: MEMO

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MEMORANDUM FOR:
THROUGH:
FROM:
SUBJECT:
85-65
3 October 1985
Chief, Information Management Staff
IRMB Records Disposition Task Force
Executive Summary - Records Review and
Dispostion Study
STAT1. At the request of C a task force was assembled to
address problems within the records disposition program that had
STAT been surfaced earlier by The task force reviewed current
records disposition programs to determine if disposition
objectives are being met and identified ways to improve exisiting
procedures to reduce DO file holdings.
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2. The study findings demand acceleration and logical
management of the DO records disposition programs. A Review and
Disposition component within IMS4--lor IMS, to handle all
review and disposition efforts must be established. With the
creation of this centralized component, procedures for current
records disposition programs (201 File Review, review of inactive
OPINT/OPACT files, and review of inactive files retired to Records
Center) will be realigned to better conform with records
disposition instructions contained in the DO Records Control
Schedule. Federal laws, statutes, and regulations dictate
responsibilities for an effective and efficient records
disposition process as part of our overall records management
program. Compliance with these protects DO interests
administratively, fiscall-y and legally.
3. The records disposition process dictates the timely and
systematic removal of temporary records and the designation of
permanent records having sufficienthistorical and archival values,
to warrant. immediate or later transfer to the National Archives
and Records Administration (NARA) for permanent preservation. The
nucleus of our records disposition process is the DO Records
Control Schedule. Approved by NARA, the DO Records Control
Schedule contains judgements about the life expectancy of each
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type of record and, based upon a systematic analysis of DO
records, provides a set of instructions for their disposition.
4. Records disposition has a direct and indirect impact on
the DO divisions. As file custodians, the divisions control the
destiny of old material. This responsibility requires the review
of their old records to determine whether they should be retained
or destroyed. The general attitude from file custodians is that
current viable information demands attention first. This current
information is the lifeline and heart of existence in every area
division - OPERATIONS. While the mission in the divisions is
operations, IMS is faced with meeting its legal obligation to
dispose of old material. Although little importance has been
placed on records review by file custodians, significant backlogs
at the area desks have been held to a minimum at the expense of
time that would have been devoted to operations. This file review
activity has been accomplished only through the continual
reminders from IMS. As a result, we are wearing out our welcome
when it comes to records disposition because the divisions have
neither the personnel nor the time to devote to this activity.
5. The importance of disposing of old records is not readily
apparent to file custodians. For IMS to effectively provide the
exact information needed by division personnel to make informed
operational decisions, disposal of old records is mandatory.
Through this process, valueless index records are purged from the
automated data base. As a result, IMS can expeditiously respond
to name trace requests and eliminate time-consuming research
required to locate files that have little or no relevance to any
current operations.
6. There exists a serious need to accelerate the review and
disposition of older, inactive classified material. Space
limitations and storage costs preclude us from retaining inactive
temporary records. Retaining useless automated index records not
only impairs the overall efficiency of retrieving information from
our automated data bases but also degrades our ability to respond
to requests from the divisions. In addition to inactive material
being unnecessarily accessible to FOIA/PA search and retrieval,
the DO is not in compliance with federal laws and statutes.
7. A significant factor that will further impact the
disposition process is the review of 3,956 feet of inactive
retired material scheduled for review in 1988. The review of this
large volume of material is a result of the tenth anniversary of
the 1977/78
Records Review Task Force. Unless our records
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disposition component is in place and operating, review of these
records can only be accomplished through unorthodox means -
"crisis management". Such action would mandate dedicating
operations officers to review old records full time. The
Records Review Task Force was indeed an excellent example
"crisis management". Should history be allowed to repeat
by resorting to this approach to review the 3,956 feet of
and the currently increasing backlog of inactive records?
of
itself
material
8. The task force considers that existing backlogs will be
reduced significantly and processing integrity enhanced by a
single office dedicated solely to records dispostion. Staffed by
retired annuitants with established bona fides to review files,
this function will no longer be performed by division officers.
By consolidating all disposition functions under one unit having
this total authority to dispose of inactive records (centralizing
this effort versus delegating activities to several different
components), redundancy in the review process will be eliminated
and division officers can devote their full attention to
operations; the Records Control Schedule will be followed to
standardize the destruction, disposal and retention of inactive
material, eliminating different interpretations in the review
process; and efficiency and effectiveness will be promoted with
less cost and time to meet our legal responsiblities. Ultimately
IMS will be rendering better overall support to the divisions.
9. Our Records Review and Disposition program needs immediate
attention. Left unattended, the records disposition process
transforms from timely and systematic management to 'crisis
management" governed by procedures that defeat the purpose to
destroy outdated inactive material. Taken lightly, DO interests
administratively, fiscally, and legally are no longer protected
because of non-compliance with federal laws, statutes, and
regulations.
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RECORDS REVIEW
AND
DISPOSITION STUDY
1 October 1985
Task Force
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I. INTRODUCTION
the
An
records
in
task force was assembled to study various aspects of
disposition program as recommended by
memorandum (Attachment 1). This action was
personnel had addressed, all
of records disposition (Attachments
objective of this study was to determine if
be created to centralize a continuous
of inactive temporary records. As part of the
force focused on all activities and procedures
a July 1984
precipitated by problems
pertaining to various aspects
2 and 3). The primary
a new component should
review and removal
study, the task
within the records review and disposition process that would
require immediate modification/update.
II. PROBLEM DEFINITION
A viable records disposition process dictates the timely and
systematic removal of temporary records and the designation of
permanent records having sufficient historical and archival values
to warrant immediate or later transfer to the National Archives
and Records Administration (NARA) for permanent preservation.
Based on findings, these objectives are not being met.
Problems exist in the entire records disposition process. The
general attitude permeating all DO components involved is that
current viable information demands attention first. The volume of
this current information precludes immediate processing of old
records. All components involved in the records disposition
process, with the exception of the 201 File Review Section,
are multi-tasked. The review and processing of old material takes
place when time is available or after normal duty hours as an
overtime project.
While the mission of the divisions is operations, as file
custodians they are responsible to review their records for
retention or destruction. Because the mission of IMS is to ensure
that old material is reviewed for retention or destruction, IMS
has been reminding file custodians to review old records. The
divisions, having neither the manpower nor the time, are
addressing records dispostion at the cost of operations.
individually reviews every document in a file, already
authorized for destruction by the file custodian, to determine
whether it meets current indexing criteria. If the document does
indeed meet that criteria, then the analyst must find an
appropriate active file to which the document can be
reclassified. This process of reclassification itself is so
extremely time-consuming that it is counterproductive to the
entire review effort and thwarts compliance with federal laws,
statutes, and regulations.
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III. FINDINGS
In 1981, a long-term program for the reduction of file
holdings was proposed by and approved by C/IMS
(Attachment 4). The task force found that since implementation of
that program, necessary improvements are required to the records
disposition process to promote its efficiency and effectiveness.
Division file custodians are required to review old file
material at the cost of operations.
0 Of circa 3,500 OPINT/OPACT files sent to the divisions
for review since July 1982 approximately 3,000 files
have been returned for Flprocessing. Additionally, 673
cubic feet of retired records were reviewed and 620
individual 201 files were reviewed by the divisions
during FY 1985
Sending OPINT/OPACT files to the divisions for review has
been suspended since 14 December 1984 to kee existing
backlo s to a minimum at the area desks, and
Many of the 500 files remaining at a select few operating
branches within the divisions have been pending review
since 1982 because they have neither the manpower nor
time to address disposition of those files.
Due to insuffiencient manpower, reviewing old records is
delegated to new, inexperienced, and untrained CTs or IAs
having no authority over diposition of the records. The
ability to determine whether inactive files should be
retained or destroyed is questionable.
0 The growth rate of records far exceeds the purge rate.
Current records disposition programs place the emphasis
on expediting the review process instead of the
destruction processs.
The life cycle of index records is indefinite. Criteria
for retention of index records in ALLSTAR does not
parallel the disposition instructions provided for the
corresponding paper records in the DO Records Control
Schedule, i.e., All documents are reviewed to determine
if they meet current indexing criteria regardless of the
final dispostion of the file (i.e., destruction or
retirement). This secondary review is part of the
Procedure to Authorize the Destruction of Records in
Agency Archives and Records Center (Form 141b process)
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and the OPINT/OPACT Project Procedure (applied to
pre-1962 documents) (Attachment 5).
0 Disposition processing procedures do not meet destruction
objectives for valueless inactive records and are in
conflict with criteria for retention of index records in
ALLSTAR. As a result, indexed documents are given a
whole new life cycle as they are reclassified into an
active file. When this file becomes inactive and
reviewed for disposition, the cycle repeats.
Manpower resources allocated to the records
disposition effort are insufficient to handle the large
volume of inactive records to be processed.
During the first quarter of FY 85, 250 files per month
were sent to the divisions to be reviewed. During this
same period, 50 files per month were processed by
Since the beginning of FY 83, has expended 9,093
overtime hours, costing $134,910 (based on an rate of
$15.00 per hour, time and a half), to process 1,249
files. This equates to approximately 63,438 documents,
5,017 of which were retained.
The majority of processing of inactive records takes
place within Production goals have never
been established for responsible for
performing review and disposal of inactive records.
These offices are dedicated primarily to processing
active records which take precedence over processing
inactive material.
Records disposition statistics in reveal 10 documents
per hour processed during normal duty hours; on overtime,
30 documents per hour are processed.
0 The administration of current review and disposition
exercises is decentralized. Several components are
involved and this, in turn, affects the general flow of
and the overall efficiency of the program.
A. Procedure to Authorize the Destruction of
Records in Agency Archives and Records Center (Form
141b Erocess) - This is an on-going project to
review files retired to Records Center according to
the DO Records Schedule
Personnel/Components Involved:
division/staff personnel,
OGC, and DDA/OIS
Division/staff IMO
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B. OPINT/OPACT Prolect Procedure -
This is a long term project to review operational
and subject files closed prior to 1962 and held in
Personnel/Components Involved:
Division/Staff IMO, Division/Staff
OGC, and
personnel,
C. 201 File Review and Destruction Procedure
This is a long term project to review 201
personality files open prior to 1962.
Personnel/Components Involved:
201 File
division/staff IMO,
division/staff personnel, OGC, and CI Staff.
D. ToE Secret Document Review Project -
This is a short term periodic project to review top
secret documents. This could become a long term
review project if and when is required to
conduct a review of their entire top secret holdings
which amount to approximately 91.6
Personnel/Components involved:
division/staff IMO, division/staff
OGC, DDA/OIS, and
linear feet.
personnel,
Statistics show that the 201 File Review Section,
staffed by part-time employees who are dedicated solely
to reviewing 201 files for disposition, processes an
average of fifty percent more files than the other IMS
components.
IV. RECOMMENDATIONS
Our Records Review and Disposition program needs immediate
attention. Current DO procedures for processing inactive records
are not fully meeting the objectives to destroy material no longer
of use. Rather it has been the rule to recycle documents, that
is, retain information to be reviewed again sometime in the future.
IMS must absorb the review function from file custodians
because division officers are required to spend an inordinate
amount of time away from operations to review old inactive
records.
Based on the findings of this study, it is recommended that
one component be created, consolidating all disposition programs,
and having total authority to dispose of valueless inactive
material. All disposition programs must be governed by the
Records Control Schedule as the authority for destruction or
retention of inactive records.
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It is imperative that current disposition processing
Erocedures be analyzed for incongruities related to retention of
paper records versus index records, and be modified to be
realistic, definitive, and closely aligned with disposition
instructions in the Records Control Schedule as they relate to the
destruction of inactive material.
Recommendation 1:
Revise Procedures
Immediate changes in our disposition procedures are mandatory
to promote the timely and systematic destruction of inactive
paper and accompanying digital records. Indexing criteria
currently utilized in the records dispostion process is the
major source for delay and concern in the disposition
process. Realistic and improved indexing criteria must be
established for application in processing older inactive
records as they do not have equivalent value of current
information (e.g., is it necessary to the DDO to index the
names of persons who are 90-100 years old ? - presently
occuring).
Recommendation 2.
Establish Review and Disposition Office
A centralized Records Review and Disposition component is
essential to effectively carry out the overall objectives of
the DO records disposition progam. The task force
the creation of this component within
IMS. Information Management Staff (IMS) has
responsibility in the DO for the disposition of records.
Chief, IMS is responsible for and, for legal
purposes, the custodian of the centralized indices and files
held within IMS. This new component must be dedicated
entirely to performing records disposition functions,
initiating the disposition proceedings, controlling the flow
of files or documents, and having total authority for the
disposal (destruction or retirement) of inactive records.
current disposition programs must be consolidated,
centralized, and managed by this newly established component.
recommends
the overall
All
Recognizing the realities in attempting to immediately
establish a Records Review and Disposition component and
obtaining the needed slots and personnel that are requisite,
the following phase-in method is offered:
Phase I - Revise Procedures - Change procedures as
indicated in Recommendation 1.
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Consolidate Programs - Those individuals in
201 File Review Section currently
in the records disposition process will form the
involved
foundation of this new component.
All retirements of files to Records Center will be
processed through this office; to include updating
retirement data into the CARD system, verifying audits
from CARD, purging CARD records of destroyed material,
and updating the ALLSTAR automated data base.
Phase III - Delegation of File DisEosition AuthoriLy. -
The role of the area division in the records disposition
process is small but extremely important. As file
custodians, they review the file or document to determine
the disposition, thus the decision to retain or destroy
rests solely with the file custodian. Custodial
responsibility will be delegated by the divisions to a
representative (area division officer or annuitant) who
must have the independent authority to make disposition
decisions.
0 Phase IV - Analysis and Evaluation of Staffing and Grade
Structure - The following organization and initial grade
structure is suggested:
Chief -- GS- 14 Information Managment Analyst
This individual must be thoroughly knowledgeable of laws
governing the disposition of Federal records,
specifically the DO Records Control Schedule; must have
good understanding of the ALLSTAR system and have
knowledge of or experience in DO operations.
Deputy Chief -- GS-11 or GS-12
Must have qualification same as or close to those of the
chief.
Control Clerk -- GS-6 or GS-7
Would provide administrative and logisitical support;
control flow of material within office; assign records to
appropriate analyst.
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201 FILE Unit - 8 employees GS-7 through GS-12
Experienced Area Division and IMS officers. Must be able
to research and update ALLSTAR data base. (Area division
officer should have independent authority to make
decisions.)
OPINT/OPACT and Retired Review Projects - 10 Employees
GS-7 through GS-12
Experienced Area Division and IMS officers. Must be able
to research and update ALLSTAR data base. (Area division
officer should have independent authority to make
decisions.)
Records Retirement Unit - 4 Employees GS-6 through GS-8
Experienced DO and IMS employees. Must be able to
research and update ALLSTAR data bases.
This staff of approximately 26 employees could be comprised of
rehired annuitants, full-time employees, and part-time
employees. Staffing of this component could be reduced 50%
after the 1988 file review requirement is completed.
V. CONCLUSIONS
Throughout the evolution of the DO Records System, most
responsiblities that were held by the divisions have been
subsequently delegated to IMS as records experts. However, the
responsiblity and authority to determine the disposition of
inactive records still remains within the divisions. The rapid
turnover and inexperience of personnel as well as insufficient
manpower in the divisions dictate a change from decentralized file
review functions.
This situation warrants a change in the responsibilities,
authorities, and associated procedures that govern records
disposition today. A central review and disposition component
will facilitate a long-term program for the reduction of inactive
file holdings. This component will have the responsibility,
authority, and expertise to formulate decisions regarding the
retention or destruction of inactive records, freeing up the
divisions to devote their time to operations.
The future, 1988, signals the review of 3,956 inactive retired
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(Attachment 6). By centralizing the entire program under one
independent authority and devising procedures pertinent to
inactive records closely aligned to disposition instructions in
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the DO Records Control Schedule, overall program efficiency is
promoted through the disposal of all valueless paper and
corresponding digital records.
The progressive program developed today will benefit the DO
and the Agency now and for years to come.
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