About the National Archives

Fiscal Year 2000

Annual Performance Report

March 30, 2001


PREFACE FROM THE ARCHIVIST

As you will read in this report, the National Archives and Records Administration is making significant progress toward fulfilling our mission of ready access to essential evidence and achieving our Strategic Plan goals. Our biggest news this year came from two developments at opposite ends of the time spectrum. We found new ways to preserve and provide access to little known records that are among our newest - and famous records that are among our oldest.

Our most famous records are America's great Charters of Freedom - the Declaration of Independence, the U.S. Constitution, and the Bill of Rights. If you have visited the Rotunda of the National Archives Building in Washington, DC, you have seen them in protective glass cases that were state of the art for document preservation when they were made. In FY 2000 we started replacing those cases, which were beginning to deteriorate, with new ones even more technologically advanced. When we finish in 2003, the Charters will remain safely on display for millions in the 21st century.

At the same time, we made a technological breakthrough for safeguarding modern records. The Federal Government, like most everyone else, is now creating most of its records with computers. But because methods for preserving and providing access to paper records won't work for electronic records, they will disappear unless we create new technologies to save them. In FY 2000 we joined with government and private-sector partners in research and development that shows that an Electronic Records Archives is possible. And now we are working to build it.

Both developments - our work to save old parchments and new emails alike - are success stories. But why do we go to so much trouble to safeguard such records? For the same reasons that we safeguard millions of other Government records in all kinds of formats.

First, they are your records. That is, they were made by officials representing you (and other citizens back through time), appointed or elected, as part of programs that you as a taxpayer helped pay for. They may document your identity (such as naturalization papers), your entitlements (such as veterans' service records), and even your rights (from the Bill of Rights to the latest freedom-of-information or consumer-protection laws and regulations). And they also document the historical experience of our nation, which, without original records, has little chance of being accurately understood.

Second, we safeguard such records because they are essential for the functioning of our democracy. A society whose records are closed cannot be open. A people who cannot document their rights cannot exercise them. A nation without access to its history cannot analyze itself. And a government whose records are lost cannot accountably govern.

Please examine this report with that in mind. It is what motivates us. And it is what gives you a clear, personal stake in our success.

John W. Carlin
Archivist of the United States


Table of Contents

Preface from the Archivist

Introduction

What is the National Archives?
Our Mission
Our Strategic Goals
Budget resources
Performance measurement

Strategic Goal 1: Essential evidence

Target 1.1: Inventory and schedule
Target 1.2: Close out schedule items
Target 1.3: Recordkeeping systems
Target 1.4: Recordkeeping requirements

Strategic Goal 2: Access

Target 2.1: Customer service
Target 2.2: Customer contacts
Target 2.3: Online catalog
Target 2.4: Declassification
Target 2.5: Presidential records
Target 2.6: Federal Register publications
Target 2.7: Charters of Freedom
Target 2.8: NHPRC grants

Strategic Goal 3: Space and Preservation

Target 3.1: Holdings in appropriate space
Target 3.2: Preservation of at-risk holdings
Target 3.3: Preservation of electronic records

Strategic Goal 4: Infrastructure

Target 4.1: Staff performance
Target 4.2: Diversity
Target 4.3: Training
Target 4.4: Technology
Target 4.5: Records life-cycle system

Appendix A: Outputs

Appendix B: Program evaluations


INTRODUCTION

What is the National Archives? The National Archives of the United States is a public trust on which our democracy depends. We enable people to inspect for themselves the record of what Government has done. We enable officials and agencies to review their actions and help citizens hold them accountable. We ensure continuing access to essential evidence that documents:

  • the rights of American citizens,
  • the actions of Federal officials,
  • the national experience.

To ensure ready access to essential evidence, the National Archives and Records Administration (NARA) establishes policies and procedures for managing U.S. Government records. We assist and train Federal agencies in documenting their activities, administering records management programs, scheduling records, and retiring non-current records to regional records services facilities for cost-effective storage. We appraise, accession, arrange, describe, preserve, and make available to the public the historically valuable records of the three branches of Government. We manage a nationwide system of Presidential libraries, records centers, and regional archives. We administer the Information Security Oversight Office and make grants to non-Federal institutions to support historical documentation through the National Historical Publications and Records Commission. We publish the Federal Register, Statutes at Large, Government regulations, and Presidential and other public documents.

We serve a broad spectrum of American society. Genealogists and family historians; veterans and their authorized representatives; academics, scholars, historians, and business and occupational researchers; publication and broadcast journalists; the Congress, the Courts, the White House, and other public officials; Federal Government agencies and the individuals they serve; state and local government personnel; professional organizations and their members; friends' groups, foundations, donors of historical materials; students and teachers; and the general public - all seek answers from the records we preserve.

To be effective, we must determine what evidence is essential for documentation, ensure that Government creates such evidence, and make it easy for users to access that evidence regardless of where it is, or where they are, for as long as needed. We also must find technologies, techniques, and partners worldwide that can help improve service and hold down costs, and we must help staff members continuously expand their capability to make the changes necessary to realize the vision.

Our Mission

NARA ENSURES, FOR THE CITIZEN AND THE PUBLIC SERVANT, FOR THE PRESIDENT AND THE CONGRESS AND THE COURTS, READY ACCESS TO ESSENTIAL EVIDENCE.

Our Strategic Goals

One: Essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed.
Two: Essential evidence will be easy to access regardless of where it is or where users are for as long as needed.
Three: All records will be preserved in appropriate space for use as long as needed.
Four: NARA's capabilities for making the changes necessary to
realize our vision will continuously expand.

These goals and the strategies to achieve them are detailed in Ready Access to Essential Evidence: The Strategic Plan of the National Archives and Records Administration, 1997-2007, issued September 1997. This annual performance report is based on the goals, strategies, and long-range performance targets in our Strategic Plan and the specific objectives in our FY 2000 Annual Performance Plan. The following pages detail our performance on all our FY 2000 objectives. Checked boxes precede those we fully achieved. Those we did not fully achieve have open boxes with an explanation below. We also included all relevant performance results and trend information. Supplemental performance data for some objectives is included in Appendix A. We received no aid from non-Federal parties in preparing this report.

Budget resources. Following is a summary of the resources, by budget authority, we received to meet our FY 2000 objectives.

Operating Expenses $174,444,000
Repairs/Restorations $22,296,000
Grants $4,250,000
Revolving Fund $22,000,000
Total Budget Authority $222,990,000
   
Redemption of Debt $5,598,000
Total Appropriation $228,588,000
   
Total FTE 2,649

Performance measurement. We continued using four mechanisms to assess our performance: (1) periodic management reviews, (2) formal audits of operations, (3) implementation and refinement of the agency's performance measurement system, and (4) systematic sampling of measurement system effectiveness. (Appendix B provides summaries of reviews, evaluations, and audits conducted in FY 2000.) In FY 1999 we deployed an agency-wide performance measurement and reporting system. This system allowed us to define and consistently measure data critical to the analysis of FY 1999 performance objectives. During FY 2000 we integrated and expanded the system so that our strategic performance is measured using more of a balanced scorecard approach for tracking cycle times, quality, productivity, cost, and customer satisfaction for our products and services. Our Inspector General audited the system and noted in the audit report that "we commend NARA officials for the improvement in the quality and reliability of the data supporting the numeric metrics in the FY 2000 Performance Report."*

We reviewed customer feedback concerning our performance during FY 2000 and took action to respond to customer service needs. We will continue to support this agency-wide plan with detailed performance plans for FY 2001 at the office level and below. Taken together, the program evaluations, audits, measurement system, customer feedback, and office level plans and reports enabled us to identify program areas that needed attention, analysis and possible re-engineering.

The work we have done on the performance measurement system has produced changes in some performance objectives to make them measurable or to clarify what is being measured. We continue to evaluate, improve, and make necessary adjustments to our performance measurement system in the course of our routine work. This report updates some of our FY 1999 statistics that were corrected as a result of these improvements. These on-going refinements indicate that this annual report, our annual plans, and our Strategic Plan are living documents and are an integral part of our operations.

We must succeed in reaching our goals because the National Archives and Records Administration is not an ordinary Federal agency. The records we preserve document the rights of American citizens, the actions of Federal officials, and the national experience. We serve not just today's citizens, but all who are yet to come. We must not only preserve documents already in our care, but also prepare to manage tomorrow's records in new and challenging forms. This report reflects our 2000 progress in making that a reality.


*  Office of the Inspector General, Evaluation of the Accuracy of NARA's Performance Measurement Data, OIG Report No. 01-02, March 2, 2001, p. 3.


STRATEGIC GOAL 1: ESSENTIAL EVIDENCE
ESSENTIAL EVIDENCE WILL BE CREATED, IDENTIFIED, APPROPRIATELY SCHEDULED, AND MANAGED FOR AS LONG AS NEEDED.


1.1 INVENTORY AND SCHEDULE

FY 2000 Objectives empty checkbox As part of the scheduling reinvention project, complete information gathering from Federal agency staff, NARA staff, and interested members of the public. Complete analysis of existing schedule process and records life cycle ("as-is model").
checked checkbox Increase the number of records agencies schedule within two years of creation by 20 percent over that same number in FY 1999.
Results checkmark We awarded a contract to gather and analyze information about the views and perceptions of Federal agencies concerning the creation, maintenance, use, and disposition of their records.
checkmark We developed a methodology for NARA staff to examine agency work processes and the records generated to determine actual recordkeeping practices.
checkmark We completed "as is" models of the existing appraisal process within NARA and the records scheduling process in agencies.
checkmark We increased the number of records agencies schedule within two years of creation by 147 percent over that same number in FY 1999.

Explanation   We did not meet our objective to complete the information collection part of the scheduling reinvention project because of our decision to restructure the project into three separate components, collectively known as "Initiatives Relating to the Changing Federal Recordkeeping Environment." These components are Current Recordkeeping and Records Use in the Federal Government; Policy Analysis of Current Records Disposition Legislation, Regulations, and Guidance and Recommended Changes; and Analysis and Redesign of the Scheduling and Appraisal Process. We expect that restructuring the project will clarify the sequencing of activities and assignment of responsibilities for each task. In preparing for the information collection phase, we reviewed and revised our current process for schedule review.

Trend Data FY 1999 FY 2000
Number of schedule items submitted by agencies. 4,215 8,325
Number of schedule items completed. 3,262 5,664
Number of new schedule items completed. 935 1,961
Number of new schedule items completed within 2 years of creation. 220 544
Percent of new schedule items completed within 2 years of the records creation. 23.52 27.74

Trend Analysis   We saw the number of schedule items submitted by agencies nearly double in FY 2000. We attribute this significant increase in large part to our targeted assistance initiative. The number of schedule items completed rose by 58 percent. This year we also measured the number of new schedule items completed within 2 years of creation, and found a 147 percent growth over FY 1999 levels. This positive trend is the result of process improvements we made this year that yielded increased productivity. We also were able to fill critical staff vacancies, which enabled us to make progress in reducing our backlog. These metrics also show us that this year about 72 percent of the records scheduled had been in existence more than 2 years, a small improvement from 76.5 percent in FY 1999.

FY 2001 Performance Plan Evaluation   We expect to meet our FY 2001 objective to complete the information collection and analysis of the first part of the project - Current Recordkeeping and Records Use in the Federal Government. However, a significant amount of the resources we use to process schedule items are allocated to supporting this project. We may not meet our target of 20 percent of records schedule items completed within 2 years of the records creation.

1.2 CLOSE OUT SCHEDULE ITEMS

FY 2000 Objectives empty checkbox Close out 25 percent of schedule items within 120 days.
Results checkmark We closed out 22 percent of records schedule items within 120 calendar days of submission to NARA.
  checkmark We improved the overall cycle time for closing out records schedule items to a median time of 283 calendar days.

Explanation   Although we improved significantly over FY 1999, we fell short of meeting our goal of 25 percent of schedule items closed out within 120 calendar days. The 120-day goal was difficult to meet because of the increased public interest in our schedules, the related time associated with responding to public comments, and because we focused on reducing the backlog of older records schedules. We closed out 1,780 items that pre-dated FY 1999.

Trend Data FY 1999 FY 2000
Number of schedule items completed. 3,262 5,664
Number of records schedule items closed out within 120 calendar days of submission to NARA. 469 1,229
Percent of records schedule items closed out within 120 calendar days of submission to NARA. 14.37 21.69
Median time for records schedule close out (in calendar days). 336.5 283

Trend Analysis   Our performance in schedule item close out improved between FY 1999 and FY 2000 because of several process adjustments we made during the year. We created special tracks to help schedules move through NARA, we redistributed work to take better advantage of personnel resources, we separated controversial schedule items from larger schedules so that the bulk of items were expedited, and we were able to fill some critical personnel vacancies. We significantly lowered the cycle time for processing records schedules from 336.5 calendar days to 283 calendar days.

FY 2001 Performance Plan Evaluation   We have set our FY 2001 target for closing out records schedules at a median time of 260 calendar days or less. We are on track for achieving this target.

1.3 RECORDKEEPING SYSTEMS

FY 2000 Objectives empty checkbox Draft and disseminate an additional six products on electronic records issues as part of the Fast Track Guidance Development Project.
  empty checkbox Evaluate the utility of commercial off-the-shelf records management applications in meeting agencies' recordkeeping requirements.
Results checkmark We drafted an additional three products on electronic records issues for the Fast Track Guidance Development Project.

"...the Fast Track product provides an excellent tool for developing and managing an agency's record management system and electronic recordkeeping solutions."

checkmark We reviewed the process through which the Department of Defense certifies that records management software meets its recordkeeping standard.
checkmark We awarded a contract for the development of a records management application (RMA) prototype.

Explanation   At the end of the fiscal year, we had completed three out of six Fast Track products. We were reviewing internally the remaining products, and have since completed them. Work still remained on the objective to evaluate the utility of commercial off-the-shelf records management applications. The unavailability of funding at the start of the year, in addition to an unsuccessful sole-source procurement strategy, delayed progress on this project. However, we did select a contractor to develop and test an RMA prototype.

FY 2001 Performance Plan Evaluation   We will continue to work on development, installation, and testing of the RMA prototype and are on track for completing the project in FY 2001.

1.4 RECORDKEEPING REQUIREMENTS

FY 2000 Objectives checked checkbox Establish Targeted Assistance partnerships with 75 Federal offices throughout the country.
checked checkbox Increase number of Federal agency staff receiving NARA training in records management and electronic records management, particularly outside the Washington, DC, area.
Results checkmark NARA established 173 targeted assistance partnerships with Federal offices throughout the country.

"...NARA personnel from throughout the country have been extremely generous with their time, expertise, and support."

checkmark NARA increased the number of Federal agency staff trained in records management and electronic records management by 17 percent.

Trend Data FY 1999 FY 2000
Number of Federal agency staff receiving NARA training in records management and electronic records management. 2,997 3,506
Number of Federal agency staff outside the Washington, DC, area trained. 2,494 3,065

Trend Analysis   With the help of senior records analysts hired during FY 1999-2000, we significantly increased the number of partnership agreements we established with many Federal agencies. Through these active partnerships, we were able to train 509 more Federal agency staff than we trained in FY 1999.

FY 2001 Performance Plan Evaluation   As we make targeted assistance the basis of the way we do records management, we expect to see significant improvements in the way Federal agencies manage their records. Our FY 2001 objective focuses on whether these agreements successfully deliver the results promised by NARA and the agencies.


STRATEGIC GOAL 2: ACCESS
ESSENTIAL EVIDENCE WILL BE EASY TO ACCESS REGARDLESS OF WHERE IT IS OR WHERE USERS ARE FOR AS LONG AS NEEDED.


2.1 CUSTOMER SERVICE

FY 2000 Objectives   Meet or exceed NARA's published standards for access to records and services, as noted below:
checked checkbox
  • 80 percent of written requests are answered within 10 working days;
empty checkbox
  • 80 percent of Freedom of Information Act requests are completed within 20 working days;
empty checkbox
  • 95 percent of items requested in our research rooms are furnished within 1 hour of request or of scheduled pull time;
checked checkbox
  • for 99 percent of customers with appointments, records will be waiting at the appointed time;
empty checkbox
  • 90 percent of routine Federal agency reference requests to records center activities in regional records services facilities are ready within 24 hours of receipt in center;
checked checkbox
  • 90 percent of public education programs and workshops are rated by their users as "excellent" or "very good."
checked checkbox Complete analysis of pilot team experiment at the National Personnel Records Center and apply key team concepts center-wide.
checked checkbox Duplicate 60 percent of 1930 decennial census microfilm.
Results checkmark We answered 92 percent of archival written requests within 10 working days.

". . .most encouraging to this struggling amateur to be received with such professional courtesy."

checkmark We completed 28 percent of all FOIA requests within 20 working days.
checkmark We furnished 89 percent of requested items within 1 hour of request or of scheduled pull time.

"I have only good things to say about NARA! Your service is extremely fast and accurate."

checkmark We furnished records at the appointed time for 99 percent of customers with appointments.
checkmark We had ready 79 percent of routine Federal agency reference requests within 24 hours of receipt in a records center.

". . .we had the best time we ever had on a school trip."

checkmark Our users rated 95 percent of our public education programs and workshops as "excellent" or "very good."
checkmark We completed analysis of pilot team experiment at the National Personnel Records Center, applied key team concepts to correspondence-related operations, and established two operational core teams.
  checkmark We duplicated 61 percent of 1930 decennial census microfilm.

Explanation    We successfully completed a pilot team experiment at the National Personnel Records Center with goals of reducing the response time for veteran's record requests, improving our research room services, and producing a quality response to our customers. From experience gained from the pilot team, we set up two cores, consisting of four teams each, plus a core management and support group. We are implementing key team concepts from our pilot for all correspondence-related functions at the Center, and three additional cores will be established in FY 2001.

We met our objective by duplicating 61 percent of the 1930 decennial census on microfilm, in preparation for its April 2002 release. We also completed the procurement of additional equipment and furniture to accommodate the increased research activity that typically follows a census release.

We fell short on the same customer service goals that we failed to achieve last year. Although we did complete FOIA requests for NARA operational records and Federal archival records within the 20-day time period 81 percent of the time, two unique situations explain the overall performance gap in our FOIA response time. First, 86 percent of our FOIA requests are for veterans' records at the National Personnel Records Center in St. Louis. Only 19.82 percent of these requests were answered within 20 working days. Service backlogs at the center are what prompted us to undertake a Business Process Reengineering project there. We are in the process of implementing the recommendations of this project and expect in the future to see faster FOIA processing as a result.

Another problem with the FOIA metric as currently defined affects the success of the Reagan and Bush Libraries in meeting this goal. These libraries make presidential records available under FOIA, as required by the Presidential Records Act (PRA). Executive Order 12667, which applies to presidential records, including those made available under FOIA, allows 30 days for review of proposed records openings by the affected former President and the incumbent President. Because this timeframe exceeds the 20-working-day goal we have set for the agency, we have excluded PRA records from this metric in FY 2001.

While we did not achieve our objective for furnishing items requested in our research rooms within 1 hour of request or of the scheduled pull time, we were able to increase productivity with staffing levels that were based on an average level of work throughout the year. We saw the number of items furnished increase by 45 percent over last year. Family historians and genealogists researching pension and military records in the National Archives Building research room accounted for about 65 percent of the increased requests. Holocaust-era research teams visiting our research room at the National Archives at College Park accounted for the remaining increase.

We did not achieve our objective for completing routine Federal agency reference requests to records center activities in regional records services facilities when promised to the customer because of difficulties in attracting, hiring, and retaining staff.

Trend Data FY 1999 FY 2000
Percent of written requests answered within 10 working days. 88.56 91.91
Percent of Freedom of Information Act requests completed within 20 working days. 36.09 27.99
Percent of items requested in our research rooms furnished within 1 hour of request or of scheduled pull time. 94.43 89.07
Percent of customers with appointments for whom records are waiting at the appointed time. 99.69 99.39
Percent of routine Federal agency reference requests to records center activities in regional records services facilities that ready within 24 hours of receipt in center. 81.12 78.84
Percent of public education programs and workshops rated by their users as "excellent" or "very good." 90.22 95.33

Trend Analysis   We received about 1,500 more FOIA requests in FY 2000 than we did in FY 1999, and we completed about 1,600 more than last year. Due to an ongoing Business Process Reengineering project at a major NARA facility, however, our backlog of unanswered requests has grown, causing the number of FOIA requests we were able to complete within 20 working days to fall 8 percent from FY 1999.

Demand for items in our research rooms increased by about 45 percent this year. We assisted twice the number of visitors to our National Archives Building research room than we did last year - primarily family historians and genealogists. We also saw an increase in the number of Holocaust-era research teams visiting our research room at the National Archives at College Park. We implemented a mid-year change to the way we count requests based on a recommendation by our Inspector General. Our FY 2001 data for this metric will more reliably reflect our performance.

On the measure to provide routine Federal agency reference requests to records center activities in regional records services facilities within 24 hours or when requested, process changes and better-clarified procedures that we implemented throughout the year yielded significantly better performance in the fourth quarter than earlier in the year.

FY 2001 Performance Plan Evaluation    On our objective to complete FOIA processing in 20 working days, we have removed PRA records from our FY 2001 calculation. While we do not expect to meet our target in FY 2001, with continued business process improvements at the National Personnel Records Center, we expect to see improvement in our processing time.

While we expect to continue to see growth in the number of records requested in our research rooms, we are working hard to ensure sufficient staffing to meet these demands and to fully achieve our goal of providing 95 percent of these requests within 1 hour of request or of the scheduled pull time.

We expect to see improvement in moving toward our objective of providing 90 percent of routine Federal agency reference requests to records center activities in regional records services facilities when promised to the customer. Process improvements, procedural changes, and additional staffing will bring us closer to our target.

2.2 CUSTOMER CONTACTS

FY 2000 Objectives checked checkbox 40 percent of customer contacts for NARA information and services are made electronically.

Results

  Total Contacts Electronic Contacts Percent Electronic
NARA (excluding Federal Register) 26,723,765 12,603,818 47.16
Federal Register only 154,460,218 154,460,068 99.99
All NARA 181,183,983 167,063,886 92.20

Explanation   While for most of NARA, electronic contacts are 47 percent of our business, customers make nearly all of their contacts with the Office of the Federal Register electronically. However, while we continue to offer more of our services electronically, we can not control whether customers will use them. This metric does not effectively measure NARA performance. Rather it indicates a willingness or ability of our customers to electronically communicate with us.

Trend Data FY 1999 FY 2000
Percent of NARA electronic contacts (excluding Federal Register) 40.92 47.16
Percent of Federal Register electronic contacts 99.99 99.99
Percent of all NARA electronic contacts 90.70 92.20

Trend Analysis   We continue to see growth in the number of electronic contacts we have with our customers. These numbers will continue to increase as more information and services are made available electronically and also as technology reaches more people.

FY 2001 Performance Plan Evaluation    This metric will be changed in FY 2001 to measure the availability of our services online. We believe this will better measure our goal to provide services to our customers regardless of their location. Our revised Strategic Plan set a new long range performance target of 70 percent of NARA services available online. In FY 2001 we will develop the methodology for measuring available online services and establish a baseline against which we can measure.

2.3 ONLINE CATALOG

FY 2000 Objectives empty checkbox Design and develop Archival Research Catalog and approve for final testing.
  empty checkbox Install computer terminals capable of accessing the NARA Archival Information Locator in 100 percent of NARA's research rooms nationwide.
  checked checkbox Complete installation and analysis of prototype system for online access to electronic records.
Results checkmark We finalized the functional, technical and data requirements for our Archival Research Catalog and approved its design.

"I love the capability of being able to view and search for photos using the NAIL system."

checkmark We completed the technical requirements and purchased the hardware and some software in preparation for installing computer terminals capable of accessing the NARA Archival Information Locator (NAIL) in 100 percent of our research rooms nationwide.
checkmark We described 14 percent of our nationwide archival holdings in the NARA Archival Information Locator.
  checkmark We installed and analyzed the prototype system for online access to electronic records.

Explanation   We made strong progress in moving toward our goal of development of a new Archival Research Catalog. However, we did not approve the catalog for final testing because customization of the commercial software, a necessary precursor to final testing, was not completed. We did not complete installation of computer terminals in all of our research rooms because not all of the rooms are outfitted with the technical and infrastructure requirements necessary to provide connections to the Internet.

Trend Data FY 1999 FY 2000
Percent of nationwide archival holdings described in the NARA Archival Information Locator. 8.35 13.94

Trend Analysis   We described an additional 5.6 percent of our archival holdings during the year.

FY 2001 Performance Plan Evaluation    Development of the Archival Research Catalog will be completed in FY 2001 and all descriptions in NAIL will be migrated to the new system. The catalog will be publicly available by the end of the year. We will also install computer terminals capable of accessing the Archival Research Catalog in all of our research rooms nationwide.

2.4 DECLASSIFICATION

FY 2000 Objectives empty checkbox Review 50 percent of Federal records and 25 percent of Presidential materials more than 25 years old in NARA's custody that are not being reviewed by the originating agency and for which NARA has declassification authority.
  empty checkbox Survey or re-review 35 million pages of declassified records for Restricted Data and Formerly Restricted Data.
  checked checkbox Process and release 250,000 pages of Presidential materials that have been declassified.
Results checkmark We reviewed 15 percent of Federal records in our custody more than 25 years old that were not being reviewed by the originating agency and for which we had declassification authority.
". . .the newly released records contain...the clues to a thousand unsolved mysteries, the answers to a generation of questions."* checkmark We reviewed 29 percent of Presidential materials in our custody more than 25 years old that were not being reviewed by the originating agency and for which we had declassification authority.
checkmark We surveyed or re-reviewed 26,169,215 pages of declassified records for Restricted Data or Formerly Restricted Data.
checkmark We processed and released 300,361 pages of Presidential materials that were declassified.
  checkmark We scanned 160,000 pages of Presidential materials eligible for declassification review as part of the Remote Archives Capture project.

* Ann LoLordo, "Declassified war documents solve mysteries," Baltimore Sun, July 30, 2000.

Explanation    The work of the Nazi War Criminal Records Interagency Working Group (IWG) greatly increased the number of records eligible for review. Our target was based on a smaller universe of records that did not include IWG-related records or new accessions.

We fell short of our goal of surveying or re-reviewing 35,000,000 pages of declassified records for atomic energy information because, during the third quarter, the Department of Energy, which has final authority on this project, directed us to stop work on this project.

Data reported for Presidential materials in our custody more than 25 years old that were not being reviewed by the originating agency and for which we had declassification authority is based on estimates furnished by our Presidential Libraries staff.

Trend Data FY 1999 FY 2000
Backlog of Federal records at start of year. 20,000,000 52,864,239
Number of Federal pages reviewed. 11,030,598 8,051,458
Backlog of Presidential records at start of year. 1,500,000 2,586,836
Number of Presidential pages reviewed. 713,046 747,693
Number of Federal pages declassified. 8,466,836 3,697,276
Number of Presidential pages declassified. 304,811 355,021
Number of Presidential pages released. 291,057 300,361
Number of Presidential pages scanned. 351,165 160,000

Trend Analysis   Work on the declassification and release of Presidential materials held fairly steady from FY 1999 to FY 2000. The number of Federal records reviewed and declassified declined in FY 2000 because of the number of staff hours spent on IWG activities and the surveying and re-reviewing of records for atomic energy information.

FY 2001 Performance Plan Evaluation    The Nazi War Crimes Act and other special declassification projects will reduce the amount of systematic declassification that can be accomplished with existing resources. We have partnered with several agencies that are providing declassification support. We expect to improve our internal ability to track information about our classified and declassified records by installing a new database management system for tracking withdrawn items with scanning and storage capabilities. This will allow us to electronically scan requested documents, input data about the documents, redact documents, and provide redacted copies of scanned documents to researchers.

2.5 PRESIDENTIAL RECORDS

FY 2000 Objectives checked checkbox Prepare, facilitate, and gather inventories for at least 33 percent of the incumbent Presidential and Vice Presidential records and artifacts to be transferred to NARA.
Results checkmark We prepared or acquired inventories for 40 percent of the Presidential and Vice Presidential records and artifacts in the custody of the White House.

FY 2001 Performance Plan Evaluation    Although Clinton Administration records are now in our custody, progress in processing and inventorying the records may be hindered by an unusually large number of special access requests or subpoenas.

2.6 FEDERAL REGISTER PUBLICATIONS

FY 2000 Objectives checked checkbox Establish business process improvement (BPI) team and develop BPI project plan.
  checked checkbox 100 percent of the online publications are the most recent edition and 90 percent are available on-line no later than the date they are available in the print version.
Results checkmark We established the Federal Register business process improvement (BPI) team and developed a project plan.

"The Code of Federal Regulations browse feature, quite frankly, rocks!"

checkmark We awarded a contract for the design of the Federal Register's electronic editing and publishing system, which includes a BPI study.
checkmark We ensured that 100 percent of our online publications were the most recent edition, and we made 93 percent of publications available on-line no later than the date they were available in print.

Trend Data FY 1999 FY 2000
Percent of online publications available no later than the date they were available in the print version. 89.76 93.05
Number of issues published. 713 749
Number of issues published on-line as soon as in print. 640 697

Trend Analysis   The number of issues published remained relatively stable between FY 1999 and FY 2000, only increasing by 5 percent.

FY 2001 Performance Plan Evaluation    We will focus on completing a business process improvement study and cost estimates for the implementation of an electronic editing and publishing system.

2.7 CHARTERS OF FREEDOM

FY 2000 Objectives checked checkbox Display the prototype encasement in the National Archives Building Rotunda with an accompanying exhibit that explains the encasement project.
  checked checkbox Complete fabrication of the first and second new encasements for the Charters of Freedom documents.
  checked checkbox Re-encase the transmittal page and page two of the Constitution.
Results checkmark We opened an exhibition, "Preserving the Charters of Freedom," in the Rotunda and on our web site.
"For twenty-one decades, this document has protected us - and we've protected it."* checkmark We designed and fabricated the first two maintenance-free encasements for the Charters of Freedom.
checkmark We re-encased the transmittal page and page two of the Constitution in the newly fabricated encasements.

* Remarks by Michael Beschloss, September 15, 2000, National Archives Building, Washington, DC.

FY 2001 Performance Plan Evaluation    We will complete fabrication of the remaining seven encasements for the Charters of Freedom, and re-encase page three of the Constitution.

2.8 NHPRC GRANTS

FY 2000 Objectives checked checkbox Produce results promised in grant applications approved by the Commission for 82 percent of all NHPRC-assisted projects.
Results checkmark We produced the results promised in grant applications approved by the Commission for 94 percent of NHPRC-assisted projects.

Trend Data FY 1999 FY 2000
Number of NHPRC-assisted projects completed. 100 67
Number of NHPRC-assisted projects that produced the results promised. 89 63
Percent of NHPRC-assisted projects that produced the results promised. 89 94

Trend Analysis   Although fewer grants were completed this year, the percentage producing the results promised in grant applications increased by 5 percent.

FY 2001 Performance Plan Evaluation    The types of grants we fund may influence the results. Certain grants, such as research and development grants, have a higher risk of not achieving their intended results. If the number of grants in these areas increases, as the Commission's priorities encourage, then a steady or low percentage of successful grants may be a justifiable target. We need to see what trends develop in the data over the next few years to determine if our target levels are realistic and whether our measurement methodology is meaningful.


STRATEGIC GOAL 3: SPACE AND PRESERVATION
ALL RECORDS WILL BE PRESERVED IN APPROPRIATE SPACE FOR USE AS LONG AS NEEDED.


3.1 HOLDINGS IN APPROPRIATE SPACE

FY 2000 Objectives checked checkbox Complete concept design for renovation of the National Archives Building.
empty checkbox Complete 90 percent of the final design for the renovation of the National Archives Building.
checked checkbox Award contracts for two pre-renovation construction projects in the National Archives Building.
checked checkbox Complete move of records from the National Archives Building to the National Archives at College Park, and complete shifting of the records within the National Archives Building to create records-free construction zones.
empty checkbox Publish facility standards for archival facilities.
empty checkbox Complete site selection survey process for Southeast regional archives facility.
empty checkbox Award design contract for Alaska regional archives facility.
empty checkbox Publish facility standards for Presidential libraries.
checked checkbox Lease, modify, and equip temporary facility for Clinton Presidential Materials Project.
empty checkbox Complete the design phase and award construction contracts at the Roosevelt and Truman libraries.
empty checkbox Move 520,000 cubic feet of records to the Southeast regional records center facility in Palmetto, Georgia.
checked checkbox Publish final facility standards for the storage of Federal records in records centers.
checked checkbox Implement reimbursable operations of records centers.
Results checkmark We completed 100 percent of the concept design for renovation of the National Archives Building, and we completed 85 percent of the final design.
checkmark We awarded five pre-renovation construction contracts and issued notices to proceed.
checkmark We moved 195,861 cubic feet of records from the National Archives Building to College Park to create records-free construction zones during the renovation.
checkmark We drafted facility standards for archival facilities and circulated them for internal comment.
checkmark We initiated negotiations with the State of Georgia and Clayton College and State University for the site selection of the Southeast regional archives facility.
checkmark We awarded an architecture and engineering contract for design of our Alaska regional archives facility.
checkmark We leased, modified, and equipped a temporary facility for the Clinton Presidential Materials Project.
checkmark We completed the first phase of a two-phase construction contract for the Truman Library renovation.
checkmark We published final facility standards for the storage of Federal records in records centers.
checkmark We moved 300,000 cubic feet of records to the new Southeast regional records center facility in Palmetto, Georgia.
checkmark We implemented 100 percent reimbursable operations for our records centers effective October 1999.

FY 2000 Explanation and FY 2001 Performance Plan Evaluation   We completed the concept design for the renovation of the National Archives Building, but fell short of our goal of completing 90 percent of the final design. We completed 95 percent of the final design in the first quarter of FY 2001. We awarded five pre-renovation contracts (see Appendix A for a list of the projects).

We moved nearly 200,000 cubic feet of records to the National Archives at College Park to create records-free construction zones in the National Archives Building. We will need to continue moving records from the National Archives Building to College Park as we renovate the building. Future record movement will take place as dictated by the changing needs of renovation. However, we will not track records moves in the FY 2001 performance plan. We expect that renovation of the National Archives Building will progress on schedule.

We drafted facility standards for archival facilities and circulated for internal review. Other high priority issues prevented us from completing this objective. The Office of Management and Budget (OMB) has determined that the proposed rule must be submitted for review under Executive Order 12866 before publication, which will substantially increase the time required for the rulemaking process at both the proposed and final rule stages. We also did not complete facility standards for Presidential libraries because the archival standards rule needs to be established first. Because of the OMB clearance requirements, this work will not be completed until FY 2002.

We were unable to complete site selection for a new Southeast regional archives facility. Negotiations continued with the State of Georgia and Clayton College and State University on how to best use the entire site, the location of the NARA building, and the final configuration of the building. The site selection process is on hold until negotiations are completed.

Completing the move of 520,000 cubic feet of records to the Southeast regional records center in Palmetto, Georgia, was halted due to factors beyond our control. After moving 300,000 cubic feet of records into the Palmetto facility, which is anchored by a Federal Supply Service Depot, General Services Administration (GSA) announced its intentions to close the depot. With this announcement, NARA occupancy in the Palmetto facility posed a great risk because the closure of the FSS depot indicated that GSA would not likely exercise its option to renew the lease with the lessor beyond 2009. Negotiations between GSA and the lessor aimed at providing NARA with an option to continue to occupy space in the facility beyond 2009 were unsuccessful. In FY 2001 we will lease a replacement facility in the Atlanta area.

We awarded a design contract to an architectural and engineering firm to design a new Alaska regional archives facility. However, site selection negotiations did not conclude, and a final site has not been selected.

We successfully leased, modified, and equipped a temporary facility for the Clinton Presidential Materials Project. While the facility was completed and ready for occupancy at the end of the fiscal year, we delayed occupancy until October 16 to avoid one month's rental cost.

The location of the new Visitors Center at the Roosevelt Library became an issue with the National Park Service (NPS) and the State Historic Preservation Officer. We agreed to relocate the center to NPS land adjacent to the Roosevelt estate, and NPS has paid for modification of the plans. NPS funding for construction is planned in FY 2002.

We awarded a two-phase construction contract for work on the Truman Library. Phase I was completed. Phase II will complete in FY 2001.

We successfully implemented the reimbursable records center program to provide safe and economical storage and retrieval services for 20 million cubic feet of Federal agency records.

3.2 PRESERVATION OF AT-RISK HOLDINGS

FY 2000 Objectives checked checkbox Perform required preservation action on an additional 2 percent of identified at-risk previously accessioned Federal records in the Washington, DC, area.
checked checkbox Survey existing archival collections in Presidential libraries and regional records services facilities to identify at-risk materials (excluding objects and artifacts).
checked checkbox Hire preservation staff in the National Personnel Records Center and award a contract to duplicate Air Force flight records microfilm.
empty checkbox Procure cold storage for acetate-based records in the Washington, DC, area and transfer 50 percent of these records to cold storage.
Results checkmark We performed required preservation action on an additional 22 percent of identified at-risk previously accessioned Federal records in the Washington, DC, area.
checkmark We surveyed existing archival collections in Presidential libraries and regional archives facilities to identify at-risk materials.
checkmark We hired seven preservation staff for the National Personnel Records Center and awarded a contract to duplicate Air Force flight records microfilm.
checkmark We procured cold storage for acetate-based, non-textual records in the Washington, DC, area and transferred 38 percent of these records to cold storage.

Explanation   We exceeded our goal by 20 percent in providing required preservation action on identified at-risk previously accessioned Federal records in the Washington, DC, area. We fell short of making our goal of transferring 50 percent of acetate-based, non-textual records in the Washington, DC, area to cold storage by 12 percent. However, we overestimated the number of records we will put in cold storage. If we adjust for this overestimate, we met our goal with 51 percent of our acetate-based, non-textual records transferred to cold storage.

Trend Data FY 1999 FY 2000
Cubic feet of records treated this year. 4,971 35,864
Percent of cumulative backlog treated this year. 3.08 22.21
Total percent of cumulative backlog treated. 3.08 25.29

Trend Analysis    We accomplished significantly more preservation treatment of identified at-risk previously accessioned Federal records in the Washington, DC, area, with an additional 22 percent of the backlog of records treated. About 65 percent of those records (22,977 cubic feet) were treated by putting them in cold storage. Excluding cold storage records, we treated about 12,500 cubic feet by other preservation methods, doubling the amount of records we treated in FY 1999. A large portion of the textual records treated in FY 2000 were Holocaust/World War II era records identified as high use and at-risk by the NARA members of the Nazi War Criminal Records Interagency Working Group (IWG).

FY 2001 Performance Plan Evaluation    We will complete moving records to cold storage. The inclusion of these records will keep our preservation treatment rate high. In future years, as preservation methods other than cold storage are employed, our treatment rate will slow.

3.3 PRESERVATION OF ELECTRONIC RECORDS

FY 2000 Objectives checked checkbox Preserve and make accessible 60 percent of electronic records in NARA holdings in accordance with applicable standards, regardless of their original format.
  checked checkbox Complete systems analysis for enhanced Archival Preservation System for electronic records.
  empty checkbox Achieve capability to preserve document image files.
  checked checkbox Manage and preserve 66 percent of Bush and Reagan electronic records.
Results checkmark We preserved and made accessible 95 percent of NARA's electronic holdings, regardless of their original format.
  checkmark We performed systems analysis for an enhanced Archival Preservation System for electronic records.
  checkmark We approved a research plan to achieve the capability of preserving document images.
  checkmark We managed and preserved 99 percent of Bush and Reagan electronic records.

Explanation   Studies have indicated a technology gap exists in the preservation of electronic records. There is no existing standard, or standards, which define image formats that are clearly candidates for long term preservation of digital images in general, or document images in particular. We are addressing the technology gap through National Partnership for Advanced Computational Infrastructure (NPCACI) research, which we are co-sponsoring with the National Science Foundation.

Trend Data FY 1999 FY 2000
Number of electronic files in NARA's custody. 100,000 622,038
Number of electronic files managed and preserved. NA 590,096
Number of Bush and Reagan electronic records. NA 463,787
Number of Bush and Reagan electronic records managed and preserved. NA 463,622

Trend Analysis   There is no comparable data available in FY 1999.

FY 2001 Performance Plan Evaluation    In FY 2001 we have changed the definition of electronic files and are counting logical data records. This change enables us to compare different types of electronic records and will provide a more reliable standard of measurement. Due to the huge influx of electronic records in FY 2001 and future years, we have lowered our targets to reflect our projected performance against a rapidly expanding universe.


STRATEGIC GOAL 4: INFRASTRUCTURE
NARA'S CAPABILITIES FOR MAKING CHANGES NECESSARY TO REALIZE OUR VISION WILL CONTINUOUSLY EXPAND.


4.1 STAFF PERFORMANCE

FY 2000 Objectives empty checkbox Issue written guidelines to managers on implementing the new appraisal system.
empty checkbox Train managers and employees on the new appraisal system.
empty checkbox Implement the new appraisal system among 15 percent of NARA employees by linking employee individual performance plans to NARA's Strategic Plan.
Results checkmark We developed a model to link individual employee performance plans to our Strategic Plan.

Explanation   We struggled with how to develop a model that would fit within our performance appraisal process and could be implemented for every employee throughout NARA. We linked senior manager performance plans to NARA's Strategic Plan, but to accomplish this for every employee was challenging. We developed a model to link performance plans to our Strategic Plan and tested it on a small sampling of employee performance plans.

FY 2001 Performance Plan Evaluation   We expect to issue written guidelines and train managers, and anticipate meeting our goal of linking all performance plans with our Strategic Plan by the end of FY 2002.

4.2 DIVERSITY

FY 2000 Objectives empty checkbox Provide formal diversity training to 45 percent of NARA managers and employees.
empty checkbox Employ and recruit percentages of people in protected classes so that NARA's percentages match 60 percent of those percentages of people in protected classes in national PATCOB categories.*
checked checkbox Increase the percentage of people in protected classes in pools of applicants from which to select for positions in Grades 13 and above, over the percentage in FY 1999.
Results checkmark We provided diversity training to 19 percent of NARA managers and employees.
checkmark We employed people in protected classes so that our percentages matched at least 60 percent of the national averages in 16 out of 25 PATCOB categories.
checkmark We increased the percentage of people in protected classes in pools of applicants for positions at grades GS-13 and above from 48 percent to 63 percent.

Explanation We fell short of our objective for providing diversity training to our staff. Attendance levels in the training classes were below our expectations.

We met our objective of employing people in protected classes in 16 out of 25 PATCOB categories. However, the lack of well-qualified applicants in 9 out of 25 of the categories is an impediment to changing these outcomes (see detailed data in Appendix A).

Trend Data FY 1999 FY 2000
Number of applicant pools for positions in grades 13 and above formed. 21 24
Number of applicants for positions in grades 13 and above. 499 281
Average number of applicants in each pool. 23.76 11.71
Number of pools that had self-identified applicants in protected classes. 10 15
Number of self-identified applicants in protected classes in the pools. 38 72
Percent of total applicants who self-identified in protected classes. 7.61 25.62
Average percent of applicants in pools who self-identified in protected classes. 16 41

Trend Analysis Despite an almost complete turnover of staff in our EEO office, we held steady with our efforts to recruit and employ people in protected classes. We met or exceeded our targets in the same 16 out of 25 categories that we met in FY 1999. Conversely, we failed to meet targets in the same categories that we fell short on in FY 1999. We expect that, with a new EEO staff on board, we will see new approaches taken to improving performance.

FY 2001 Performance Plan Evaluation We will employ a new delivery system for diversity training that will improve attendance. We will also improve our method of analysis of applicant pools because the current manner of determining representation of minority group and female applicants is not standardized and finite enough.


*  Protected classes are women, minorities (African-Americans, Hispanics, Asian-Americans/Pacific Islanders, and American Indians/Alaskan Natives), and disabled individuals. PATCOB categories are Professional, Administrative, Technical, Clerical, Other and Blue Collar occupations used to categorize the Civilian Labor Force data collected by the U.S. Census Bureau.

4.3 TRAINING

FY 2000 Objectives checked checkbox Implement a curriculum to instruct 10 percent of NARA supervisors and managers in the supervisory competencies expected of all managers.
empty checkbox Test and refine courses and instruct 10 percent of employees in universal and supplemental competencies (as piloted in FY 1999).
empty checkbox Instruct remaining managers on the Government Performance and Results Act and its application in the agency.
Results checkmark We trained 33 percent of supervisors and managers in supervisory competencies.
checkmark We trained 9 percent of the workforce in universal and supplemental competencies.
checkmark We instructed 98 percent of managers on the Government Performance and Results Act and its application in the agency.

Explanation   We fell short of meeting our objective of instructing 10 percent of our workforce in universal and supplementary competencies. Universal and supplemental competencies are the areas of knowledge and the skills that every NARA employee must have in order to perform effectively within the agency (e.g., customer service, information resources management, and oral and written communications). We were short by 6 managers in instructing 100 percent of NARA managers on the Government Performance and Results Act. These were managers hired during the latter part of the fiscal year who were not scheduled for training until early FY 2001.

Trend Data FY 1999 FY 2000
Number of supervisors and managers trained in supervisory competencies. NA 91
Number of managers instructed on the Government Performance and Results Act. 80 269
Number of supervisors and managers. 278 275
Number of employees instructed in universal and supplemental competencies. NA 248
Number of employees. 2,829 2,843

Trend Analysis   We began training in universal and supplemental competencies for employees and in supervisory competencies for supervisors and managers in FY 2000. Curricula were developed and piloted in FY 1999.

FY 2001 Performance Plan Evaluation   We plan to initiate an agency-wide Individual Development Plan (IDP) program that will link an individual's competency set with the performance requirements of his/her unit that is linked to NARA's Strategic Plan performance requirements.

4.4 TECHNOLOGY

FY 2000 Objectives checked checkbox Increase overall performance to 85 percent effectiveness by making substantial improvements in services to the desktop functional area.
checked checkbox Renovate 100 percent of mission critical systems for Year 2000 compliance.
Results checkmark We increased our overall network effectiveness to 94 percent:
--Total network availability, 99.9 percent
--User Support Services, 92.0 percent
--Service Delivery to the Desktop, 90.1 percent
checkmark We met Year 2000 compliance by renovating 100 percent of our mission critical systems.

FY 2001 Performance Plan Evaluation   We expect the overall network effectiveness of NARANET to remain high.

4.5 RECORDS LIFE-CYCLE SYSTEM

FY 2000 Objectives empty checkbox As part of the scheduling reinvention project, complete information gathering from Federal agency staff, NARA staff, and interested members of the public. Complete analysis of existing scheduling process and records life cycle ("as-is model"). (see also Target 1.1)
empty checkbox Design and develop Archival Research Catalog and approve for final testing. (see also Target 2.3)
checked checkbox Complete installation and analysis of prototype system for on-line access to electronic records. (see also Target 2.3)
empty checkbox Complete installation and implementation of order fulfillment system.
Results checkmark We awarded a contract to gather and analyze information about the views and perceptions of Federal agencies concerning the creation, maintenance, use, and disposition of their records.
checkmark We developed a methodology for NARA staff to examine agency work processes and the records generated to determine actual recordkeeping practices.
checkmark We completed "as is" models of the existing appraisal process within NARA and the records scheduling process in agencies.
checkmark We installed and analyzed the prototype system for online access to electronic records.
checkmark We finalized the functional, technical and data requirements for our Archival Research Catalog and approved its design.
checkmark We described 14 percent of our nationwide archival holdings in the NARA Archival Information Locator.
checkmark We deployed an order fulfillment system to 95 percent of all regional facilities, the Office of the Federal Register, and the Washington National Records Center.

Explanation   We described the performance of most of these objectives in other sections of this report (see Target 1.1 and 2.3). We deployed an order fulfillment system at 21 regional sites plus the National Archives Building and the National Archives at College Park. Deployment at three additional sites was deferred pending resolution of some system performance issues.

FY 2001 Performance Plan Evaluation   We expect to complete installation and implementation of our order fulfillment system.


APPENDIX A: OUTPUTS

This appendix contains supplemental output information on selected objectives in this report. Objectives not listed below have no significant supplemental data.

2.1   Meet or exceed NARA's published standards for access to records and services.

  • 107,149 archival written requests answered; 98,484 answered within 10 working days.
  • 765,285 items furnished in our research rooms; 689,500 furnished within one hour of the request or the scheduled pull time.
  • 38,342 customers with appointments; 38,109 of these customers had records waiting at the appointed time.
  • 9,286,882 routine Federal agency records center reference requests; 7,322,300 were ready within 24 hours of receipt in the center.
  • 407 public education programs and workshops rated by users; 388 rated as "excellent" or "very good."
  • 8,618 FOIA requests answered; 2,437 answered within 20 working days.

2.3   Describe 10 percent of holdings in NARA Archival Information Locator.

  • 2,767,668 cubic feet of NARA archival holdings nationwide.
  • 385,909 cubic feet described in NAIL.

3.1   Complete repair and renovation projects at 10 Presidential libraries (from FY 1999 plan).

Completed in FY 1999:

  • Completed study of the fire suppression system at the Roosevelt Library.
  • Installed a new cooling tower at the Truman Library.
  • Inspected and reported on unused underground fuel tanks at the Truman Library.
  • Completed study of water leaks at the Kennedy Library.
  • Installed a ramp to help disabled individuals use the Carter Library.
  • Repaired the HVAC system, including major alterations to the humidifying system at the Reagan Library.

Completed in FY 2000:

  • Completed joint energy conservation project with the Department of Energy at the Eisenhower Library.
  • Completed historic restoration at the Roosevelt Library.
  • Completed replacement of a chiller at the Ford Library.
  • Completed installation of an emergency generator and power distribution system at the Hoover Library.

3.1   Award contracts for two pre-renovation construction projects in the National Archives Building.

  • Five pre-renovation construction contracts were awarded for the following work:
    • Demolish shelving and decking on tiers 3 through 6 and construct office space in moat and part of the east-side basement on Pennsylvania Avenue side of building.
    • Replace sprinkler heads in stack areas outside of the renovation areas.
    • Design and install fiber optic lighting system for exhibit cases, murals, dome, and foyers of the Rotunda.
    • Design and install a new retraction system and vault to hold the re-encased Charters of Freedom.
    • Remove, restore, and remount the Rotunda murals.

4.2   Provide formal diversity training to 45 percent of NARA managers and employees.

  • 2,843 employees.
  • 537 received diversity training (18.88 percent).

4.2   Employ and recruit percentages of people in protected classes so that NARA's percentages match 60 percent of those percentages of people in protected classes in national PATCOB categories.

We employed people in protected classes so that our percentages matched 60 percent of those percentages of people in protected classes in 16 of 25 national PATCOB categories. The categories where we met or exceeded the objective are checked below.

Number of Employees By PATCOB Category FY 2000 Actual (percent) Target (percent) National Average (percent) FY 1999 Actual (percent)

431 employees in Professional category
checkmark 167 Women 38.8 22.2 37.0 36.5
checkmark 37 Black 8.6 3.4 5.6 8.3
   2 Hispanic 0.5 2.1 3.5 0.5
    3 Asian American/Pacific Islander 0.7 3.7 5.4 0.7
checkmark 1 American Indian/Alaskan Native 0.2 0.2 0.4 0.2

354 employees in Administrative category
checkmark 186 Women 52.5 30.0 50.0 55.2
checkmark 63 Black 17.8 5.3 8.9 17.8
   3 Hispanic 0.8 3.1 5.2 0.6
checkmark 9 Asian American/Pacific Islander 2.5 1.7 2.8 1.5
checkmark 2 American Indian/Alaskan Native 0.6 0.4 0.6 0.6

568 employees in Technical category
checkmark 307 Women 54.1 32.9 54.9 51.1
checkmark 161 Black 28.3 6.1 10.2 28.2
   11 Hispanic 1.9 4.0 6.6 1.5
   7 Asian American/Pacific Islander 1.2 2.1 3.5 1.3
   1 American Indian/Alaskan Native 0.2 0.5 0.8 0.1

1,227 employees in Clerical category
checkmark 784 Women 63.9 48.4 80.6 64.9
checkmark 574 Black 46.8 7.4 12.4 47.2
   19 Hispanic 1.6 4.1 6.9 1.5
checkmark 34 Asian American/Pacific Islander 2.8 1.6 2.7 2.4
checkmark 7 American Indian/Alaskan Native 0.6 0.4 0.6 0.3

24 employees in Blue Collar category
   1 Woman 4.2 8.5 14.2 3.8
checkmark 13 Black 54.2 6.8 11.3 61.5
checkmark 2 Hispanic 8.3 6.1 10.2 7.6
checkmark 1 Asian American/Pacific Islander 4.2 1.3 2.2 3.8
   0 American Indian/Alaskan Native 0.0 0.6 1.0 0.0

APPENDIX B: PROGRAM EVALUATIONS

STRATEGIC GOAL 2: ACCESS

Office of Administrative Services, Classified National Security Information and Access to Classified Information Program Audits, February 18, 2000; February 25, 2000.

NARA conducted program audits at the Southeast regional records services facility in Atlanta, GA, and the Mid-Atlantic regional records services facility in Philadelphia, PA. There were no findings requiring an official reply or corrective action.

Office of Administrative Services, Information Security Review, February 17, 2000.

NARA conducted an information security review of the Jimmy Carter Library. No recommendations were made and the review was closed.

STRATEGIC GOAL 3: SPACE AND PRESERVATION

Office of Administrative Services, Physical Security Task Force Report, May 3, 2000.

The Archivist's Physical Security Task Force forwarded recommendations for preventative changes in physical security policies and practices at the National Archives Building and at the National Archives at College Park to the Archivist. These measures, approved by the Archivist, will tighten physical security at both facilities.

Office of Administrative Services, Physical Security Reviews, George Bush Library, November 31, 1999; Lyndon Baines Johnson Library, December 1, 1999; Gerald R. Ford Library, February 23, 2000; Gerald R. Ford Museum, February 24, 2000; Franklin D. Roosevelt Library, March 6-8, 2000; Ronald Reagan Library, March 22-23, 2000; Jimmy Carter Library, August 10-11, 2000.

NARA conducted physical security reviews at these 7 sites and identified no problems in the reviews.

Office of Administrative Services, Physical Security Reviews, New York, March 8-9, 2000; Laguna Niguel, March 20-21, 2000; Dayton, August 7-9, 2000; St. Louis, August 22-23, 2000.

NARA conducted physical security reviews at these 4 sites and identified no problems in the reviews.

STRATEGIC GOAL 4: INFRASTRUCTURE

Office of the Inspector General, Review of NARA's Process for Investing in Information Technology Projects, OIG Report 00-02, April 10, 2000.

The Inspector General reviewed 22 out of 26 approved NARA IT projects and made 7 recommendations to the Office of Human Resources and Information Services for improving the selection, control, and evaluation phases of NARA's IT investment process. As of September 30, 2000, two of the recommendations were completed.

Policy and Planning Staff, NARA Implementation of the Federal Activities Inventory Reform (FAIR) Act, January 21, 2000.

In compliance with the Federal Activities Inventory Reform (FAIR) Act, NARA compiled information about the activities performed by each office and submitted it to OMB. OMB approved the inventory and published a notice of availability in the Federal Register on September 30, 1999. NARA made the inventory available to the public as required for 30 days via our website, fax-on-demand, mail, email, and fax. We received no challenges to the inventory. The Archivist reviewed the inventory and decided that of the 35 items on the inventory, 27 will be retained in-house. Of the remaining functions, 5 are undergoing significant changes in their work processes and will be reassessed when these changes are completed. Two of the final 3 activities were reviewed during FY 2000 and a determination was made to retain these in-house. The final activity will be reviewed during FY 2001.

MULTI-GOAL EVALUATIONS

Office of the Federal Register, Internal Review of the Internal Control System for the Certificates of Ascertainment and Vote, June-September 2000.

The office reviewed its internal control system for the certificates of ascertainment and vote and determined that NF controls work effectively and are not excessive. Several processes were updated to accommodate changes to the program and to apply technological solutions to improve communications, log-in and data tracking, and public inspection methods.

Office of the Inspector General, Evaluation of the Accuracy of NARA's Performance Measurement Data, OIG Report 01-02, March 2, 2001.

The Inspector General reviewed 10 out of 31 numeric performance objectives in NARA's FY 2000 Annual Performance Plan and commended NARA for the improvements made in the quality and reliability of the data since the last evaluation. The Inspector General also made 2 recommendations to improve specific metric reliability. NARA will implement the recommendations in FY 2001.

Office of the Inspector General, Evaluation of NARA's Management Control Program for Fiscal Year 1999, OIG Memorandum 00-01, May 26, 2000.

The Inspector General reviewed NARA assurance statements and related management control documents and determined that NARA complied with the intentions of the Federal Managers' Financial Integrity Act (FMFIA), OMB Circular A-123, and OMB Circular A-127. No material weakness in the management control program for FY 1999 were found, and no recommendations were made.

Office of Presidential Libraries, Program Review, January 11-14, 2000.

The office reviewed the Carter Presidential Library and made 41 recommendations for improvement in several areas. As of September 30, 2000, all items identified for library action were closed.

Office of Presidential Libraries, Program Review, April 4-7, 2000.

The office reviewed the Truman Presidential Library and made 55 recommendations for improvement in several areas. As of September 30, 2000, all items identified for library action were closed.

Office of Presidential Libraries, Program Review, June 21-23, 2000.

The office reviewed the Roosevelt Presidential Library and made 26 recommendations for improvement in several areas. As of September 30, 2000, all items identified for library action were closed.

For more information about these reports, contact the Policy and Planning Staff on 301-837-1850 or by email at Contact NARA.

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