SURVEY OF OIA RECORDS MANAGEMENT PROGRAM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP88G01332R001001160005-8
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 46
• Document Creation Date: December 27, 2016
• Document Release Date: December 15, 2011
• Sequence Number: 5
• Publication Date: December 20, 1984
• Content Type: MEMO

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ROUTING AND RECORD SHEET
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? ADML'~I5TI;ATI1'L _.. I~TI:K.~AL USIi ONL]
OIS 81-651
20 December 1981
MEMORANDUM FOR: Director, Imagery Analysis
Agency Recotds Management Officer
Office of Information Services
SUBJECT: Survey of OIA Records Management Program
STAT
1. Attached is the finalized survey report prepared by this Division on
OIA's information handling and records mana ement a u ate aware,
two members of IRMD met with and STAT
of your staff to scuss t e report and to exchange ideas about STAT
implementing the changes recommended.
2. During this discussion, discussed OIA's views regarding STAT
the report ahd the recommendations. He expressed OIA's general agreement with
the report's findin s and a desire to hire an annuitant with the requisite
expertise to assist in implementing the recommendations. STAT
3. Our offer to assist you in obtaining the services of an annuitant with
the appropriate background to fulfill this undertaking was readily accepted.
We will contact two individuals that we have in process to determine if they
would be willing to work with your staff for a few months. We will inform you
of the results of these discussions as soon as possible. if neither individual
is available, we will attempt to identify another annuitant for you or to work
out some other arrangement for implementation.
4. We appreciate having the opportunity to survey your Office and the
wholehearted cooperation given to us by members of your staff during this
process. We believe that adopting the recommended changes will result in more
effective handling and storage of information in OIA, as well as greater
efficiency in the use of space and analyst time.'
5. If you or any member of your staff have an uestions or need
additional information lease contact
Attachment:
As stated
~D11dIN16TYATi~'E - li`1l:1{~AL USE UNL1
o r STAT
STAT
STAT
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? ADMINISTRATIVE - INTERNAL USE ONLY
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SURVEY OF INFORMATION HANDLING
AND RECORDS MANAGEMENT PROGRAM IN
THE OFFICE OF IMAGERY ANALYSIS
INTRODUCTION
1. At the request of the Director, imagery Analysis, a survey of the
information handling and records management procedures in the Office of Imagery
Analysis (OIA) was conducted Burin the eriod of 16 J - 31 August 1984. The
STAT
survey was carried out by members of the
information Control Branch Information Resources Management Division, Office of
Information Services, and the DI Records Management Officer (RMO). STAT
2. The D/OIA requested a records survey and paper flow study to assist OIA
in reducing its records holdings in anticipation of restructuring some division
work areas and relocating its Registry later this year. .Accordingly, the survey
focused on the Registry's unique film (imagery) services and information
handling functions, as well as the disposition of film and hardcopy collections
held by branch analysts. The survey also included a review of OIA's Records
Management Program.
3. In order to get a better understanding of how the Registry operates and
interacts with the components served, the survey team interviewed Registry
personnel and observed and discussed each function to determine the services
being provided, the methods and procedures being used, and the reasons for
operating as presently established. Discussions were also held with members of
the Executive Staff, Production Group, and the five line divisions including all
15 branches. In the process of gathering further information, interviews were
also conducted with personnel of the National Photographic Interpretation Center
(NPIC) Registry, film libcary, and printing services branch regarding the
registry support that they provide to OIA. Personnel throughout OIA and the
NPIC components were most cooperative and helpful to the survey team. The
following paragraphs summarize the survey findings, and specific recommendations
are attached at Tab A.
SURVEY FINDINGS
RELATIONSHIP WITH NPIC
1. A host-tenant relationship which has always existed between NPIC and
OIA has created a dependency on NPIC support in many areas. This relationship
apparently is a result w g agreements and physical security
considerations
2. For security reasons NPIC as the focal point for the
pickup and delivery of all mail It also provides or supports
other registry services for OIA. It controls OIA's incoming and outgoing
Sensitive Compartmented Information (SCI), receives and transmits facsimile
messages via the WASHFAX, LASERFAX and DACOM systems, receives 'cable traffic
electronically via the NPIC communication facility, pouches SCI material
overseas, disseminates a high volume of OIA finished intelligence publication8,
and also provides courier service within the building. While the NPIC Registry
should continue to provide most of these services because it has the resources
and expertise to do so, its involvement in document control and courier service
seems to fragment OIA's paper flow, cause duplication of effort, and create
unnecessary delays.
STAT
STAT
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PAPER FLOW AND DOCUMENT/FILM CONTROL
Mail that is picked up and delivered) (must be exchanged at STAT
the loading dock adjacent to the NPIC Registry. The Agency Headquarters
couriers provide this scheduled service three times a day at 0930, 1130, and
1430. NPIC provides courier service within the building twice a day at 0830
and 1330. In comparing the two schedules, it seems there are not enough
internal runs and they are not in line with the Headquarters courier schedule.
While the NPIC courier schedule may suffice for outgoing mail, incoming mail
arriving at NPIC at 0930 and 1130 must wait until 1330 for delivery and mail
arriving at 1430 must wait until the next day for delivery. Since NPIC logs
all incoming and outgoing SCI documents in its automated system, OASIS, further
delay may be experienced if documents are not processed in time to meet the
scheduled runs. NPIC's control of OIA documents, moreover, is no longer
necessary since OIA Registry has a newer automated system, Common Use Automated
Registry System (CARS), that can better handle this function.
The OIA Registry is organizationally under the Production Group. It is
staffed by four MI Career Sub-Group positions -- Records Administrative Officer
(GS-09) and three Information Control Assistants (rS-05). Althon;h OIA
Registry acts as sub-registry to NPIC, it functions more like a film library
than a registry. It does provide limited document control and registry
services for OIA correspondence, but its primary responsibility is the receipt,
control, dissemination, and destruction of imagery (satellite and aircraft
film) and the maintenance of a facility similar to a film reference library to
house copies of this imagery.
OIA Registry personnel spend the greater part of their time attending to
the film responsibilities of the office, including the control and distribution
of film to OIA components. The film is received from NPIC in packets of
individual frames (flat film) or in cans of roll film. Packets of frames are
received three times a day, while boxes of roll film arrive in bulk shipments
approximately one to three months apart. Manifests accompanying the shipments
of flat film are used by the Registry to control individual frames. OIA Form
1206 (Film Control Record) is used to control cans of roll film. However, film
control still breaks down at the registry and branch level because of unlimited
access by users to the film holdings in the registry and loose control
procedures throughout OIA.
In addition
to
control and distribution of film, the Registry maintains a
reference library
of
film received for use by the analysts. The Registry
receives its own
set
of flat film in the initial shipment, but it must build
its reference set
of
roll film as the components return the cans of film for
destruction. This procedure is cumbersome and inefficient because analysts may
hold the film for months before returning it. Moreover, it is returned minus
the film frames that have been 'chipped," thereby reducing the value of the
registry collection and further breaking down film control.
In performing its limited registry services, OIA Registry controls only
incoming SCI material and the very few Top Secret collateral documents it
receives. This control is recorded via the CARS down to the division level.
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:
The Registry sorts and slots cables and other correspondence for pickup by the
Division secretaries. The Division secretaries manually log these same
documents again to the branch level, but provide no feedback to the registry
concerning document location at that level. Outgoing collateral documents are
controlled and packaged by the Division secretaries while SCI material is
controlled and packaged by the NPIC Registry. The limited control of incoming
documents and the fragmented flow of outgoing documents restricts the ability
of OIA Registry to provide routine document handling services. It also limits
the Registry's effectiveness in serving, like most registries, as a center for
document retrieval and for providing information on the status of documents or
satisfying accountability requirements.
The Registry also services an adjacent facility housing a facsimile
machine and two hetra printers. In the past, the Registry was quite active in
this role, but has gradually reduced its participation in and control of this
operation.
OIA REGISTRY - PERFORMANCE AND RELATIONSHIPS
Operating within the framework of the Production Group, the Records
Management Officer, who is also the Chief of the Registry, has not had the
stature needed to gain the respect and cooperation of those being served,
especially:, when it comes to the reduction of file holdings or the acceptance
of changes in operating procedures. Also, the grade structure of the Registry
staff does not officially provide for one of the information control officers
assuming leadership of the registry when the chief is not available.
In discussions with all levels of OIA personnel, it was mentioned several
times that the Registry was not as responsive as it should be, that the noise
level in the office is disturbing, and the registry personnel do not seem to be
fully occupied.
This perception of the Registry can be attributed, at least in part, to
the following factors:
1. The Registry is located directly in front of the main passage to
and from OIA. The office area of the Registry is open-ended and
exposed to the view of passers-by.
2. The arrangement of the work stations in the Registry creates a
roundtable effect, encouraging unnecessary conversation at times.
3. This arrangement also requires some of the registry personnel to
sit with their backs to the registry entrance, causing slower
reaction to customers.
4. A few members of the staff are somewhat inexperienced in registry
functions. They are not sure of their role and not fully prepared
to perform some duties because of inconsistent operating
procedures and lack of written guidelines.
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5. The overall physical layout of the Registry is poor. The location
of equipment, desks, and work tables prevents efficient movement
and communication by registry personnel within the area.
6. The Registry must share its black line with another office. Also,
one registry member works at a desk without a phone.
7. The film responsibility, which is the Registry's biggest account,
creates .periods of high and low activity. The lack of more
information control duties to offset the low periods of film
activity gives the impression that the Registry is not busy
overall.
FILES DISPOSITION
Very few of the analysts and clerical personnel interviewed had ever
retired film or paper holdings to the Agency Archives and Records Center
(AARC). Most personnel did not know the administrative procedures for
transferring records to AARC nor did they know who to contact for guidance on
these matters. Also, they seemed reluctant to trust the system because they
were uninformed on how it operates and the services it provides. Therefore,
OIA records holdings in the form of film and paper have accumulated freely over
long periods of time, some as far back as the 1940s, but most?during the last
fifteen years. Film has been one of the fastest growing media in OIA's
holdings. The majority of both professional and clerical personnel indicated
that some portion of their holdings could be either destroyed or transferred to
AARC for permanent or temporary retention but they just did not have time to
review their files. This was due to a heavy workload or because it was not a
priority responsibility.
FILES MANAGEMENT
Each analyst averages at least one conserv-a-file unit containing film and
paper holdings. These files are usually kept according to the preference of
the individual analyst. The condition of these files ranges from neat and
orderly to disheveled and disorganized; the majority fall somewhere in
between. In many cases, file folders contain obscure headings, file drawers
are not labeled, and folders are filed according to frequency of use rather
than in some systematic order. There are no indexes to these files and no
standard filing systems among the analysts. This causes much reliance on the
institutional memory of the individual who maintains the file and prevents
others from retrieving documents readily, if at all. In a few divisions
analysts rely mainly on centralized branch files instead of individual analyst
files. This approach, by merging individual collections, eliminates
duplication and saves space. A central files index makes maintenance and
retrieval easier, and the centralized effect makes the files more accessible to
branch personnel. The branch concept is effective when analysts share common
target facilities. The individual concept is effective when an analyst is
responsible for a particular target.
in relation to the condition of the files, the analysts commented on the
shortage of clerical assistance in OIA. They feel the addition of more branch
secretaries and intelligence assistants would help improve the condition and
effectiveness of their holdings.
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Front Office and Division level records holdings are minimal compared to
the branches. The records consist of basic administrative files and are
generally in good condition, organized, and indexed in a consistent manner.
FILES EQUIPMENT AND SUPPLIES
The files equipment in the branches is not compatible with the different
sizes and formats of film. The inventory of conserv-a-file units, file
cabinets, film cabinets, map cabinets, and open shelf units has become a
hodgepodge collection. This is a result of individual branch acquisition of
filing equipment to accommodate the changes in film size and format, as well as
the ever-growing collection of paper records.
The shelves of many conserv-a-file units are not high enough to allow
vertical filing of the old film format. At the same time, the drawers of these
units are too high to file the latest film size, which is only 5? high, without
wasting storage space. Also, these units were not built to hold the weight of
film and are showing signs of overloading.
The film cabinets currently in use make it necessary to trim the film to
fit the 8 inch wide twin rows of each drawer. In a few months, this equipment
will be obsolete because the new film format will be 11 inches wide.
The compact movable shelving in the registry consists of 36 inch wide
sections containing adjustable shelves that are 12 inches deep. This shelving
is adequate to house the cans of roll film and the individual frames. The only
problem in connection with the shelving is a lack of suitable trays to hold the
frame film.
There do not seem to be enough filing supplies to properly maintain the
film files, and there is little uniformity in the types of supplies used.
Therefore, analysts sometimes have to spend valuable time taking makeshift
steps to meet filing needs. For example, plastic sleeves protecting large
frames are being cut down to reuse for the new smaller size. The same is being
done with the manila file jackets used to hold the film. Even cardboard boxes
used to ship the film are being used as file containers.
OIA is not officially on record fn the Agency Forms Program as the
originating office or office of primary interest for the forms they have
created. This is because OIA looks to NPIC for forms assistance and printing
services. By not going through the Agency forms manager nor following the
established procedures of the Agency Forms Program, a number of problems have
arisen.
It is difficult to identify OIA originated forms. Some OIA forms carry
NPIC form numbers and some do not have any form number. Some NPIC forms have
been slightly revised for use by OIA without changing the original form
number. This further confuses identification of the originating office.
Neither NPIC nor OIA could provide documentation identifying all OIA forms.
Through visits with the OIA graphics shop, the NPIC registry; and the NPIC
printing services branch, at least twenty forms were eventually identified as
OIA forms.
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AL171[v1J'1'!tA'1'1VC; - 1fV'1'r;HNAL U5E ONLY
The OIA forms system is confusing, inconsistent, and inefficient. it has
no organized method to handle the design, approval, reprint, consolidation, and
reproduction of new, reprinted, or revised forms. Also, it does not provide
for systematic storage and replenishment of forms. The component RMO is
normally responsible for coordinating all phases of the forms process; this is
not the case in OIA.
REPORTS
OIA produces various types of intelligence publications. Publications are
done on a periodic or an ad hoc basis in the form of intelligence assessments,
research papers, reference aids, and typescript memoranda. These publications
contain short- or long-term analysis of specific programs, target areas, and
facilities.
During discussions with analysts, it was noted that the record case files
created when producing publications are not being maintained in accordance with
the disposition instructions of the DDI Records Control Schedule, Item 19a(1),
.titled Intelligence Publication Files. These records are considered permanent
and should be transferred to AARC on a yearly basis. The files consist of
background papers and supporting documents such as terms of reference, working
papers, drafts, outlines, distribution lists, memoranda, and a copy of the
finished report. These files are currently held intact in OIA for various
lengths of time and then destroyed or broken down and interfiled in other
holdings. There are no established procedures for handling these records in
accordance with the Records Control Schedule.
Similarly, the maintenance of supplemental copies of OIA publications is
not in accordance with Item ].9a(3) of the DDI Records Control Schedule which
governs the distribution of supplemental copies of DDI publicatiops.
Throughout OIA multiple copies of OIA publications are being held for this
purpose by Division secretaries, individual analysts, and branch chiefs. These
holdings consume valuable storage space and are unnecessary since AARC receives
as part of the standard distribution of these publications, a sufficient amount
to handle this responsibility.
AUDIO/VISUAL RECORDS
The DDI Records Control Schedule is the official document governing the
mandatory disposition of the audio/visual records of the DDI Offices. However,
the schedule does not contain an item identifying a file series covering
analysts' unique film holdings. Therefore, it is not clear how long OIA should
retain an item such as a long-term chronological film collection of a target
that would be extremely difficult or impossible to recreate.
The schedule currently provides for film to be deposited at the Agency
Archives and Records Center on a temporary basis for six years. Unique film
collections may require a longer, if not permanent, retention period. It is
the responsibility of the user and the RMO to appraise these collections to
determine if longer retention is warranted.
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MACHINE-READABLE RECORDS
Machine-readable records are being created by some analysts on the VM
system. These automated data bases are being used by the analysts to create
files containing excerpts from hard copy reports, to manipulate text and
figures, and to keep a chronological log of key citings of target facilities.
However, the paper back-up to these automated systems is still being
maintained. This practice creates duplicate records in some cases which may be
eliminated at a later date.
MICROGRAPHICS
Microfiche is used throughout OIA, but no major application exists at this
time. The microfiche is being used mainly to reduce hard copy holdings which
have little reference activity such as periodic reports, studies, manuals,
predicts, and old administrative files. The microfiche readers in OIA are of
the older variety and few in number. Even though microfiche can be read on the
analyst's light tables, it is used very little because microfiche is cumbersome
to maneuver fn target comparisons and suffers from degraded optic quality.
CLASSIFICATION AUTHORITY
Overall, oiA's effort is consistently strong in meeting its responsibility
to protect classified information. This is especially true in determining the
appropriate classification and controls relating to imagery derived data which
make up the greatest percentage of OIA created documents. Determining the
classification of collateral information seems to be more challenging because
the need to do so occurs infrequently. Nevertheless, OIA clerical and
professional personnel seek guidance from the designated SCI Contirol Officer
who is responsible for OIA compliance with national policy guidelines for
classification, compartmentation, and control of classified information. The
SCI control officer ensures compliance by providing informal briefings,
conducting periodic reviews of OIA produced documents, and distributing
condensed versions of classification literature. OIA received a letter of
commendation on its classification procedures as a result of the last
inspection conducted by the Information Security Oversight Office (ISOO).
DIRECTIVES
OIA notices and directives are produced and distributed in a f ormal and
systematic manner. The secretary to the Director of OIA maintains the
numerical sequence for controlling issuances and retains copies of active and
rescinded issuances for reference and archival purposes.
In addition, a set of Agency regulations, notices, and handbooks are
maintained and controlled by the Director's office for use by all.
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1. Broaden the Role of OIA Re istry by Transferrin4 Certain Functions from
NPIC Revistrv.
The pending move of OIA to Headquarters warrants that its Registry
become more self-sufficient and less dependent on NPIC registry support.
Through such independence, the efficiency of OIA's paper=flow and document
control would increase greatly, the additional duties performed by the
Registry would provide a consistent work load, and the improved service
provided by the Registry would raise its credibility and gain the
confidence of those being served. Outlined below are the basic functions
that would be added to OIA Registry.
a. The OIA Registry should perform the SCI control functions for OIA
SCI correspondence.
Currently, NPIC Registry performs this function. This is a
partial duplication of OIA's internal control and sometimes
delays mail arriving to OIA.
b. The OIA Registry should be the initial focal point to receive OIA
correspondence; the Headquarters mailroom should b quested to
sort and bag OIA mail separately from the STAT
.,,,W ~., a..,,..___, _ ..___ mail that
Currently, OIA mail fs received by NPIC Registry along with the
,.as, c..~ _.~__ __--
unnecessary delays in ma delivery to OIA because of the-heavy
volume of correspondence that NPIC must sort, control, and
deliver.
c. OIA Registry should prepare all outgoing mail for transmittal via
the Agency mail and courier system.
Currently, outgoing collateral documents are receipted and
packaged by the Division secretaries, while outgoing SCI
documents are receipted and packaged by NPIC Registry. The
fragmented flow of outgoing correspondence limits the ability
of the OIA Registry to serve as a focal point for document
accountability or responding to queries concerning the location
or status of outgoing documents.
2. Augment or Replace the Internal Courier Service Between NPIC and
OIA.
OIA Registry should provide its own courier service between NPIC
registry and OIA to coordinate more effectively the flow of OIA mail with
the three scheduled courier runs from Headquarters which are at 0930, 1130,
and 1430. An alternative would be for OIA Registry to augment the two
existing NPIC runs at 1000 and 1500 hours to reduce the layover time for
mail. While the current schedule of internal runs may be adequate for
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outgoing mail, the number of runs for incoming mail is inadequate. As
previously noted, mail arriving at 0930 and 1130 must wait until 1330 for
delivery and mail arriving at 1430 must wait until 0830 the next day to be
delivered.
3. Expand the Use of the Common-Use Automated Registry System (CARS) and
Provide an Additional Delta Data Terminal for OIA Registry.
OIA Registry should increase the use of the CARS capability to control,
track, locate, and retrieve documents. To be able to respond to queries or
requests for documents, and for accountability purposes, OIA Registry
should expand document control to include all collateral Top Secret
documents, selected collateral documents of lesser classifications, and all
outgoing SCI material. An additional terminal would be needed in the
registry to enter the increased volume of data.
Only incoming SCI documents and some collateral Top Secret documents
are currently entered into the system. Control of collateral Top Secret
documents is split between the Registry and the Production Staff.
Moreover, important substantive documents of lower classifications and most
outgoing SCI documents are not being controlled via CARS. This practice
reduces the system's effectiveness by excluding documents it should track
and control.
4. Eliminate Manual Log ing of Documents by Division Secretaries.
All OIA correspondence should flow through the OIA Registry. Through
the expanded use of CARS, not only .would incoming and outgoing
correspondence be controlled, but the fntra-office movement of
correspondence would also be controlled. Documents passing between
divisions or branches would be routed through the registry so that the
document location could be updated and centralized control would be
maintained.
Currently, the OIA registry controls only selected incoming documents
to the division level. Division secretaries control the same documents
again to the branch level, but there is no feedback to the registry to
update their information. This decentralized procedure causes unnecessary
duplication, incomplete control data at both levels, and loss of a focal
point to track documents.
5. Upgrade One of the Information Control Positions in the OIA Reaistry.
One of the information control positions in the Registry should be
upgraded to the GS-07 level. This would assist in freeing the registry
chief to actively pursue his role as the Records Management Officer and
create a backup to the RMO when he is unavailable.
Currently, the three information control positions are at the GS-06
level. if the Registry receives the additional duties recommended, a
backup position.will have sufficient responsibility to warrant upgrading.
This position also would be officially recognized as the one expected to
provide instruction and leadership when needed.
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6. Establish an Additional Position in the OIA Registry to Handle the Film
Control Function.
The main function of the OIA Registry is that of operating a film
library. To fulfill this responsibility properly, a position should be
dedicated solely to this activity. The ideal control of film would require
service provided separately from the routine registry services (See
Recommendation No. 7). Also, if the Registry provides the additional
document control and mail handling services recommended, the combination of
the dedicated film service and the extra registry duties will warrant an
additional position.
7. Establish an OIA Film Reference Service to Operate Inds endently Within the
Registry.
A film reference facility should be established adjacent to or in the
new registry area. This facility should operate similarly to the NPIC film
library. Access to film would be physically restricted by over-the-counter
service provided by a dedicated individual who would maintain charge-out
procedures. Film control would be automated with a system similar to the
OASIS system used by NPIC which requires basic data such as the person's
name, bade number,~room number, and extension.
When searching for film in the Registry, analysts currently have to
deal with cumbersome manual procedures. They have access to film in the
Registry and handle the administrative charge out procedures themselves=
therefore weakening film control and accountability. Over-the-counter
service and automated control would free analysts from dealing with
confusing manual systems for filing, controlling, and locating film, and
would strengthen film accountability.
8. Initiate a Concerted Effort to Reduce Records Holdings in OIA.
The Records Management Officer should make a concerted effort to inform
OIA personnel about the Agency Records Management Program. He should
advise them of the disposition instructions for schedule items and provide
guidance in the administrative process of transferring records to the
Agency Archives and Records Center (AARC). To encourage participation and
inform OIA personnel, tours of AARC should be scheduled for OIA branch
chiefs, analysts, and clericals. These tours should include briefings and
demonstrations to show how the system woiks.
OIA is beginning to experience a space crunch in most work areas
because of growing files which require additional storage equipment. In a
few months a new collection system is expected to increase incoming film
from 600 frames per day to 2,000 per day. Moreover, the pending
restructuring of some division work areas and relocation of the Registry
later this year should provide additional impetus to begin reducing
records. It is?estimated that OIA records holdings could be reduced by
one-third through destruction of unnecessary holdings and transfer of
temporary and permanent records to the AARC. A good way to start would be
to destroy the extra, supplemental copies of OIA publications.
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9. Remove OIA Registry Organizationally From the Production Staff and Place It
Under the Executive Staff of the D/OIA.
The OIA Registry should be placed organizationally under the
Administrative Branch of the Executive Staff to allow more direct
communication with the front office and regular managerial review to ensure
efficient operation.
Being located organizationally under the Production Group has not given
the Records Management Officer, who is also the chief of the registry, the
authority necessary to gain the cooperation of those being served. This is
especially true in the area of reducing files holdings or accepting
procedural changes. The RMO needs to be more visible in his role but he
also needs backing and support from top management. The RMO could be a
greater asset to OIA clericals and officers in providing guidance on
information handling and records management problems.
10. Establish Uniform Procedures for Document Handlin and Control.
Standard operating procedures should be established and documented for
the Registry personnel to follow. OIA Notices should be used to advise and
inform OIA personnel of the established functions of the Registry and the
new mail flow procedures.
The lack of written instruction or guidelines to establish the function
of OIA Registry has left the offices it serves unsure of what registry
functions are available to them. The lack of established procedures in the
Registry also has resulted in disparities in the control and dissemination
of documents. Registry personnel need updated profiles t'o distribute
cables, reports, and NID items. The lack of clear reponsibilities has
resulted in requests for support occasionally being discouraged or not met
on a timely basis. Thfs, in turn, has led to situations where the registry
has been bypassed and NPIC Registry has been consulted for advice or
support.
11. Standardize Files Equipment and Supplies
Procuring filing equipment to accommodate film and hard copy holdings
in the branches should be a coordinated effort among the OIA divisions,
particularly for metal cabinets to house the new 11 inch wide frame film.
The present film cabinets will not accommodate this new film size, which
will be in use within a few months. Conserv-a-file units designed with
roll-out shelves high enough to allow lateral filing of the old larger
frame film and split shelves to hold trays of the new wider frame film
should be procured. The units currently in use are not designed to meet
particular film needs or built to hold the weight of film.
Supplies needed to maintain film files should be consistent among the
branches for practical purposes and economical reasons. Under the auspices
of the RMO, analysts should meet and exchange ideas and suggestions for
uniformity in this area. Analysts are using various commercial supplies,
cannibalizing old supply materials, of using items not intended for that
particular use.
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The compact movable shelving currently used in the registry is
adequate to continue to house the registry film collection until the
move to the Headquarters area. However, it must be determined if this
shelving can withstand the internal move when the registry is relocated
The only item needed is suitable trays to hold the
Metal trays for use with the shelving should be special
12. Establish an OIA Forms Pro ram.
OIA should request the guidance and assistance of the Agency forms
manager in setting up a coordinated forms program and follow the
established procedures of the Agency forms system. Operating in this
fashion, the OIA forms program would be strengthened so that it could
overcome the problems it is experiencing today.
OIA currently has no organized method to handle the design, reprint,
consolidation, and reproduction of new, reprinted, or revised forms. It
also does not provide for systematic storage and replenishment of
forms. By assigning responsibility for forms to the RMO, xn orderly
process for the design, printing, and replenishment of management forms
can be instituted.
13. Institute a Policy for Protection of Record Case Files of DDI
Publications.
oIA should establish criteria for the creation of the case files of
OIA publications and inform the analysts of their responsibility to
maintain them in accordance with the DDI Records Control Schedule, Item
19x(1), entitled Intelligence Publication Files.
Record case files are not being maintained in any standard format,
nor are thel+ being kept in compliance with the records schedule.
14. increase Clerical Assistance in the Branches to Im rove Files Mana ement.
Increased clerical support to the analysts by the addition of branch
secretaries and intelligence assistants would relieve analysts of time
consuming duties such as labeling film, trimming frames, collecting film
from the registry, etc. This support would also benefit the analysts in
keeping pace with maintenance of their records holdings. With this
addition, branch files would be more widely used, and individual
analysts' files would be better organized. File folders and file
drawers would be appropriately labeled. Files would be organized,
standard filing systems would be used, and indexes to file and retrieve
data would be created and maintained.
15. Update DDI Records Control Schedule.
Unique film collections and machine-readable data bases should be
considered for inclusion in the DDI Records Control Schedule.
Tom Yeeles, the DI Records Management Officer should be contacted for
guidance and assistance in the preparation and inclusion of these items.
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STAT
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This schedule, which governs the mandatory disposition of the
records of DDI offices, does not contain schedule items identifying
files series covering the unique film collections or automated data
bases created by the analysts.
16. Consider the Applications of the Automated Microfiche Storage and
Retrieval Systems (AMSRS) at the Branch Level.
A system that would encourage greater use of microfiche,
significantly reduce paper holdings, and increase productivity of these
files through easier access should be considered for use at the branch
level.
AMSRS interfaces a microfilm store with existing computer systems to
be used for the storage and retrieval of hardcopy material in the branch
analysts' files. By using an automated index to hardcopy material
converted to microfiche, a standard computer terminal could be used to
retrieve information from an automated data base or from a microfiche
store. AMSRS is currently being used operationally in SOVA? with
considerable success.
17. Include the Facsimile Machine and Hetra Printers in the Planned
Relocation of the Registrv.
The facsimile machine and hetra printers should be included in the
planned relocation of the Registry, preferably within the new registry
area.
The registry services an adjacent facility housing a facsimile
machine and two hetra printers. In the past the Registry was quite
active in this role, but has gradually reduced its participation in and
control of this equipment. Both of these operations will be included as
standard services in future registries (Information Services Centers)
planned for Ames Building and the new Headquarters Building.
18. Establish a time frame Office-wide for Returnin Roll Film From Each
Mission to the Registrv.
Tighter guidelines should be established for the return of roll film
to the registry for destruction or storage. This procedure would
eliminate the unnecessary accumulation of film in work areas, reduce
security concerns, and enable the Registry to build a reference set
sooner.
The length of time roll film is currently held in the branches
before return to the Registry depends more on personal preferences of
the analysts than a particular requirement. Lack of storage space in
the branches seems to be the main driving force to return roll film.
The Registry provides the branches with a schedule to return film for
destruction, but it is not enforced and thus film remains in the
branches longer than desired.
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15 July 1985
MEMORANDUM FOR: Director of Research and Development
Agency Records Management Officer
Office of Information Services
SUBJECT: Survey of ORD Information Management Program
1. Attached is the survey report prepared by the
Information Resources Management Division (IRMD) on ORD's
information handling and records management practices.
Representatives of IRMD recently met with members of your staff
to discuss the report in draft and exchange views on the survey
findings and recommendations. As agreed in that meeting, we
have incorporated some minor changes in the final report. We
are now officially submitting the approved report to you for
implementation.
2. During the discussion of the report, your
representatives expressed ORD's general agreement with the
recommendations and a desire to see a number of them implemented
as soon as feasible. Members of IRMD will be available, if
needed, to offer assistance or guidance in implementing these
changes.
3. We appreciate the opportunity you provided us to survey
ORD and the wholehearted cooperation given by members of your
staff. We believe that adopting the recommended changes will
result in more effective. handling and storage of information in
ORD, as well as greater efficiency in using this information.
4. If you or any member of your staff have any questions
or need a findin s lease
25X1
25X1
25X1
LOGGEt~, .
Attachment:
As stated
Administrative - Internal Use Only
When Separated From Attachment
C-O-N-F-I-D-E-N-T-I-A-L
1
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SURVEY OF
OFFICE OF RESEARCH AND DEVELOPMENT
INFORMATION MANAGEMENT PROGRAM
1. A survey of information handling and records management
procedures in the Office of Research and Development (ORD) was
conducted during the period 11 March 1985 - 8 A ril 1985. The
survey was carried out by members 25X1
of the Information Resources Management Division, ice of
Information Services (OIS).
2. The purpose of the survey was to review the ORD ..
information management program to determine its effectiveness
and compliance with Federal Regulations, and at the same time
provide an opportunity for OIS to better understand ORD's
Information Services Center (ISC) support requirements since its
registry operations were assumed by the Ames Building ISC.
3. The survey team interviewed members of all ORD staffs,
groups, and divisions to gain an understanding of how these
components manage information and interact with the registry.
Discussions were also held with registry personnel, and each
registry function was observed to evaluate the services
provided, the methods and procedures used, and the reasons for
operating as currently established. Personnel throughout ORD
were cooperative and helpful to the survey team. The survey
findings are summarized in Section B, end specific
recommendations are included in Section C.
1. Correspondence Flow and Control
All ORD correspondence flows through the Ames Building
Information Services Center (ISC)l. Mail is picked up and
1During the survey the ORD registry functions were
transferred to the Ames Building Information Services Center
(ISC). The ISC is now performing all of the services previously
provided by the ORD Registry. When renovations to the ISC are
completed, it will assume responsibility for laser printer
operations now performed by ORD.
Administrative - Internal
Use Only Except As Marked
WARNING NOTICE - INTELLIGENCE
SOURCES OR METHODS INVOLVED
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delivered three times a day by the Ames Building courier--at
0930, 1130, and 1430. The ISC receipts, controls, and opens or
wraps most of the incoming and outgoing correspondence for ORD
components. Processed correspondence is slotted in the ISC and
brought to ORD for pickup by ORD personnel. In addition to
providing routine document handlin services ISC ersonnel ick
up mail three days a week 25X1
Also, a facsimile device to send and receive 25X1
documents electronically is maintained in the ISC. 25X1
Approximately half of the correspondence processed through
the ISC consists of'Sensitive Compartmented Information (SCI)
documents, Top Secret collateral documents, and selected
documents of lesser classification, which are controlled by the
ISC to the division level. The system ORD employs to account
for and track documents is consistent and efficient. There are
no redundant efforts to control documents at the division level
because internal correspondence flows back through the ISC,
where the control records are updated, before being sent to the
next office. The ISC maintains document accountability for ORD
material via the Common-use Automated Registry System (CARS)
which is updated by an individual who is familiar with ORD
document control requirements.
An audit of ORD's Top Secret collateral documents and
procedures for controlling these documents was recently
conducted by the Agency Top Secret Control Office. The audit
demonstrated that ORD is complying with requirements for
handling this material as outlined in
2. Files Management
The majority of ORD records holdings, which consist of
Research and Development (R&D) project and contract files, are
maintained in centralized division or branch files. Files kept
on an individual basis are mostly working files. This central
maintenance of office files is a good practice because it
eliminates duplication, saves space, and makes the files more
accessible to others. The filing systems employed in ORD are
generally appropriate for the records being maintained. The
system most commonly used is case filing--the files are arranged
alphabetically using the filing feature most often requested in
retrieving them.
Overall, the files are in good condition and well organized;
however, there seems to be some inconsistency in determining the
contents of the project and contract files. The ORD project
files are permanent records, while the contract files,
maintained by the ORD Contract Staff for the Office of
Logistics, are temporary records. Both types of files, however,
are referred to interchangeably as project or contract files by
ORD employees.
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Because the ORD project files are considered synonymous with
contract files, the contract files at times are relied upon as
the official file containing all documentation on .a given
project. As a result, some of the project files are incomplete
and may even be inadvertently destroyed. Since the contract
files are temporary records, they too are eventually destroyed,
which could leave no complete record of the expenditure of
manhours and money on some ORD projects. Aside from the legal
questions potentially involved in destroying this documentation,
the lack of an established standard criteria or guideline for
the contents of the, project and contract files also complicates
the maintenance of these records. For example, it causes the
Contract Staff to maintain additional documents in their files
that should be in the ORD project files.
Administrative records throughout the office mainly consist
of chrono files, travel files, security files, and some
miscellaneous housekeeping files. These records are not
maintained in a consistent manner and no standard filing system
is being used. In some cases the same document may be found in
a number of different files within a division; this is
especially true in the case of chrono files. During
discussions, some ORD personnel mentioned it was difficult to
retrieve documents from administrative files, because there are
no uniform subject file categories being used.
Another area of concern is the maintenance of vu-graph
holdings at both the Office of the Director and the division
level. The D/ORD vu-graph collection 'is backed up by a
duplicate set held in the Planning, Programming & Budgeting
Branch (PPBB) with an additional collection of older, less-used
vu-graphs.
In the past, the collections of vu-graphs at both levels
were indexed by title with a corresponding number assigned to
the vu-graph. This system has broken down because vu-graphs are
randomly switched from one briefing package to another and no
charge-out system is being used to control and track them.
Furthermore, housing the two collections in separate locations
weakens access control and hampers the updating of both sets.
PPBB is responsible for maintaining the backup set of
vu-graphs and is expected to provide vu-graph support to D/ORD
when called upon to do so. Often times the D/ORD set is updated
or changed and the back-up set in PPBB is overlooked, creating
confusion and reducing the value of the second set.
Periodically, D/ORD needs to use vu-graphs which are held in
the divisions. Currently, the divisions have no established
procedures or guidelines to readily locate or retrieve
vu-graphs. These vu-graphs are difficult to locate at times
because they are not indexed and are kept either in the
Contracting Officer Technical-Representative's (COTR) working
files or itl.some other decentralized fashion,. throughout the
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divisions. It is even more difficult to locate vu-graphs when
the COTR is unavailable. Currently, these vu-graphs held in
division areas are updated on an ad hoc basis. COTRs
unanimously feel that this is the most practical method because
it results in the vu-graphs being updated only when needed,
thereby limiting the creation of unnecessary vu-graphs.
3. Filing Equipment and Supplies
The filing equipment in ORD consists mainly of safes,
lateral file units (conserv-a-files) and microfiche cabinets.
This equipment is compatible with the types of records stored in
ORD and conforms to requirements of security, building structure
(floor load), and arrangement of office areas.
Standard two-drawer, four-drawer, and five-drawer safes are
used to satisfy storage requirements in office secure areas as
well as non-secure areas. Normally in secure areas, lateral and
shelf file equipment is recommended because it uses floor space
efficiently, speeds filing and retrieval, and costs less than
safe-type storage equipment. ORD's use of safes in secure
areas, however, complies with the security requirements for
outlying buildings specifying that sensitive compartmented
information (SCI) material be stored in safes even if in a
secure area unless a waiver is granted. Within ORD the Agency
objective to replace all Remington Rand safes in outlying
buildings with security approved safekeeping equipment also has
been fulfilled.
The filing supplies used in ORD are a combination of
standard and non-standard items. Readily available standard
filing supplies are used throughout ORD to maintain the majority
of the administrative files, but limited use of color-coded
files, hanging files, and green heavy-duty file folders occurs
in some ORD components. The most frequently used non-standard
file items are the special printed, hardboard, contract file
folders used for both the contract files and the project files.
These folders are a stock item approved for use by the Office of
Logistics specifically to maintain contract files. The less
expensive Agency standard file folder could be used for the
project files, but ease of document retrieval may outweigh other
considerations in ORD's employment of contract folders.
4. Files Disposition
ORD records are not being transferred to the Agency Archives
and Records Center (AARC) in accordance with the disposition
instructions of the DS&T records control schedule. In most
cases the transfer of project files to AARC is prompted by the
need for storage space. This is evidenced by the pattern of
numerous small deposits at AARC rather than larger, scheduled
deposits. In some isolated cases, official files are being
destroyed rather than transferred to AARC for permanent
retention.: Also, temporary records such as chronos and other
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administrative files are k~eing kept longer than their retention
time established in the records schedule.
Files disposition should be a shared responsibility of the
office records management officer (RMO) and the division records
custodians. The lack of appointed records custodians in ORD
hinders efforts to manage these records. Moreover, ORD has not
had the benefit of an RMO who did not have other primary duties
that detracted from efforts to perform the files disposition
function. Having the responsibility as Chief of Registry and
Freedom of Information Officer has prevented the RMO from taking
a stronger role.
The records control schedule currently being used in ORD has
been in existence since 1977. While it has been adequate, to the
task, it is broad in scope and confusing to anyone with little
records experience. A new DS&T schedule covering ORD records
has been prepared but has not yet been approved by the Archivist
of the United States.
Few of the officer and clerical personnel interviewed had
actually participated in efforts to reduce their records
holdings or transfer them to AARC. Even fewer were aware of the
disposition instructions of the records control schedule that
applied to their records. This has led to records being held in
office areas beyond the retention time cited in the records
control schedule.
There has been no major effort to ,reduce these holdings
within ORD in the last four years. As a result, records have
gradually been accumulating and ORD is beginning to experience a
shortage of records storage space. This seems to be reflected
in the reduced footage of records transferred to AARC during
this time. The turnover of ORD personnel, both officer and
clerical, has had a negative impact on the disposition of these
records due to the loss of continuity in following established
records procedures.
5. Machine-Readable Records
It is an objective of the Office of Information Services
(OIS) to include machine-readable records in office records
control schedules. To meet this objective, OIS plans to assist
Agency components in drafting such schedules. The ORD
machine-readable data bases listed below, which reside in the
Virtual Memory System (VM), need to be considered for inclusion
in the draft schedule:
--
ORD TRAIN
- Management
Staff
--
ORD LOG
- Management
Staff
--
FUND STATUS REPORT
- Planning,
Programming
& Budgeting
Branch
--
PAM
- Advanced Concept Staff
--
I~2AD3
- Advanced Concept Staff
4
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When the PAM ABSTRACT INDEX (PPBB) and other ORD systems become
operational, draft schedules will be prepared to cover them as
well.
Users of these data bases expressed some dissatisfaction
with the ORD TRAIN and ORD LOG systems. They felt that the ORD
TRAIN system is slow and cumbersome to operate, most menus
require complete re-entry of all data when errors occur, and
overlapping data must be entered into three different menus.
Also, the information contained in the ORD LOG data base is
seldom used; therefore it is not kept current.
The need for creation of additional data bases to bridge
gaps in ORD's retrieval and research capabilities was brought to
our attention throughout ORD. To fulfill this need, ORD efforts
are being directed toward creating data bases to supply a
standardized index of key words for ORD components to track
ongoing projects and research past projects, to build an index
of final project reports for ORD personnel to retrieve data
concerning previous projects, and to establish a joint data base
for ORD components to share similar information currently
maintained in separate systems.
Also, the need for a standalone system to protect bigot and
sensitive information was raised by ORD personnel. The Chief,
Data Management Branch, referred to the following standalone
systems that are being considered for use by the Collection
Technology Group and the Processing and Analysis Technology
Group to meet this requirement: ,
-- WANG 75PC03T - certified tempest tested and has a
removable hard-disk cartridge for overnight safe storage1
-- IBM 3270 PC - certified tempest tested and has a
removable floppy disk for overnight safe storage.
-- Apple Macintosh - will not be tempest approved until
July 1985.
6. Micrographics
There currently are no major micrographics applications in
ORD. In the past, a program to convert entire project files to
microfiche for permanent retention was in effect. The hard copy
documents were destroyed upon verification of the microfiche.
This procedure was stopped around 1975 because of difficulty in
conducting FOIA searches via microfiche, a lack of microfiche
equipment, and the reluctance of project officers to use
microfiche. Project files have been deposited at AARC in hard
copy form ever since this procedure ceased.
While conversion of the entire project file to microfilm may
no longer be feasible, maintaining a collection of the final
project reports in microform could benefit ORD as a reference
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tool in its library. A systematic manner for providing
microfiche copies to the library must be established to ensure
that the collection is appropriately maintained.
7. Directives
Within ORD, office notices are produced and distributed in a
formal, systematic manner. The ORD Support Branch maintains the
numerical sequence for controlling ORD General Notices and
maintains copies of active and rescinded issuances for reference
and archival purposes. The Support Branch also maintains the
official set of Agency regulations, notices and handbooks for
use by all ORD personnel. The RMO serves as the ORD
distribution officer for Agency regulatory issuances, and routes
copies of Agency regulations, notices and handbooks to ORD
components for information purposes.
8. Forms
Approved Agency forms, Standard Forms, and other Government
forms are used throughout ORD. ORD components follow the
procedures established by the Agency's forms management program
and call upon the Agency forms manager for advice as
appropriate. ORD is currently on record in the Agency forms
program as the originating office or office of primary interest
for only two forms. As the originator of these forms, ORD
components coordinate on their design, approval, reprint,
revision, consolidation and elimination as well as their
systematic storage and replenishment. The use of bootleg forms
in ORD is minimal and their usage rate does not warrant their
inclusion in the official forms program.
9. Information Security
ORD has encountered no major problems in meeting its
responsibilities to protect classified information. This is
especially true in determining the proper classification,
markings, and citations for ORD correspondence. However, during
an inspection of ORD's information security program by a
representative of the Information Security Oversight Office
(ISOO), some inconsistency in portion marking of ORD classified
documents was noted. During discussions with the OIS survey
team, ORD personnel mentioned they were unsure about the use of
control designators (i.e., NOFORN, NO CONTRACT, ORCON, etc.).
These minor inconsistencies exist because there is no focal
point in ORD to monitor the classification program and to
provide guidance and assistance in this area.
10. Vital Records
The purpose of the Agency's Vital Records Program is to
ensure that essential information is available to continue
Agency activities in the event of a local disa"s ter or national
emergency. Each component should have a cuCrent Vital Records
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Schedule that provides for the off-site storage of duplicate
vital records for use in case the operating records are
inaccessible or destroyed. ORD currently has no Vital Records
Schedule; however, the ORD RMO is working with the~Directorate
RMO to develop a schedule to cover essential ORD records.
2. Appoint Assistant Top Secret Control Officers at the Group
Level.
The ORD RMO, as Area Top Secret Control Officer, currently
performs all control functions for TS documents charged to ORD
by the Ames Building ISC. There are no Assistant Area Top
Secret Control Officers to provide support at the group level.
A recent inventory of ORD's procedures for the
accountability and handling of collateral Top Secret documents
revealed no discrepancies. Nevertheless, to strengthen its Top
Secret control program, ORD should designate an Assistant Area
Top Secret Control Officer for each group to perform subordinate
control and distribution functions in support of the Area Top
Secret Control Officer.
3. Establish standardized criteria for the contents of the
Project F1 es.
There is no current office policy that establishes the
criteria for the material to be maintained in the project file.
The lack of an established criteria or guideline to distinguish
the contents of the project file from that Qf~the contract file
8
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hampers the maintenance and use of these records. The contract
file is relied on more by office personnel for project
information and as a result, project files at times are
incomplete and even destroyed. Also, reliance on the contract
file is not a good practice because of its temporary retention
time.
ORD should establish a standard guideline that identifies
the criteria for material to be stored in the project file.
Adherence to this criteria would ensure completeness of the
project file, encourage reliance on it, increase its usefulness
and value as the official permanent record of the project, and
eliminate unnecessary duplication of documents in both contract
and project files. In addition, COTRs need to be reminded of
the legal requirement to preserve and protect material in,
project files which are permanent records of the Agency.
Discussions with COTR's and members of the Contract Staff
led to the following list of documents that should be retained
in ORD project files:
Request for proposal (RFP)
Contractor's technical proposal
Contractor's cost proposal
Copy of the contract and any addendum
Project Approval Memorandum (PAM)
Contract funding justification (Form 2420)
Proposal audit report
COTR inspection reports on contractors performance
Contractor's technical reports:
Contractor's financial status reports
COTR's final inspection report
COTR's specific trip reports
Contractor's final report
Manuals, charts and drawings
All documents pertinent to the administration of the
project
4. Adopt a standard file system for ORD Administrative Files.
ORD support personnel noted that they had difficulty in
filing and retrieving documents relating to administrative
records. The subject file categories in use are inadequate and
these records are not maintained in a consistent manner
throughout ORD.
The file system recommended for filing administrative
records throughout the A enc is the ubject File Classification
System shown in This system is designed 25X1
to be tailored to in ividua office filing needs. All ORD
components should adopt the Agency subject filing system to
improve the usefulness of their administrative records. The
.office RMO can provide assistance to component personnel in
setting up this system.
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5. Reduce duplication of Chrono Files.
Chrono files are being maintained in ORD at the office,
group, and division levels. In addition, each division
maintains a secondary Chrono file broken down by individual
analyst, and the analysts also maintain their own chronos.- This
multiplicity of Chrono files results in unnecessary duplication
of records.
The secondary division Chrono files should be discontinued;
the same information is held in the primary division Chrono file
and by the analysts themselves. In addition, the office-wide
Chrono file inherited by the RMO from the former registry
operation further duplicates ORD Chrono holdings. It either
should be eliminated or should be maintained no longer than six
months for ready reference only.
6. Establish procedures to organize and control ORD vu gra hs.
ORD vu-graphs currently are not maintained or controlled in
an organized manner. Vu-graph collections are not indexed and
no charge-out systems are used. The lack of an index or
charge-out system makes it difficult to readily retrieve
vu-graphs and frustrates efforts to track and update them. The
manner in which vu-graphs are handled throughout ORD is
inconsistent and informal. Indeed, there is no established
system to coordinate efforts to maintain, control, retrieve, or
create vu-graphs throughout ORD.
Guidelines should be established to organize and control
vu-graphs at the D/ORD and division level.
The Director's vu-graph collection should be managed and
organized in the following manner:
-- Maintain vu-graphs in a centralized collection
-- Cross-index by vu-graph title and assigned number
-- Control through a formal charge-out system
-- Maintain hard copy backup for references purposes
-- House vu-graphs either in the office of D/ORD, PPBB, or
RMO for convenience and control of physical access
-- Assign one individual the responsibility to manage this
collection
The division vu-graph collections should be monitored,
preferably by the individual assigned the responsibility for
managing the D/ORD's vu-graphs, to ensure these collections are
kept current.
7. Eliminate use_of non-standard file sup lies.
The filing supplies used throughout ORD consist of standard
and non-standard items. Even though use of non-standard items,
such as color-coded folders, hanging files, and green heavy-duty
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file folders to house administrative records, is limited, it is
costly and unnecessary. Color-coded folders are being used to
house small groups of files instead of the large records
holdings for which they were designed. The use of~green
heavy-duty folders reduces file storage capacity because of
their thickness. Hanging files create extra work because their
contents must be removed, placed in standard file folders, and
relabeled before they can be transferred to the AARC. Finally,
contract file folders purchased specifically to house official
OL contract files are being used to maintain project files.
ORD should conform to Agency practices in the use of
standard file folders and eliminate the use of non-standard
supplies. This action would reduce costs and increase files
storage capacity. In the case of contract file folders, 0RD may
find that ease of document retrieval and storage may outweigh
cost considerations.
8. Increase efforts to reduce records holdings in ORD.
ORD is beginning to experience a space crunch because file
holdings have been accumulating during the last four years.
There has been little effort to transfer records to AARC during
this time. Because the office RMO is no longer burdened with
the role of operating the registry, stronger efforts can be made
in ORD toward fulfilling its records management responsibilities.
The office RMO should take a more active role in monitoring
records holdings of office components, advising office personnel
of the disposition instructions for scheduled items, and
providing guidance on the administrative process for
transferring records to AARC. The RMO should also be expected
to update the records control schedule to accommodate new
items. In addition, records custodians should be appointed by
each division to work with the RMO in matters concerning their
records. Records custodians should be knowledgable of the
records schedule items that apply to their files. This
arrangement will assist in providing a more structured records
program and make component personnel more aware of their records
keeping responsibilities.
9. Improve or eliminate the ORD LOG and ORD TRAIN automated
systems.
The ORD LOG system is used to maintain an inventory of safes
and some equipment charged to contractors. The ORD TRAIN system
is used to produce up to thirty different reports concerning
matters related to personnel and training. The ORD LOG data
base is seldom updated because there is little use made of this
information. The ORD TRAIN system is costly to maintain because
it employs cumbersome inputting procedures which require extra
manhours to update the data base during weekends. Users of the
ORD TRAIN system said that this system is slow and difficult to
update because of its software design. ~,
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ORD should consider eliminating these systems because they
are used infrequently, are inefficient to operate, and are
costly to maintain. Also, the information produced by these
data bases can be obtained from other Agency reports. If ORD
wishes to maintain an in-house capability to produce this
information, it should revise these two systems or develop new
ones.
10. Establish a standardized keyword index for use throughout
ORD.
Discussions with the ORD Librarian disclosed a desirability
of developing a standardized keyword index to be used in
conjunction with all ORD data bases. The establishment of a
glossary of standardized keywords would facilitate the abflity
of ORD personnel to query these fast-growing data bases by using
a common terminology. The ORD Librarian suggested the use of a
glossary such as the Institute of Electrical and Electronic
Engineers (IEEE) Thesaurus to improve retrievability and to
eliminate the creation of ad hoc keywords by office personnel.
The ORD Library would like to apply a standard keyword index
such as the IEEE Thesaurus to the ORD data bases and to the
numerous commercial data bases it can access. A standard index
would provide uniformity in the selection of keywords that could
be used in future searches.
11. Combine the ORD Library, PPBB, and ACS automated systems.
The Planning, Programming & Budgeting Branch (PPBB), the
Advance Concepts Staff (ACS), and the ORD Library would like to
combine their individual data bases into a single system that
would enable them to retrieve data on past and current research
and development projects. The PAM and IRAD3 data bases
currently operated by ACS reside in the Virtual Memory(VM)
System. The PPBB PAM Abstract Index is now on WANG but is due
to be converted to the VM NOMAD System. The Library's Final
Report Index and Keyword Index are systems that will be included
in VM when they become operational. (See Recommendations 10 and
12).
ORD should continue to develop a joint data base from these
systems. A unified system will enhance ORD's capacity to
conduct more comprehensive searches, increase the data available
to users, eliminate overlapping information contained in
multiple systems, and leave just one system to maintain. This
joint data base would provide information on all past and
current ORD projects, plus, projects of interest being conducted
by outside contractors.
12. Convert the ORD Library collection of final project reports
to microfiche.
The library's hard copy collection of final. project reports
is incomplete and limited to reports produced during the last
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three to four years. A more efficient method of storing and
retrieving these hard copy reports would be to convert them to
microform. Even though the program to convert project files to
microform is no longer in effect, the files that were converted
to this medium still exist. Included in these files are copies
of final project reports covering previous years which could be
used as a foundation to build a new microform collection. Frorn
this point on, microfiche copies of final project reports could
be provided either by the contractor or by ORD.
ORD should include a statement in its contracts requiring
the contractor to provide two microfiche copies of the final
project report if the contractor has an in house capability.
One of these copies should be earmarked for the ORD Library and
the other for the ORD Contract Staff. The use of microfiche
would enable the Contract Staff to maintain a copy of the final
report in the contract file without adding extra bulk to its
already voluminous holdings. (See Recommendation No. 13)
The ORD Library should maintain a reference set of all final
project reports in microform along with an automated index to
these reports. This storage medium would better serve ORD
because it would reduce the amount of file storage space
required while improving its capability to provide a more
extensive reference collection. Also, the office's limited
capability to search and retrieve data concerning past programs
causes project officers to rely heavily on institutional
memory. To gather background information, individuals must seek
assistance from officers on previous projects, if available, or
devote considerable time trying to research an earlier project.
The value of this collection would be enhanced through the use
of an automated index consisting of common data elements, such
as the contractor, contract number, project officer, date
originated, date completed, project title, project key words,
etc. An automated index would provide greater flexibility in
searching data, reduce time spent retrieving it, and maximize
the use of the information.
13. Implement procedures to improve ORD Library's reference
col-erection of final roject reports.
The ORD Library collection of contractors' final project
reports is maintained only in hard copy form and limited to
projects completed during the last three to four years. This
collection is incomplete because procedures for providing copies
of final reports to the library have eroded or because ORD
personnel have been inconsistent in following these procedures.
During discussions with the COTRs, it was apparent that many of
them are not aware that the library maintains this collection or
that they are responsible for providing it with copies of final
project reports. The frequent turnover of personnel in the
office may be partially responsible for the fact that operating
guidelines and instructions are not being passed on.
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To increase the value of this collection, ORD personnel
should be informed of their responsibility to provide the
library with copies of final reports and the steps necessary to
accomplish this. An expanded collection of final project
reports would give the office a much improved capability to
track and retrieve data on past research and development
projects (See Recommendation No. 12)
14. Appoint an ORD security classification focal oint officer.
One individual in ORD currently is responsible for
coordinating on matters co 'ng the Agency National Securit
Classification Guide but
25X1
no one in ORD is officially
designated to provide guidance and assistance to staff members
on the classification, compartmentation, and control of
classified information.
ORD should appoint a Security Classification Officer to
ensure compliance with the requirements of Executive Order
12356, which establishes Federal policy for the classification,
compartmentation, and control of national security information.
These requirements are implemented within the Agency through 25X1
and related regulator
is
y
suances. The Security
Classification Officer could monitor ORD's classification
practices, act as office-wide referent, and serve as ORD liaison
officer to the Agency program. A classification officer would
also help to eliminate office inconsistency in applying
classification markings, especially with regard to portion
marking and the use of control designators.
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MEMORANDUM FOR: Director of Information Services
9 April 1985
STAT
gency Records Management Officer
Survey of OIS Information Management Program
1. Attached is the survey report prepared by IRMD on OIG' information
handling and records management practices. At our recent meeting with you
and members of your staff, we discussed a draft of this report and exchanged
views concerning the survey results. With some minor changes, you approved
the survey findings and recommendations. We are now officially submitting
the report to you for implementation.
2. During our discussion of the report, you expressed a desire to see
a number of the recommendations implemented either immediately or as soon as
feasible by OIS components. Members of IRMD will be available, if needed,
to offer assistance or guidance in implementing these changes. We will take
prompt action in identifying an officer in the division to serve as OIS
records management officer. That individual will be the focal point for
assisting OIS divisions with the records management problems identified in
the report. ,
3. We have appreciated the opportunity to survey OIS and the
wholehearted cooperation given by members of your staff. We believe that
adopting the recommended changes will result in more effective handling and
storage of information in OIS, as well as greater efficiency in the use of
this information.
4. If you or any member of your staff have any questions or need
additional information on the survey findings, please contact
Attachment:
As Stated
STAT
STAT
STAT
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A. INTRODUCTION
DMINISTRATIVE - INTERNAL USE Q
SURVEY OF
OFFICE OF INFORMATION SERVICES
INFORMATION MANAGEMENT PROGRAM
1. A survey of information handling and records management procedures
in the Office of Information Services (OIS) was conducted during the period
1 November 1984 - 14 January 1985. The survey was carried out by
members of the Information Control Branch,
Information Resources Management Division, OIS.
2. The purpose of the survey was to review the OIS information
management program to determine its effectiveness and compliance with
Federal regulations, and at the same time complement an office objective to
conduct similar audits of other Agency components.
3. The survey team interviewed members of all OIS staffs and divisions
to gain an understanding of how these components manage information and
interact with the Ames Building Information Services Center (ISC).
Discussions were also held with ISC personnel, and each ISC function was
observed? to evaluate the services provided, the methods and procedures used,
and the reasons for operating as currently established. Personnel
throughout OIS were most cooperative and helpful to the survey team. The
survey findings are summarized in section B, and specific recommendations
are included in section C.
B. SURVEY FINDINGS
1. Correspondence Flow and Control.
All OIS correspondence flows through the Ames Building Information
Services Center (ISC), which provides document services for OIS as well as
other tenants in the Ames Building. Mail is picked up and delivered at Ames
Building three times a day by the Agency Headquarters courier--at 0830,
1030, and 1330. The .I SC's courier then makes scheduled runs within the
building at 0900, 1100', and 1400. The ISC receipts, controls, and opens or
wraps most of the incoming/outgoing correspondence for OIS components. It
also maintains high speed printers to receive cable traffic, a facsimile
device to send and receive documents electronically, and a copier to
reproduce documents.
STAT
ADMINISTRATIVE - INTERNAL UsE n~at.v
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The ISC is fulfilling its initial goal of providing basic services to
OIS and other customers during its early stages of development. Until it
attains its full operational capacity, the overall adequacy of its staffing
and procedures cannot be fairly assessed. Currently, it is awaiting
extensive office renovation to provide space for efficient arrangement of
work stations and for the additional equipment needed to perform its full
range of intended services, including training of MI Career Sub-Group
registry personnel.
Approximately one-third of the correspondence processed for OIS by the
ISC consists of Sensitive Compartmented Information (SCI) documents,
collateral Top Secret documents, and selected documents of lesser
classification, which are controlled by the ISC to the division level. Much
of the internal OIS accounting for these documents is inconsistent and
redundant. The division secretaries record the same documents again in one
or mote control mechanisms--manual logs, the Wang system, and a computer
based system--and no feedback is provided to the ISC concerning document
location beyond that level.
Even with these recording mechanisms, Top Secret and SCI accountability
in some areas is impeded by inadequate operating guidelines and inconsistent
handling procedures. For example, the Information and Privacy Division
(IPD) was unable to account for a number of collateral Top Secret documents
charged to them when the last Top Secret inventory was conducted. Moreover,
the Regulatory Policy Division's (RPD) incoming correspondence is not
processed by the ISC, and a portion of RPD and IPD outgoing correspondence
is receipted and packaged by their division personnel.
This fragmented handling of incoming and outgoing correspondence
restricts the ISC's ability to provide routine document handling services.
It also limits the ISC's effectiveness as a center for document retrieval,
answering queries on the status of documents, and satisfying accountability
requirements for collateral Top Secret and SCI material.
Document accountability will soon be strengthened when the Common Use
Automated Registry System (CARS) becomes fully operational in the ISC. CARS
(and later TRIS, The Records Information System) will allow automated
control and tracking of documents down to the branch level. Effective use
of CARS, however, will require an organized method for providing feedback to
the ISC and increased interaction between the ISC and its customers.
2. Files Management
The majority of OIS records holdings are maintained in centralized
branch files. Files kept on an individual basis are mostly working files.
This local centralization eliminates duplication, saves space, and makes the
files more accessible to others. Most of the files are in .good condition
and organized in a consistent manner.
2
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The filing systems employed are generally appropriate for the records
being maintained. The system most common in OIS is subject filing--the
files are arranged in alphabetical sequence by subject title. The case
files used in IPD and RPD are arranged either alphabetically or numerically,
using the filing feature most often requested in retrieving them.
Several areas of files maintenance in OIS components need to be
improved, however, to inprease efficiency in filing and retrieving documents
from the files. In many cases, filing equipment is not labeled, file
drawers are overcrowded, files are not properly divided by file breaks, file
folders have obscure headings, permanent and temporary records are
interfiled, chargeout methods are not being used, and inconsistent filing
procedures are causing backlogs. Improvement in these files maintenance
areas is critical to the continued usefulness of the information contained
in the files.
3. Filing Equipment and Supplies
The filing equipment in OIS consists mostly of safes, lateral file units
(conserv-a-files), and microfiche cabinets. This equipment is compatible
with the types of records stored in OIS and conforms to requirements of
security, building structure (floor load), and arrangement of office areas.
OIS office space is a mixture of secure and non-secure areas. In secure
areas, lateral and shelf file equipment is being widely used. This
equipment is recommended because it uses floor space efficienkly, speeds
filing and retrieval, and costs less than safe-type storage equipment. More
of this open-shelf filing equipment is needed in areas where makeshift
measures currently lead to files being stored in equipment not designed for
such use or being stacked on or around employees' desks. These needs have
been submitted by the divisions to the Plans and Management Staff, OIS, and
are scheduled to be met using FY 1985 funds.
In non-secure areas, standard two, four, and five-drawer safes are being
used to satisfy secure storage requirements. Within OIS, the Agency
objective to replace all Remington Rand safes in outlying buildings with
security approved safekeeping equipment has been fulfilled.
The filing supplies used most frequently throughout OIS are readily
available standard items. Only IPD is a major user of nonstandard
color-coded file folders. This exception is justified by the volume of
their files. Overall, the use of Agency standard file folders and supplies
far outweighs, as it should, the use of nonstandard heavy-duty file folders
and supplies, which are expensive and reduce storage capacity.
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4. Files Disposition
Files disposition is a shared responsibility of the office records
management officer (RMO) and the division records custodians. In recent
years, however, OIS has not had the benefit of an experienced RMO who did
not have other, primary duties that detracted from efforts to perform this
function. Moreover, the records control schedule currently being used has
been in existence since 1976 and covers records of the Office of the DDA as
well as those pertaining to OIS. While it has been adequate to the task, it
is broad in scope and confusing to anyone with little records experience. A
new schedule covering OIS records has been prepared but has not yet been
approved by the Archivist of the United States.
Few of the officer and clerical personnel interviewed had actually
participated in efforts to reduce their records holdings or transfer them to
the Agency Archives and Records Center (AARC), but most were aware of the
steps involved or knew who to contact for guidance. Some division records
custodians, however, were not familiar with the records control schedule or
how to apply it to the disposition of their records. Reasons given were
they did not have time to review their files due to a heavy workload, or it
was just not a priocity responsibility.
As a result, OIS records holdings have gradually been accumulating,
especially during the last five years. IPD and RPD have been able to keep
pace through periodic transfer of records to AARC or destruction of hard
copy files after conversion to microfiche; however, the front office, IRMD,
and the Classification Review Division (CRD) are beginning to experience a
space crunch.
5. Machine-Readable Records
It is an OIS objective to include machine-readable records in office
records control schedules. To meet this objective, OIS plans to draft such
schedules for all DA components in FY 85 and has prepared a schedule
covering cover its own machine-readable records.
The OIS machine-readable data bases listed below, which reside in the
General Information Management System (GIMS)~and the Virtual Memory System
(VM), are covered in the draft schedule.
Declassification Review System (DARE)
Declassification and Release System (DECAL)
Information and Privacy Current Cases Log (IPLOG)
information and Privacy Historical Log (IPHIST)
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Forms and Reports Management System (FARMS)
Micrographic Inventory Control System (MIC)
Records Center and Archives Management System (RAMS)
Archives and Records Center Inventory System (ARCINS)
Top Secret Collateral Automated Data System (TSCADS)
MI Training System (MITS)
As The Records Information System (TRIS), the Released Information
Management System (RIMS),- and other OIS systems become operational, draft
schedules will be prepafed to cover them as well.
6. Micrographics
There are three major micrographics applications in OIS. They comprise
three microfiche systems that are being used productively in the following
division operations:
DECAL - IPD's computer-based index to its microfiche collection of
declassified or sanitized documents released to the public in response
to requests under the Freedom of Information Act or the mandatory
declassification review provisions of Executive Order 12356 and
predecessor Orders. This system is used to research requests for
information previously declassified or sanitized and released.
Retrieval capability of this system is impeded by lack of a uniform
indexing code.
DARE - CRD's computer-based index of documents reviewed for
declassification under systematic and mandatory review requirements.
Essentially, it is an index recording review actions and the location of
reviewed documents at AARC. The updated data base is produced on COM
(computer output microfiche) at periodic intervals.
Agency Directive Program Case Files - An RPD record collection of
case files containing regulations and their supporting documentation
from early 1950s to present, maintained permanently on microfiche. The
source documents are destroyed upon verification of the microfiche.
There is a smaller IPD micrographics application that is less clearly
productive. It consists of official chronological and case files that are
converted to microfiche to allow retention long after the source documents
are destroyed. These microform records are not officially Cecognized in the
records control schedule item that covers the source document record
series. If it is indeed necessary to keep these documents beyond their
currently scheduled retention time, the records schedule needs to be amended
accordingly.
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No potential micrographics applications were identified during the
survey.
7. Directives
Within OIS, office notices are produced and distributed in a formal,
systematic manner. The secretary to the Director of OIS maintains the
numerical sequence for controlling issuances and retains copies of active
and rescinded issuances for reference and archival purposes. Also, a set of
Agency regulations, notices, and handbooks is maintained and controlled by
the Director's secretary and by each division secretary for use by their
office personnel.
OIS is fortunate to have within its organizational structure the
component that manages the Agency's regulatory system. RPD is responsible
for the processing, coordination, publication, and distribution of all
regulatory issuances. OIS personnel seek guidance from RPD in matters
relating to regulatory issuances, and no particular problems were noted.
RPD is currently using several manual and automated systems to track
issuances through the various stages of the regulations process. In
addition, some of its personnel have created individual systems on Wang for
similar purposes. Combining all these systems into one automated system
would eliminate redundancy, reduce complexity, and facilitate access by
those who need to use the tracking information.
8. Supplemental Distribution
AARC is responsible for maintaining supplemental distribution copies of
regulatory issuances, as well as Agency intelligence reports and other
publications. AARC currently uses a manual system to control and account
for these supplemental copies. While the manual system works adequately, it
could be significantly enhanced through automation. There is an automated
system currently being developed in the Agency for similar purposes that
might be used for this application.
9. Forms
Approved Agency forms, Standard Forms, and other Government forms are
used throughout OIS. OIS components follow the procedures established by
the Agency's forms management program and call upon the Agency forms
manager, who is an IRMD officer, for advice as appropriate.
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OIS divisions are currently on record in the Agency forms program as the
originating office or office of primary interest for 55 forms, which are
reviewed annually to eliminate those no longer needed. As the originator of
forms, OIS components coordinate on their design, approval, reprint,
revision, consolidation, and elimination as well as their systematic storage
and replenishment.
Some 'bootleg' forms being used in IPD and CRD have a usage rate now
approaching a level that warrants their inclusion in the Agency forms
management program for cost-effective printing and storage.
10. Information Security
OIS's performance is consistently strong in meeting its responsibilities
to protect classified information. This is especially true in determining
the proper classification, markings, and citations for collateral
documents. Following the appropriate administrative and security procedures
relating to SCI correspondence seems to be more challenging, especially in
preparing correspondence transmitting SCI documents, because this type of
correspondence is handled so infrequently. The ISC, in screening
correspondence transmitted by OIS, periodically surfaces improperly-prepared
documents transmitting SCI material.
One oIS division, IRMD, is responsible for the classification provisions
and general administration of the .Agency information security program as
required by Executive Order 12356 a or preparing the Agency National
Security Classification Guide As the Agency's liaison office
with the Information Security Oversight Office (ISOO), it coordinates
inspections of Agency components to ensure compliance with national policy
guidelines to protect classified information.
OIS clerical and officer personnel appropriately seek guidance from the
Agency Security Classification Officer in IRMD, who provides assistance by
conducting informal briefings and distributing literature concerning the
classification, compartmentation, and control of classified information.
C. RECOMMENDATIONS
1. Enable the ISC_to process the correspondence of all OIS components.
Currently, the ISC is not allowed to process RPD's incoming mail or
portions of RPD and IPD outgoing correspondence. Instead, this mail and
correspondence is being controlled, receipted, and packaged by division
personnel.
STAT
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The ISC should be given the authority to open, control, and package ell
classified correspondence received or sent by OIS components. Correcting
the fragmented handling of OIS correspondence would improve the ISC's
effectiveness in providing basic registry services, serving as a center for
document retrieval, responding to queries on the status of documents, and
satisfying accountability requirements for collateral Top Secret and SCI
documents. Enabling the ZSC to process this correspondence would also free
division personnel to devote more time to other duties.
2. Eliminate logging of documents by division secretaries.
The ISC currently controls documents to the division level. Division
secretaries control the same documents again to the branch level, but there
is no feedback to the ISC of current document location information. This
decentralized procedure causes unnecessary duplication, incomplete control
data at both levels, and loss of a focal point to track documents.
Except for the internal control systems serving IPD's and RPD's special
requirements, logging of documents by division secretaries should be
eliminated when CARS becomes operational. Through CARS, the ISC can track
incoming and outgoing correspondence and the interoffice movement of
correspondence. Documents passing between divisions or branches would be
recorded through the ISC so that the. current document location information
would be centrally available to all OIS components.
3. Establish a standard method for components to provide document
information to the ISC.
To support the document control services that will be provided to Ames
Building tenants by the ISC, a standard method should be established to send
updated document status information to the ISC. This feedback mechanism
should be easily recognized and simple to use.
Currently, the ISC uses the eight-part Form 238, Document Control, to
record and track the movement of documents until they are filed, destroyed,
or sent out of OIS. When interim CARS becomes operational, the document
control information will be keyed into an automated data base instead of on
Form 238. The ISC is planning to discontinue using this form and rely on
components to provide updated information either by informal note or
telephonically.
Although the Form 238 will no longer be needed to record document
control information, it can still be used as an effective tracking tool
using only the control number of the document attached. Updated copies of
the form could be pulled and sent back to the ISC each time the document
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changes office location. Either this form or some type of routing slip
attached to documents flowing through the ISC should be used as a standard
means to return document status data to the ISC.
Using a standard feedback mechanism in conjunction with CARS would
enhance the efficiency of OIS information flow and document accountability
until TRIS becomes operational. (TRIS will enable components to directly
access and update the document status information.)
4. Establish better files maintenance procedures.
A general lack of attention to controlling the growth of files in OIS
and to maintaining them properly has led to problems such as files being
lost, difficulty in retrieving documents, duplication of information in the
files, overcrowded files hindering access, and poorly labeled folders and
files equipment.
The appropriate filing system to use for office files should be
determined by the type of records being maintained. The file system
recommended for filing administrative records throw bout the A enc is the
Subject File Classification System This STAT
system is designed to be tailored to individual office filing needs. All
OIS components should adopt the Agency subject filing system to improve the
usefulness of their administrative records.
While subject files contain information about general planning and
operations, case files contain information concerning a specific action,
event, person, project, place or organization. IPD's case files are
arranged in alphabetical sequence, and RPD uses the Agency regulatory
numbering system as a file outline. Both systems ace appropriate to the
type of records being maintained.
To increase the usefulness of their files, OIS components should improve
their filing operations in the following areas:
a. Labeling. File folder labels should accurately reflect the
contents of the file, inclusive dates, disposition instructions, and
applicable item number in the records control schedule. Filing
equipment should be labeled to indicate contents. All OIS components
should initiate the steps that can be put into effect at once and follow
up with the remaining stages when the new OIS schedule is approved.
b. Sorting. Temporary and permanent records should be filed in
separate files in accordance with the records control schedule
disposition instructions. This will help in reducing holdings and in
arranging the remaining files in accordance with the new Subject File
Classification System.
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c. indexing. Subject files and case files using a subject topic
file arrangement are self-indexing. Indexing is usually required for
numerically-arranged files. An updated index is needed to provide the
physical location of RPD's holdings.
d. Filin Records should be filed daily. Within the file,
documents should be filed chronologically. Loose filing is recommended
but fastened filing is appropriate for large files. Front office and
IPD personnel should 'file with more regularity to prevent backlogs.
e. Chargeout. Files should be made available through an
established chargeout system so that the file may be located and
retrieved. This is a good practice for all OIS components, but it would
be especially beneficial to IPD, where tracking files seems to be a
problem.
f. Disposition. Files should be segregated for disposition
wherever possible using the file break or cutoff method. Using this
method, files within a series are closed and new files opened at regular
periodic intervals, usually annually, for easier disposal or transfer to
AARC. All OIS components should apply this method in the disposition of
their administrative files.
5. Make a_concerted effort to reduce records holdings in OIS.
OIS is beginning to experience a space crunch in some components. This
is especially true in IRMD, CRD, and the Front Office area where records
holdings have been accumulating during the last five years. There has been
little activity in transferring records to AARC during this time. Efforts
to reduce holdings are already underway in some of these components, and the
office RMO should see that the transfer of records to AARC occurs in all
divisions. By adhering to the records schedule, IPD and RPD have managed to
avoid a space problem through periodic transfer of hard copy holdings to
AARC and conversion of hard copy files to microfiche.
The office RMO should take an active role in monitoring the records
holdings of office components, advising them of the disposition instructions
for scheduled items, and providing guidance-in the administrative process of
transferring records to AARC. The RMO should also be expected to update the
schedule regularly to accommodate new items. The OIS component
representatives and records custodians should be knowledgeable of the
records schedule items that apply to their files.
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6. Transfer the OIS RMO function from the Plans and Management Staff to
IRMD.
As a member of the Plans and Management Staff, any individual performing
the OIS RMO function must devote most of his or her time to fulfilling other
responsibilities as Secretary/Administrative Assistant. The disparity among
these duties hindecs attempts to meld the records function into the normal
work flow. Efforts to monitor the various elements of the records program
are further impeded if the individual assigned this duty does not have the
records background or training required.
To provide more effective direction of the OIS information management
program, the OIS RMO function should be placed organizationally in the
Information Management Branch (IMB), IRMD. The function could be assigned
to the existing GS-12 position in IMB. This would establish the function in
a more appropriate area of common responsibilities, at a grade level
commensurate to the expertise required, and would enable the incumbent to
take a stronger role in providing guidance to OIS personnel.
7. Revise the OIS records control schedule to include microforms of IPD
chronos.
Currently, IPD is microfilming chronological files (response letters to
requesters) to allow retention long after the hard copy files are
destroyed. The value of the information contained in the records does not
change because the storage medium changes. Changes in the retention time
for microfilm records must be justified and the OIS records control schedule
amended accordingly.
8. Further improve operating procedures of the Support Services Branch, IPD.
During the survey, the Correspondence and Records Branch (CP.B), IPD, was
reorganized as the Support Services Branch (SSB). SSB now includes the
intelligence assistants (IA's) who previously were part of the Initial
Evaluation Branch. We support this effort to strengthen the management of
this branch and improve the efficiency of operations. The reorganization
provides an opportunity to further improve the operating procedures used to
control and process the correspondence and r-e cords flowing through IPD.
CP.B's efficiency of operations had suffered in the recent past.
Previous branch personnel had many years experience in IPD, operated under
established guidelines, and were able to perform a number of additional
duties. Currently, however, three personnel of this branch have been in IPD
less than a year. This high turnover rate has resulted in operating
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guidelines and instructions not being passed on to branch personnel. The
lack of experience and established guidelines, in turn, has, impeded
personnel in picking up the IPD process, has slowed down the paper flow, and
has kept some functions from being fully performed.
The addition of the IA's to this branch supports suggestions offered by
the survey team to reduce the workload of information control personnel and
enable the IA's to better support the case officers through functions such
as researching requests,?documenting the tasking of requests to and from
Agency components, and performing other administrative duties. This would
put some functions in more experienced hands, alleviate the heavy workload
of the information control personnel, reduce delays and backlogs in paper
flow, cut back errors, and better utilize personnel and resources.
To reduce occurrences of misplaced files or difficulties in locating
them, one of the information control personnel should have sole
responsibility for pulling and refiling files and keeping track of them.
This approach was tried with summer help and was successful.
9. Strengthen DECAL retrieval capability.
During discussions with IPD case officers, it was mentioned that the
DECAL System at times is not very responsive to searches. There are
occasions when case officers know that documents previously declassified or
sanitized are in the system but attempts to retrieve them are difficult or
unsuccessful. Currently, the operator of the DECAL System selects keywords
from the documents to, be entered into the system, but searches are based on
the keywords case officers select from the requesters' letters. This
inconsistency in selecting retrieval data weakens system response.
IPD's case officers should be given the responsibility for selecting the
document keyword indexing data for entry into the DECAL System. This would
complement the way data is chosen to retrieve documents. Decentralizing
this responsibility also would reduce the heavy workload of the DECAL
operator. This procedure is suggested as an interim measure until a
glossary of standardized keywords can be created fot indexing and
retrieval. Such a system of uniform terminology or coding is needed to
support the multiple users of DECAL and its ever-growing data base. The
Agency micrographics officer in IRMD can assist IPD in establishing this
system.
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10. Establish additional RPD telecommunications links with Aaency components.
RPD is currently working with OIT representatives to establish
additional telecommunications links with other Agency components involved in
the regulatory system. These direct links will speed the process of
coordinating and approving regulatory issuances by reducing use of the
courier system between buildings and ad hoc handcarrying by RPD personnel in
priority situations. The electronic link already established with the
Electronic Text Editing and Composition System (ETECS) in the Printing and
Photography Divivion (P'&PD), Office of Logistics, enables RPD to transmit
the final text of regulatory issuances directly to P6PD for printing, and it
is being programmed to transmit marginal symbols as well as text.
These electronic links should save P.PD personnel considerable time and
effort by reducing requirements for manipulating text and for making trips
to other Agency buildings. OIS should continue to support such efforts by
RPD to automate the regulatory process.
11. Consolidate RPD's multiple trackin systems.
RPD is currently using three systems to control and track regulatory
issuances from initiation to publication. The systems being used are the
incoming mail log orr Wang, the paper kardex, and the Wang kardex.
These systems are used for varying purposes, but some of the same
information is contained in all three systems. In addition, some editors
have established their own systems on Wang to track jobs assigned to them.
As a cesult, some of the same data may be recorded as many as four times.
Moreover, in order to find the information they need, RPD personnel must be
familiar with each system and able to access it.
RPD should combine the features of these systems into one uniform
automated system. A single system would save time by eliminating the need
to enter the same information several times. It also would provide the RPD
staff greater access to the data and faster retrieval of information. The
expanded data base could be manipulated in more ways to provide information
needed to answer queries and produce reports.
12. Automate AARC's supplemental distribution system.
The manual kardex system currently being used at AARC to control
supplemental copies of regulatory issuances, intelligence reports, and other
publications is adequate but does not complement AARC's existing automated
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systems. Automating the supplemental distribution system would speed
retrieval of information about the distribution of these documents and allow
greater use of this data.
An automated system, in addition to providing immediate display of data
such as the location of supplemental copies, the number of copies of each
document in stock, their individual copy numbers, and the recipients of
copies issued, could also be used to automatically adjust stock levels after
issue, select documents due for reduction or destruction, produce
statistical reports, ana provide other useful information.
An automated system would require installation of one Delta Data
terminal but would eliminate the need for a number of cumbersome kstdex
safes used in the manual system, thus freeing space for additional shelving
or other purposes. The Office of Current Production and Analytic Support
(CPAs), DI, is currently using a automated system for controlling
supplemental copies of its publications. The CPAs system should be
evaluated for possible use in AARC.
13. Incorporate additional OIS forme into the Agency's forms management
progra-e.
OIS-originated forms falling within the requirements of the Agency's
forms management program have routinely been included in the Agency forms
system. Some additional forms created by IPD and CRD should be considered
for inclusion now, because their usage rate has reached or is nearing a
level that warrants systematic processing. Inclusion of these forms, listed
below, would provide for cost-effective printing on PbPD's press equipment
instead of office copiers, and for systematic replenishment and storage.
IPD - DECAL MENU INPUT FORM
- DECAL SEARCH FORM
- CASE FILE ACTION LOG
CRD - RIMS DATA INPUT FORM
14. Better inform OIS personnel in the handling of SCI correspondence.
Because SCI material is handled so infrequently in OIS, the appropriate
handling procedures present a challenge to OIS personnel. Of the OIS
divisions, IPD and CRD have the most contact with SCI Documents.
Preparation of correspondence transmitting SCI documents fs a significant
problem area. ISC personnel have been fortunate to catch incorrectly
prepared outgoing correspondence that could have resulted in a security
violation.
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OIS should request briefings by the Special Security Center, Office of
Security, to instruct both clerical and officer personnel in the appropriate
administrative and security procedures relating to SCI correspondence. In
addition to enhancing OIS security, strengthening this area would reduce the
time spent by ISC personnel in correcting problem situations.
15. Enforce collateral Top Secret document accountability requirements.
Agency requirements for the accountability and handling of collateral
Top Secret documents ar+e established in Collateral Top Secret STAT
Control Handbook. The Agency's documents are controlled centrally through
OIS's Top Secret Control Automated Data System (TSCADS).
In the past, OIS components were individually responsible for
controlling their collateral Top Secret documents. This responsibility
required little effort by most components because they handled few sucf~
documents.
Currently, CRD and IPD are accountable for an appreciable number of
Top Secret documents. IPD had difficulty accounting for its documents
during the last Top Secret inventory. The inventory showed that a number of
Top Secret documents charged to IPD were unaccounted for, and a
folder-by-folder followup search uncovered a significant number that were
never reported to TSCADS.
This situation was caused by inadequate operating instructions for
accountability and handling, resulting from the loss of previously
established guidelines during transition of personnel. Uniform control
practices were further weakened by a special waiver allowing IPD to vary
from certain standard procedures specified in STAT
The ISC now operates as the center for the accountability and handling
of collateral Top Secret documents flowing through OIS. The chief of the
ISC is the Area Top Secret Control Officer and is responsible for
maintaining accountability records for all collateral Top Secret documents
originated in, received by, or dispatched from OIS, and for reporting these
transactions to TSCADS. Assistant Top Secret Control Officers should be
designated for each division to ensure that their components comply with the
Agency policy and procedures established in and to provide STAT
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