About the National Archives

Fiscal Year 2002

Annual Performance Report

Submitted to the Congress
February 27, 2003


Table of Contents

Preface from the Archivist

Introduction

Strategic Goal 1: Essential Evidence

Strategic Goal 2: Access

Strategic Goal 3: Space and Preservation

Strategic Goal 4: Infrastructure

Appendix A: Outputs

Appendix B: Program evaluations

Appendix C: Federal records management evaluations


In a democracy, records matter.

For more than six decades, the National Archives and Records Administration has preserved and provided access to the records of the Federal Government for the American people. Without these records, we would not know or be able to understand our past. We would not be able to hold our elected officials accountable for their actions. We would not be able to claim our rights and entitlements. Without these records, we would no longer live in a democracy.

Our history and our rights are found not only in Constitutional amendments and Presidential proclamations, but also, for example, in veterans records of those who fought for our rights, and immigration records of the people whose dreams have shaped our country. These records are as essential to the functioning of our democracy as the Bill of Rights.

In this report of the last year, you will find information on how we continue to ensure that the records we hold are preserved and available to you. For example, we continued the renovation of the National Archives Building and the conservation and re-encasement of the Charters of Freedom. We advanced the development of the Electronic Records Archives, which will enable us to preserve electronic records far into the future. We worked hand-in-hand with other Federal agencies to make strides in electronic government initiatives and to redesign Government records management.

We moved forward construction projects at our facilities across the country that will allow us to better serve visitors to our regional archives and Presidential libraries. We opened the 1930 census records to patrons eagerly awaiting access to this information. And in everything we did, we strove to provide top-notch service to all our customers, especially the American public.

Every day, our employees work to advance the initiatives mentioned above, and also perform the day-to-day tasks that allow us to provide ready access to the essential evidence of our Government. Staff assist researchers in locating information, welcome visitors to the Presidential Libraries, help Federal agencies manage their records, painstakingly preserve historic documents, and respond to hundreds of requests for specific records. They test and troubleshoot new systems to make more information accessible online, develop and maintain web sites that bring the National Archives to the public, fill the requests of veterans for copies of their service records, listen to audiotapes of voices from the past, and teach schoolchildren and adults alike the legacy of the Americans who came before us.

At the National Archives and Records Administration, we work to ensure that anyone can have access to the records that matter to them. That is our mission, and our pledge to the American people.

JOHN W. CARLIN
Archivist of the United States


Introduction


What is the National Archives?

The National Archives and Records Administration 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, business and occupational researchers; publication and broadcast journalists; 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; 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 an appropriate environment 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, updated and reissued September 2000. 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 2002 Annual Performance Plan. The following pages detail our performance on all our FY 2002 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. Also our budget is linked to the report's performance goals. We received no aid from nonfederal parties in preparing this report.

Budget Resources. Following is a summary of the resources, by budget authority, we received to meet our FY 2002 Objectives.

Operating Expenses   $239,454,000
Repairs/Restorations   $40,143,000
Grants   $6,436,000
Total Budget Authority   $286,033,000
 
Redemption of Debt   $6,612,000
Total Appropriation   $292,645,000
 
Total FTE   2,829

Performance Measurement. We continue using four mechanisms to measure actual 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 2002.) 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. Since then, we have continued to integrate and expand 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.

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 2001 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.

In our continuous effort to improve our performance measurement program, we are in the middle of a two-year project to upgrade our Performance Measurement and Reporting System (PMRS). We want to take advantage of web infrastructure to collect our performance data from the more than 70 organizational units that send data to PMRS from all over the country. We also want to use newer, more robust, and enterprise-level databases to store the data and deliver reports, thereby minimizing the maintenance burden on desktop databases now used for data collection. This upgrade will enable us to collect our performance data more consistently and more efficiently, and will allow us to store much more data for use in analyzing trends.

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 2002 progress in making that a reality.


STRATEGIC GOAL 1: ESSENTIAL EVIDENCE

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

Long Range Performance Targets 1.1. By 2007, 100 percent of targeted assistance partnership agreements deliver the results promised.
 
  1.2. By 2007, 60 percent of approved new records schedule items cover records created within the last 2 years.
 
  1.3. By 2007, the median time to process records schedule items is 120 calendar days or less.

FY 2002 Resources Available to Meet This Goal: $19,921,000; 150 FTE

1.1 TARGETED ASSISTANCE

FY 2002 Objective complete Deliver the results promised on 85 percent of targeted assistance partnership agreements.
 
Results  NARA delivered the results promised on 100 percent of targeted assistance partnership agreements or major projects within an agreement.
 
"...one of the best discussions and mutual problem resolution processes we could have experienced."  NARA increased the number of partnership agreements or major projects within an agreement established with Federal agencies from 222 to 305.
   NARA increased by 50 percent over last year the nbumber of Federak agency staff trained in records management and electronic records management, particularly outside the Washington, DC, area.
Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Annual number of targeted assistance agreements or major projects within an agreement completed. 2 37 58 76
Annual number of successful targeted assistance agreements or major projects within an agreement completed. 2 37 58 76
Annual percent of targeted assistance partnership agreements or major projects within an agreement delivering the results promised. 100 100 100 100
Annual number of targeted assistance partnership agreements or major projects within an agreement established with Federal agencies. 33 123 66 83
Cumulative number of targeted assistance partnership agreements or major projects within an agreement established with Federal agencies. 33 156 222 305
Number of Federal agency staff receiving NARA training in records management and electronic records management. 2,997 3,506 2,506 3,746

Trend Analysis We established 83 new projects with Federal agencies this year, 26 percent more than last year. Since the program began in 1999 we have established 305 projects and assisted 75 unique agencies. We increased the records management training we provide to Federal agency staff by 50 percent over last year, and over the past 4 years have trained an average of 3,200 staff each year.

FY 2003 Performance Plan Evaluation As we continue to 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 (see Appendix C).

1.2 SCHEDULE NEW RECORDS

FY 2002 Objectives complete Ensure 25 percent of approved new records schedule items cover records created within the last 2 years.
 
  complete Complete development of business case and workplan for Electronic Records Management (ERM) E-Government Initiative.
 
  not closed out Complete test of records management application with selected NARA users.
 
Results  We ensured that 33 percent of approved new records schedule items cover records created within the last 2 years.
 
   We developed an ERM E-Government initiative vision, goals, and objectives, which were confirmed by OMB, and a detailed work plan and financing strategy.
 
   We issued transfer guidance for 1 electronic record format - exisitng permanent email records with their attachments.
 
   We awarded a contract to test our records management application with selected NARA users.

Explanation After review of the ERM initiative business case submitted in December 2001, NARA and the Office of Management and Budget refocused the ERM initiative. Consequently, we did not develop a full FY 2002-2003 business case but moved on directly to development of the work plan. We developed a vision, goals, and objectives that were confirmed by OMB and the records officer community of interest. We developed summary work plans and detailed work plans, as well as a financing strategy, and submitted these to OMB. These efforts provided the necessary direction for the ERM initiative in FY 2002, and will continue to do so in FY 2003.

We completed last year's objective to install and test a Records Management Application (RMA) at NARA and, despite a 3-month delay, collected some valuable experience in electronic records management that we were able to apply to the next phase of this project. We awarded a contract to assist us in piloting the RMA to a select NARA unit and addressed some technical issues that needed to be resolved before beginning the pilot.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Number of schedule items submitted by agencies. 4,199 8,863 3,262 6,036
Number of schedule items completed. 3,262 5,664 4,728 9,374
Number of new schedule items completed. 935 1,961 2,544 5,161
Number of new schedule items completed within 2 years of the records creation. 220 544 520 1,701
Percent of new schedule items completed within 2 years of the records creation. 23.52 27.74 20.44 32.95

Trend Analysis In measuring the percent of new schedule items completed within 2 years of the records creation, we are measuring both the promptness by which Federal agencies bring records under records management control and NARA approval of the records schedule items. Nearly twice the number of schedule items were submitted by agencies in FY 2002 than in FY 2001. We more than doubled the number of new schedule items we completed this year, and more than tripled the number of new schedule items completed within 2 years of records creation. This overall positive trend from FY 1999 to FY 2002 is the result of process improvements we made two years ago that continue to yield increased productivity.

FY 2002 Performance Plan Evaluation We expect to be able to achieve our target of completing 25 percent of new records schedule items within 2 years of the records creation.

1.3 CLOSE OUT SCHEDULE ITEMS

FY 2002 Objectives not closed out Process records schedule items within a median time of 240 calendar days or less.
 
  complete Review and revise, as necessary, records scheduling and appraisal policies.
 
Results  We completed a final report of the study of the creation, maintenance, use, and disposition of records in Federal agencies.
 
"...a solid step toward a new era in government records management." Federal Computer Week  We reviewed records scheduling, appraisal, and accessioning policies and issued a Proposal for a Redesign of Federal Records Management.
 
 We analyzed Federal agency business processes and the records they generate for 3 agencies.

Explanation The overall cycle time for closing out records schedule items increased this year to a median time of 470 days. Excluding the time required for coordination by other agencies, the median cycle time within NARA was 403 days. While this is a significant increase in cycle time compared with last year, this occurred because we tackled some of the oldest schedules on our books. Because many of these older schedules had high item counts, we closed out 98 percent more schedule items in FY 2002 than in FY 2001.

We originally intended to analyze Federal agency business processes and the records they generate at 12 to 15 Federal agencies. However, only 11 agencies agreed to participate during FY 2001. At the end of the study we determined that a few important agency cultures and work processes were not adequately covered. We completed three additional analyses in FY 2002.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Number of schedule items completed. 3,262 5,664 4,728 9,374
Number of records schedule items completed within 120 calendar days of submission to NARA. 469 1,229 659 1,999
Percent of records schedule items completed within 120 calendar days of submission to NARA. 14.37 21.69 13.93 21.32
Median time for records schedule items completed (in calendar days). 336.5 283 237 470

Trend Analysis Through FY 2001 we significantly lowered the cycle time for processing records schedules from 337 calendar days to 237 calendar days, an overall 30 percent reduction since FY 1999. However, because we focused on older records schedules this year, our median cycle time increased significantly. Now that we have cleared the oldest schedules from our backlog, we expect to see improvement in this metric. We will be readdressing how we measure our records scheduling process, as we develop a new model for the scheduling, appraisal, and accessioning process through our Life Cycle Business Process Reengineering effort in FY 2003.

FY 2003 Performance Plan Evaluation We have set our FY 2003 target for closing out records schedules at a median time of 225 calendar days or less. Now that we have addressed most of our oldest records schedules-those that are already more than 2 years old-we expect to be able to meet our target.


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.

Long Range Performance Targets 2.1. By 2007, access to records and services and customer satisfaction levels meet or exceed NARA's published standards.
 
  2.2. By 2007, 70 percent of NARA services are available online.
 
  2.3. By 2007, 95 percent of NARA archival holdings are described at the series or collection level in an online catalog.
 
  2.4. By 2003, ISOO will develop a uniform sampling system for collecting information about classification activity within the executive branch.
 
  2.5. By 2004, NARA will review and declassify 100 percent of archival holdings more than 25 years old for which NARA has been granted declassification authority and responsibility for their review by the originating agency.
 
  2.6. By 2007, 10 percent of records of a two-term President or 15 percent of records for a one-term President are open and available for research at the end of the 5-year post-Presidential period specified in the Presidential Records Act.
 
  2.7. By 2007, 90 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.

FY 2002 Resources Available to Meet This Goal: $134,208,000; 2,263 FTE

2.1 CUSTOMER SERVICE

FY 2002 Objectives   Meet or exceed NARA's published standards for access to records and services, as noted below:
  complete
  • 85 percent of written requests are answered within 10 working days;
  not closed out
  • 85 percent of Freedom of Information Act requests are completed within 20 working days;
  not closed out
  • 30 percent of requests for military service records at the National Personnel Records Center in St. Louis are answered within 10 working days;
  not closed out
  • 95 percent of items requested in our research rooms are furnished within 1 hour of request or of scheduled pull time;
  complete
  • 99 percent of customers with appointments have records waiting at the appointed time;
  complete
  • 90 percent of Federal agency records reference requests in Federal records centers are ready when promised to the customer;
  complete
  • 99 percent of records center shipments to Federal agencies are the records they requested;
 
  complete
  • 50 percent of archival fixed-fee reproduction orders through the Order Fulfillment and Accounting System (OFAS) are completed in 35 working days or less;
 
  complete
  • 95 percent of public education programs and workshops are rated by their users as "excellent" or "very good."
 
  complete Open 1930 census to the public on April 1, 2002.
 
Results  We answered 93 percent of written requests within 10 working days.
 
"I am really impressed by your prompt and courteous response."  We completed 75 percent of all FOIA requests within 20 working days.
 
"You've made this Vietnam Veteran one very happy fella today."  We answered 28 percent of military service records requests within 10 working days.
 
"You have helped to glue together the fabric of a real family."  We furnished 94 percent of requested items within 1 hour of request or of scheduled pull time.
 
   We furnished records at the appointed time for 99 percent of customers with appointments.
 
   We had ready 92 percent of Federal agency reference requests when promised to the customer.
 
   Of the records we shipped to Federal agencies, 99.99 percent were the records agencies requested.
 
   We completed 88 percent of our archival fixed-fee reproduction orders through OFAS in 35 days or less.
 
"The course opened doors of knowledge for me that has made NARA a permanent part of my future."  Our users rated 96 percent of our public education programs and workshops as "excellent" or "very good."

Explanation Although we did not meet our target for completing 85 percent of FOIA requests within a 20-workday time period, we saw a significant improvement in our FOIA completion rate this year over last year, from completing 27 percent last year to 75 percent this year within 20 workdays. The reason for this strong showing is the significant response time improvements made by the National Personnel Records Center in St. Louis, which accounts for 86 percent of our FOIA requests. We answered 81 percent of FOIA requests for veteran's records within 20 workdays. We fell slightly short of our goal of answering 30 percent of the requests for military service records within 10 days for the year; however, by the end of the fourth quarter, we were answering 36 percent within 10 days. As we have mentioned in past reports, service backlogs at the center are what prompted us to undertake a Business Process Reengineering project there. We are in the process of implementing several key initiatives that are improving our response time and we expect to continue to see progressively faster processing of FOIA requests and military service requests as a result.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Percent of written requests answered within 10 working days. 88.56 91.92 93.03 92.83
Percent of Freedom of Information Act requests completed within 20 working days. 34.58 26.86 27.56 75.42
Percent of requests for military service records at the National Personnel Records Center (NPRC) in St. Louis answered within 10 working days. 7.07 2.88 4.21 28.31
Percent of items requested in our research rooms furnished within 1 hour of request or scheduled pull time. 94.43 89.07 93.24 94.31
Percent of customers with appointments for whom records are waiting at the appointed time. 99.69 99.39 99.64 99.77
Percent of Federal agency reference requests in Federal records centers that are ready when promised to the customer. 81.12 78.84 92.69 91.88
Percent of records center shipments to Federal agencies are the records they requested. -- -- 99.99 99.99
Percent of archival fixed-fee reproduction orders through OFAS are completed in 35 working days or less. -- -- -- 87.78
Percent of education programs, workshops, training courses rated by participants as "excellent" or "very good." 90.22 95.33 96.50 95.68

Trend Analysis Overall, we have seen our customer service performance improve steadily over the past several years, against increasingly aggressive targets. For example, due to an ongoing Business Process Reengineering project at the National Personnel Records Center, we are answering better than 28 percent of requests for military service records within 10 working days or less, up from less than 3 percent just two years ago. Our response rate to FOIA requests has improved dramatically also, in large part due to significant improvements in the response rate to FOIAs received by the National Personnel Records Center, which improved from 20 percent to 81 percent over the past two years. (See additional detailed data for customer service metrics in Appendix A.)

FY 2003 Performance Plan Evaluation We expect to continue to meet our customer service targets, for those we are currently meeting. For those that we have not met, we expect to see steady improvements in FY 2003.

2.2 ONLINE SERVICES

FY 2002 Objective complete Ensure 20 percent of NARA services are available online.
 
Results  We made 25 percent of our services available online.
 
"I was able to find everything I needed (on your web site) right away."  We redesigned our web site, archives.gov.
 
   We launched a new web site, ourdocuments.gov.

Explanation The measurement of NARA services online reflects the deployment of online products under our Government Paperwork Elimination Act (GPEA) plan. We redesigned our web site, archives.gov, making it easier to navigate and maintain. While the Rotunda and exhibit hall at the National Archives Building are closed to the public, our web site is providing an important informational function to the public-with updates about the renovation of the National Archives Building and the re-encasement of the Charters of Freedom (the Declaration of Independence, Constitution, and Bill of Rights), previews of our new National Archives Experience, and online versions of popular exhibits such as "American Originals." Also we launched a new web site, ourdocuments.gov, on September 17. As announced by President Bush, this initiative will use the Internet to bring 100 of America's most important documents from the National Archives to classrooms and communities across the country, provide lesson plans, and foster competitions and discussions about these defining moments in our history.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Public user sessions on NARA's web site (in thousands) 7,271.8 10,096.2 16,105.9 19,538.0
Percent of NARA services available online. -- -- 24 25

Trend Analysis We continue to see growth in the use of our web site. The number of public user sessions, which is a count of the number of visitors to our web site, increased 18 percent since last year, and 170 percent since 1999. These numbers will continue to increase as more information and services are made available electronically and also as technology reaches more people.

FY 2003 Performance Plan Evaluation We will meet our FY 2003 target of 30 percent of our services available online with the implementation of online ordering for copies of records.

2.3 ONLINE CATALOG

FY 2002 Objectives not closed out Describe 20 percent of NARA archival holdings at the series or collection level in the Archival Research Catalog (ARC).
 
Results  We described 19 percent of our nationwide archival holdings in an online catalog.
 
"This ARC site totally rocks."  We debuted ARC to the public.
 
   We migrated the descriptions from our prototype system to ARC.
 
   We developed the ARC data entry system and began system testing.
 
   We piloted the Access to Archival Databases (AAD) system.
 
   We installed computer terminals capable of accessing ARC and AAD in 100 percent of our research rooms nationwide.

Explanation In developing ARC, we are really building two systems: a data entry system in which archivists will enter and edit records descriptions and a read-only web version of the system for use by staff and the public. We launched the read-only catalog to the public this year. We populated the catalog with more than 600,000 descriptions of our records that were created when we migrated the descriptions from the prototype system to ARC.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Percent of nationwide archival holdings described in an online catalog. 8.4 13.9 13.2 --
Number of archival holdings (thousands of cubic feet) 2,834.5 2,767.7 2,915.1 --
Number of archival holdings described in an online catalog (thousands of cubic feet) 236.8 385.9 385.9 --
Number of Artifact holdings in NARA (thousands of items) -- -- -- 470.4
Percent of Artifact holdings in an online catalog -- -- -- 19.1
Number of Electronic holdings in NARA (millions of logical data records) -- -- -- 3,713.9
Percent of Electronic holdings in an online catalog -- -- -- 0
Number of Traditional holdings in NARA (thousands of cubic feet) -- -- -- 2,890.0
Percent of Traditional holdings in an online catalog -- -- -- 19.0

Trend Analysis This year we significantly changed the way we count our holdings. Because of the significant growth in electronic records, 'cubic feet' as a unit of measure does not adequately express the sheer size of our electronic holdings. We are, therefore, using different units of measure for three major categories of holdings-logical data records for electronic holdings, cubic feet for traditional holdings, and items for artifacts. No additional holdings were described in the online catalog during FY 2002. We did move the descriptions from the prototype catalog in which they resided last year into ARC. The numbers reflect those previously described holdings as a proportion of our total holdings. The percentage online decreased because our holdings increased.

FY 2003 Performance Plan Evaluation We plan to complete testing of the ARC data entry system and begin rollout to our archival units during FY 2003. The major effort of entering holdings descriptions into ARC can begin as archival units are trained during FY 2003 and FY 2004.

2.4 CLASSIFICATION

FY 2002 Objectives not closed out Identify a sampling method or methods that result in data of uniform credibility for all agencies that sample their classification activity.
 
Results  We surveyed all agencies handling classified information with a questionnaire about the data collection form, SF 311, "Agency Security Classification Management Program Data."
 
   We conducted an online contractor survey to assess the current effectiveness of the National Industrial Security Program,with 393 contractors participating.
 
   We conducted 5 on-site reviews of major executive branch security classification programs.

Explanation We asked all agencies that classify or handle classified information to complete a questionnaire regarding the data collection form, Standard Form 311, "Agency Security Classification Management Program Data." The results of this survey indicate that the sampling methods used by agencies that sample are valid methods that provide credible data. However, the issue concerning these agencies is how to identify and count classification decisions made in an electronic environment, whether it is email, attachments, or databases. Therefore, we have determined that our efforts in the future should be directed at automating the SF 311 to allow for electronic submission, developing guidance for correctly using the form, and implementing training aids to assist agencies in collecting and reporting classification data.

FY 2003 Performance Plan Evaluation We plan to conduct interviews with agencies that make classification decisions in automated systems, including email systems, and will develop a training aid for executive branch agencies that assists them in completing the SF 311 for paper-based classification decisions.

2.5 DECLASSIFICATION

FY 2002 Objectives not closed out Review and declassify 80 percent of archival holdings 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.
 
  complete Scan 300,000 pages of Presidential archival materials eligible for declassification review as part of the Remote Archives Capture project.
 
Results  We reviewed 12 percent of Federal records in our custody more than 25 years old for which we had declassification authority.
 
   We reviewed 23 percent of Presidential materials in our custody more than 25 years old for which we had declassification authority.
 
   We released 2,184,200 pages of declassified Federal records and 182,000 pages of declassified Presidential records.
 
   We scanned 331,900 pages of Presidential materials eligible for declassification review as part of the Remote Archives Capture project.

Explanation Although we released more than 2,000,000 pages of declassified Federal records and 182,000 pages of declassified Presidential records this year, we continue to struggle with our declassification goals. With the constraints imposed by page-by-page reviews, and the change in government policy toward re-reviews of previously reviewed records, we cannot meet this objective as it was originally developed when Executive Order 12958 went into effect. In addition, because the work requires highly trained, security-cleared individuals, staff vacancies were difficult to fill. We undertook a work process analysis and are restructuring some areas of our processing operation, but there are still substantial obstacles to significantly increasing the volume of records we review and declassify.

We fell short of reaching our target of reviewing 85 percent of the Presidential materials for similar reasons. Page-by-page reviews and extensive re-reviews of previously released records were conducted to ensure that information had not been inadvertently released. We also focused on processing the National Security Council Historical File Collection, which we obtained in FY 2001. This collection required extensive declassification review by the National Security Council, in addition to our page-by-page review.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Backlog of Federal records at start of year (in thousands) 20,000.0 52,864.2 25,029.0 20,979.5
Annual percentage of Federal records NARA reviewed that are more than 25 years old for which NARA has declassification authority. 52 15 9 12
Backlog of Presidential materials at start of year (in thousands) 1,500.0 1,978.4 1,562.4 1,240.4
Annual percentage of Presidential records NARA reviewed that are more than 25 years old for which NARA has declassification authority. 48 21 21 23
Annual number of Federal pages reviewed (in thousands) 11,030.6 8,051.5 2,129.0 2,490.2
Annual number of Federal pages declassified (in thousands) 8,466.8 3,697.3 806.5 402.0
Annual number of Presidential pages released (in thousands) 10,317.6 7,677.5 1,788.3 2,184.2
Annual number of Presidential pages reviewed (in thousands) 713.0 416.0 322.0 280.0
Annual number of Presidential pages declassified (in thousands) 304.8 291.0 218.8 118.8
Annual number of Presidential pages scanned. 351.2 160.0 321.8 331.9
Annual number of Presidential pages released. 291.1 285.1 206.8 182.0

Trend Analysis The number of Federal records we were able to review increased slightly by 13 percent since last year; however, that is still 77 percent below the number we were able to review in FY 1999. This is due directly to the significantly more time consuming method of review and re-review we are now required to conduct. The proportion of Federal pages reviewed to the number we declassified dropped from 77 percent in FY 1999 to 16 percent in FY 2002. This is directly attributable to the high sensitivity of the records we were reviewing in FY 2002. We expect this negative trend to continue as NARA and equity-holding agencies re-assess records in the post-September 11 environment.

The number of Presidential pages we were able to review dropped 61 percent since FY 1999, in large extent due to staffing shortfalls in FY 2000 and FY 2001, and delays in obtaining security clearances for new employees as a result of a post-September 11 clearance processing backlog. We also saw the number of records that we were able to declassify in proportion to the number that we reviewed drop from 70 percent in FY 2000 to 43 percent in FY 2002. During FY 2000 and FY 2001 many of the records we were reviewing were older records for which we had extensive guidance from equity holding agencies and, because of the age of these records, could more readily be declassified. In FY 2002 our review began to focus on more newly eligible records with more sensitive classification issues and less explicit guidance and authority granted to the National Archives for declassification. We did exceed our target slightly for the number of Presidential pages that we scanned as part of the Remote Archives Capture project, specifically for Carter Library records.

FY 2003 Performance Plan Evaluation We will continue our partnerships with several agencies that are providing declassification support, and expect to have to continue page-by-page reviews. We will not meet our FY 2003 targets. Because of the continuing need to re-assess open records in response to the war on terrorism, the number of pages we are able to declassify will remain low. The Administration is amending Executive Order 12958. Changes in the order could have a significant effect on NARA's workload, work processes, and performance targets.

2.6 PRESIDENTIAL RECORDS

FY 2002 Objective complete Process an additional 2 percent of Clinton Presidential records for opening January 20, 2006.
 
Results  We have processed 1 percent of the Presidential records for opening January 20, 2006.

Explanation We made no progress on processing additional records this year because of continued special access demands for Clinton Administration records. The largest amount of time this year was spent providing materials to congressional committees, executive branch agencies, and the White House for the ongoing business of government. We continued staffing efforts and hired six new staff members.

Performance Data FY 2001 FY 2002
Cumulative percent of Clinton Presidential and Vice Presidential traditional records processed for opening January 20, 2006. 1 1
Cumulative cubic feet of Clinton Presidential and Vice Presidential traditional records. 28,925 28,925
Cumulative cubic feet of Clinton Presidential and Vice Presidential traditional records processed for opening. 290 290
Cumulative percent of Clinton Presidential and Vice Presidential electronic records processed for opening January 20, 2006. 0 0
Cumulative percent of Clinton Presidential and Vice Presidential artifacts processed for opening January 20, 2006. 0 0

FY 2003 Performance Plan Evaluation Future progress in processing the records may be hindered by continued special access requests or subpoenas for the records of the Clinton Administration. We also must begin to plan for the move of the Clinton project to the new library building in 2004. However, we expect to see progress in processing these records.

2.7 NHPRC GRANTS

FY 2002 Objective not closed out Produce results promised in grant applications approved by the Commission for 84 percent of all NHPRC-assisted projects.
 
Results  We produced the results promised in grant applications approved by the Commission for 79 percent of NHPRC-assisted projects.
 
   We made grant application forms available on our web site.

Explanation For the first time, we fell short of meeting our goal of 84 percent this year. Last year we completed an effort to tighten the metric criteria and raise the threshold for judging these projects successful. Projects were judged successful if they met 70 percent or more of their criteria. This year's data was the first full year of data against these higher standards. Six of the 'unsuccessful' projects were negatively affected by staff and/or budget changes outside the projects' control. At least 5 of the 'unsuccessful' projects were experimental in nature, 4 dealing with electronic records or electronic publishing and 1 dealing with new documentation strategies. These types of research and development projects contain more risk than other projects.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Number of NHPRC-assisted projects completed. 100 67 115 104
Number of NHPRC-assisted projects that produced the results promised. 89 63 105 82
Percent of NHPRC-assisted projects that produced the results promised. 89.0 94.0 91.3 79

Trend Analysis As noted above, 'successful' project performance dropped this year due to the application of higher standards of success than we had applied in previous years. The types of grants we fund influence the overall 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.

FY 2003 Performance Plan Evaluation We expect to be able to meet our FY 2003 target. However, we expect to award fewer grants this year, as fewer funds are made available, costs overall increase, and more expensive projects are included in the funding mix. We need to continue to observe trends that 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.

Long Range Performance Targets

3.1. By 2007, 90 percent of NARA holdings are in appropriate space.

3.2. By 2007, 50 percent of NARA's at-risk archival holdings are appropriately treated or are housed so as to retard further deterioration.

3.3. By 2007, 97 percent of NARA's electronic holdings are preserved and accessible, regardless of their original format.

FY 2002 Resources Available to Meet This Goal: $126,361,000; 338 FTE

3.1 HOLDINGS IN APPROPRIATE SPACE

FY 2002 Objectives complete Remove murals from the National Archives Building Rotunda for conservation.
 
  complete Complete re-encasement of pages one and four of the Constitution.
 
  complete Complete new concrete floors on tiers 3 and 5 of the National Archives Building.
 
  not closed out Complete installation of new cooling towers at the National Archives Building.
 
  not closed out Complete renovation construction at Eisenhower Library.
 
  complete Award construction contract for Roosevelt Library Visitors Center.
 
  complete Complete design and award construction contract for Reagan Library museum renovation and new addition.
 
  complete Complete design and award construction contract for Ford museum renovation and addition.
 
  complete Complete design for Kennedy Library plaza and seawall repair project.
 
  not closed out Complete design work and award construction contract for new Southeast Regional Archives.
 
  not closed out Execute a Solicitation for Offer and Occupancy Agreement for a facility to replace the records center in Atlanta.
 
  complete Complete a new records center storage bay in Lee's Summit and in Dayton.
 
Results  We installed new cooling towers at the National Archives Building, but delayed testing until the roof was completed.
 
"This thoughtful renovation is truly a public service to ALL people."  We completed all renovation construction except for a cold storage room at Eisenhower Library.
 
   We completed a 99 percent design for the new Southeast Regional Archives.

Explanation and FY 2003 Performance Plan Evaluation We adjusted our schedule slightly for completing installation of the new cooling towers at the National Archives Building as a precautionary measure to avoid water leakage until the new roof was completed and tested. This risk avoidance measure did not affect any other parts of the renovation.

We completed the Eisenhower Library Presidential Library gallery renovations on time, and the grand opening occurred in October 2002. We did not complete a new cold storage room, due to a delay in delivery of a component. This delay had no effect on the reopening of the new Presidential gallery, and we completed this work during the first quarter of FY 2003.

Work moved forward on the design and construction of a new Southeast Regional Archives. We completed 99 percent of the design, and released the rough grading and site utility package for bid. Groundbreaking occurred on August 26, 2002; but negotiations have not been finalized leading to a land transfer agreement with Clayton County Development Authority.

We delayed finalizing a Solicitation for Offer to replace the records center in Atlanta until we receive an independent real estate market survey for the property in early FY 2003.

3.2 PRESERVATION OF AT-RISK HOLDINGS

FY 2002 Objectives complete Appropriately treat or house 32 percent of NARA's at-risk archival holdings so as to retard further deterioration.
 
  not closed out Prepare 2,400 cubic feet of Final Pay Vouchers and Payrolls for reformatting at the National Personnel Records Center.
 
Results  We performed required preservation action on 35 percent of identified at-risk previously accessioned Federal records in the Washington, DC, area.
 
   We prepared 1,118 cubic feet of Final Pay Vouchers and Payrolls for reformatting at the National Personnel Records Center.

Explanation We adjusted our target from 40 percent to 32 percent for treating or housing NARA's at-risk archival holdings in our Revised Final FY 2002 Annual Performance Plan. This adjustment was needed to account for the addition of records to the backlog of at-risk records that had not previously been counted. Also, we anticipated that we would treat fewer records than we did during FY 2000 and FY 2001 when we moved thousands of cubic feet of records into cold storage. This year we employed other preservation methods that were more time consuming than cold storage. As a result, the number of records we were able to treat this year dropped 60 percent from last year. Among some of major projects addressed were Holocaust/World War II era records identified as high use and at-risk by the NARA members of the Nazi War Crimes and Japanese Imperial Government Records Interagency Working Group, Department of the Navy photographs and Civil War-era manuscript maps, records related to the government of the Virgin Islands, Freedmen's Bureau Records, Universal Newsreel motion pictures, and 7,000 German situation maps.

We were unable to reach our goal to prepare 2,400 cubic feet of Final Pay Vouchers and Payrolls for a reformatting contract. A major emergency response was required to halt and mitigate a widespread mold contamination problem associated with burned records. Significant staff resources were diverted from the reformatting project to undertake mold cleaning activities.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Start of year backlog (cubic feet). 161,478 156,507 167,154 153,474
Number of records treated this year (cubic feet). 4,971 35,133 26,403 10,510
Percent of cumulative backlog treated this year. 3.1 22.4 15.8 6.8
Total percent of cumulative backlog ever treated. 3.1 24.8 32.1 35.0

Trend Analysis We continue to make excellent progress in treating at-risk records. We preserved an additional 10,510 cubic feet of identified at-risk previously accessioned records last year, bringing the percent of records treated to 35 percent, up from 3 percent in FY 1999.

FY 2003 Performance Plan Evaluation Preservation work at the National Personnel Records Center will continue with work on the Final Pay Vouchers and Payrolls, as well as treating Army and Air Force Official Military Personnel Files damaged by the 1973 NPRC fire, especially those damaged by mold. However, NARA needs to make a comprehensive physical needs assessment of the Official Military Personnel Folders collection to ensure continued access to these records, and will be redirecting some of its resources during FY 2003 to assist with this assessment.

3.3 PRESERVATION OF ELECTRONIC RECORDS

FY 2002 Objective complete Preserve and make accessible 60 percent of electronic records in NARA holdings, regardless of their original format.
 
  not closed out Ensure schedule variance of less than 10 percent on the following Electronic Records Archives system projects:
  • Collaborative research and development for sustainable solutions to electronic records challenges.
  • Production system to provide interim capability for access to accessioned electronic records in structured form.
  • Production system to provide interim capability for processing Presidential electronic records from hard drives of George H. W. Bush Administration.
  • Prototype system for managing digital Official Military Personnel Files.
 
Results  We managed and preserved 98 percent of NARA's electronic holdings, regardless of their original format.
 
   We managed and preserved 100 percent of Presidential electronic records.
 
   We completed an ERA Analysis of Alternatives, initial ERA Requirements, a Concept of Operations, and ERA Capital Asset Plan and Business Case.
 
   We established an ERA Program Management Office.

Explanation While the number of logical data records in NARA custody jumped nearly 60 percent this year, we took positive steps to address electronic records challenges for the future with the Electronic Records Archives program. NARA submitted the ERA Research Plan to the House Committee on Appropriations (pursuant to HR 107-152). We contracted for and continued several collaborative research partnerships aimed at developing sustainable solutions to electronic records challenges. Several agreements with the Department of Defense (DOD) were not signed in FY 2002 due to other DOD national security priorities, but will be pursued during FY 2003.

The Access to Archival Databases (AAD) system is designed to provide an interim capability for online public access to accessioned electronic records in structured form while ERA is being developed. Several schedule delays led to NARA not accepting the final production version of AAD until February 2003.

We delayed implementing a production system to provide capability for processing Presidential electronic records from hard drives of the George H.W. Bush Administration, instead working toward a prototype that will aid in better understanding the needs of staff. We expect to implement the prototype in FY 2003.

We were unable to move forward on the development of a prototype system for managing digital Official Military Personnel Files (OMPF) because DOD decided to delay this work until several key decisions were made. We were able to establish a high-speed connection from NARA through the University of Maryland to Internet-2, the advanced high performance research network in the United States. This high speed connection addresses scale in telecommunications transfer, which is an important aspect of managing digital OMPFs.

We developed a total of 36 core ERA Program documents, including a program management plan, risk management plan, system security plan, and a capital assets plan and business case. We formalized the Electronic Records Archives Program organization, but just after the end of the fiscal year.

Performance Data FY 2001 FY 2002
Number of logical data records in NARA's custody. 2,344,503 K 3,713,888 K
Number logical data records managed and preserved. 2,271,747 K 3,641,477 K
Percent of NARA's electronic holdings preserved and accessible, regardless of their original format. 97 98
Number of Presidential logical data records. 2,192 K 35,308 K
Number of Presidential logical data records managed and preserved. 2,163 K 35,308 K
Percent of Presidential logical data records managed and preserved. 99 100

Trend Analysis Overall the number of logical data records in NARA custody increased by nearly 60 percent, but with the addition of electronic records from the Clinton Administration, Presidential logical data records leaped ahead by more than 1,500 percent. This huge increase is because the Clinton Administration was the first Administration to rely heavily on electronic communications, and we take possession of an Administration's records at one time when the President leaves office. It is important to note that we are only able to take custody and copy these electronic records for preservation, and that is all our performance data represents. The ability to preserve these records in a persistent format over time and to make these records readily accessible to the public is being addressed within the scope of the ERA program.

FY 2003 Performance Plan Evaluation We expect to see significant growth in the number of logical data records in NARA's custody, particularly because NARA is expanding the number of records formats we will accept as part of the ERM e-government initiative. This only reinforces our need for ERA. We expect to make significant progress on ERA as we continue our collaborative research and development efforts with our partners, develop requirements, and prepare acquisition materials for a contract award in FY 2004.


STRATEGIC GOAL 4: INFRASTRUCTURE

NARA'S CAPABILITIES FOR MAKING CHANGES NECESSARY TO REALIZE OUR VISION WILL CONTINUOUSLY EXPAND.

Long Range Performance Targets 4.1. By 2003, 100 percent of employee performance plans and 100 percent of staff development plans are linked to strategic outcomes.

4.2. By 2007, the percentages of NARA employees in underrepresented groups match their respective availability levels in the Civilian Labor Force.

4.3. By 2007, NARA will accept 100 percent of the legal documents submitted electronically for publication in the Federal Register.

4.4. By 2007, NARANET will have a 95-percent-effective computer and communications infrastructure.

FY 2002 Resources Available to Meet This Goal: Goal 4 supports goals 1 through 3. Resources available are included in the totals for those goals.

4.1 PERFORMANCE AND DEVELOPMENT PLANS

FY 2002 Objectives not closed out Link remaining 50 percent of employee performance plans to strategic outcomes.
 
  not closed out Link 50 percent of staff development plans to strategic outcomes.
 
Results  We linked 80 percent of employee performance plans to strategic outcomes.
 
   We rolled out a program to create individual development plans for employees that will link to strategic outcomes.

Explanation At 80 percent, we fell short of meeting our goal of linking all employee performance plans to strategic outcomes. Counting only permanent employees, we reached 86 percent of our target. In our larger organizations, the complexity of implementing this effort and making it routine was larger than expected and we were not able to finish. We can never reach 100 percent because of employee job changes, new employees coming on board, and organizational changes affecting performance plans. There will always be some small number of employees that, because of these changes, have a period of time in which they do not have a linked performance plan. We have adjusted our future year targets to 95 percent to account for these factors, which will also affect our staff development plan metric. We developed guidance, provided training, and began rolling out a new process for creating individual development plans for all employees and linking those plans to strategic outcomes. The roll out began late in the year, due to the amount of time required to develop the program.

FY 2003 Performance Plan Evaluation We will continue to roll out the individual development plan process for all employees throughout NARA and link those plans to strategic outcomes in FY 2003.

4.2 EQUAL EMPLOYMENT OPPORTUNITY

FY 2002 Objectives not closed out Ensure the percentages of NARA employees in underrepresented groups match 60 percent of their respective availability levels in the Civilian Labor Force.
 
  complete Increase the percentage of people in underrepresented groups in pools of applicants from which to select candidates for positions in Grades 13 and above, over the percentage in FY 2001.
 
Results  We employed people in underrepresented groups so that our percentages matched at least 50 percent of the national averages in 5 out of 6 underrepresented groups.
 
   We increased the percentage of people in underrepresented groups in pools of applicants for positions at Grades 13 and above from 74 percent to 85 percent.
 
   We provided diversity training to 58 percent of NARA managers and employees.

Explanation We deployed a new training delivery system for NARA-wide diversity awareness training in FY 2002, exceeding our goal of training 50 percent of our permanent staff.

We met our objective of employing people in underrepresented groups for 5 out of 6 underrepresented groups. However, the lack of well-qualified applicants from certain underrepresented groups continues to be a problem (see detailed data in Appendix A).

A problem we have with measuring applicants from underrepresented groups is that we must rely on each applicant's voluntary self-identification as a member of an underrepresented group on NARA's Applicant Background Survey. Some applicants choose not to identify their backgrounds or not to return the survey forms. Last year we increased our efforts to collect the Applicant Background Survey from every applicant, and we are seeing an increasing number of surveys returned by applicants.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Percent of employees who have received diversity training. 6 19 27 58
Number of applicant pools for positions in Grades 13 and above. 21 24 53 97
Number of pools for positions in Grades 13 and above that had self-identified applicants in protected classes. 10 15 39 82
Percent of applicant pools for positions at Grades 13 and above that contain people in underrepresented groups. 48 63 74 85
Percent of Civilian Labor Force rate used to determine if underrepresented groups met employment target.     50 60
Underrepresented groups of employees meeting target (checkmark indicates target met or exceeded)  
    --Women
    --Black
    --Hispanics        
    --Asian American/Pacific Islander
    --American Indian/Alaskan Native
    --Targeted disability

Trend Analysis While we are getting more applicants from underrepresented groups in our applicant pools than in previous years, we are still not able to meet our target for Hispanic employees.

FY 2003 Performance Plan Evaluation NARA is a member of the Office of Personnel Management's newly established Interagency Task Force, composed of agency officials from each major Federal department and independent agency. This task force was established to help provide agencies with the framework necessary for implementing plans to improve the representation of Hispanics. The task force meets semi-annually to cover topics such as reviewing best practices in strategic human resources management planning, providing advice on increasing Hispanic community involvement, and discussing the elimination of barriers to employment for Hispanics. NARA continues to draw ideas and plans from these meetings that will hopefully address solutions to this gap in employment.

4.3 FEDERAL REGISTER PRODUCTION

FY 2002 Objectives not closed out Purchase, install, and test an electronic editing and publishing system.
 
Results  We achieved 75 percent completion in building, installing, and testing an electronic editing and publishing system.
 
   We developed a new website www.regulations.gov for launch in FY 2003 that provides access to the latest proposed and final Government regulations.

Explanation and FY 2003 Performance Plan Evaluation The eDOCS contract was delayed three months when national emergency circumstances surrounding September 11, 2001, required that we temporarily shift work responsibilities. Also, at the Office of Management and Budget's request, we exercised an option under the contract for assistance in developing regulations.gov, the e-comment web portal project of the government-wide Online Rulemaking Initiative. We installed an eDOCS prototype system for testing, which is underway, and we expect to be fully successful in our efforts to fully deploy an electronic editing and publishing system in FY 2003.

4.4 COMPUTERS AND COMMUNICATIONS

FY 2002 Objectives complete Ensure NARA has a 90-percent-effective computer and communications infrastructure.
 
  complete Implement the use of an agency-wide data model in the development of IT systems.
 
  not closed out Certify the security and accredit 15 percent of NARA information systems for operation on our network.
 
  complete Develop requirements for an enterprise repository for NARA's agency-wide data model and associated IT documentation.
 
Results  We increased our overall network effectiveness to 96.9 percent.
 
   We implemented the use of an agency-wide data model in the development of IT systems.
 
   We completed 3 out of 4 phases of the certification and accreditation plan for 10 percent of NARA's information systems.
 
   We developed the requirements for an enterprise repository for NARA's agency-wide data model and associated IT documentation.
 
   We installed a new phone system at the National Archives at College Park, part of a larger telecommunications upgrade throughout NARA's facilities.

Explanation We did not meet our goal for completing full certification and accreditation of 15 percent of NARA's information systems for operation on our network because we underestimated the resource requirements needed to complete this effort.

Performance Data FY 2000 FY 2001 FY 2002
Percent of overall NARANET effectiveness 94 96.5 96.9
Percent of network availability 99.9 99.9 99.9
Percent of user support services effectiveness 92.0 92.2 92.3
Percent of service delivery to the desktop effectiveness 90.1 97.5 98.5

Trend Analysis We have consistently exceeded our annual targets for NARANET effectiveness.

FY 2003 Performance Plan Evaluation We are working to meet our objective of completing certification and accreditation for operation of all of NARA's information systems by the end of FY 2003. This is an aggressive goal, made more difficult by new certification and accreditation requirements. In October, the National Institute of Standards and Technology (NIST) released Special Publication 800-37, "Guidelines for the Certification and Accreditation of Federal Information Technology Systems." Because of these new requirements, we have begun reviewing all certification and accreditation documentation to date for compliance. Another update to the guidelines is expected later in FY 2003. We are making a substantial upgrade to our nationwide telephone system, which will facilitate NARA communications across the country.


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.

Performance Data FY 1999 FY 2000 FY 2001 FY 2002
Archival written requests answered. 105,422 107,370 113,990 104,989
Archival written requests answered within 10 working days. 93,365 98,696 106,051 97,465
Military records requests answered. 1,248,652 1,150,436 1,085,319 739,687
Military records requests answered within 10 working days. 88,321 32,105 49,399 209,453
Items furnished in our research rooms. 532,722 917,915 1,056,423 613,288
Items furnished within one hour of the request or scheduled pull time. 501,305 818,175 985,309 578,426
Federal agency customers with appointments. 32,535 38,342 41,530 40,406
Federal agency customers with appointments who have records waiting at requested time. 32,435 38,109 41,381 40,314
Routine Federal agency records center reference requests answered. 10,252,193 9,286,882 14,967,471 12,131,086
Routine Federal agency records center reference requests answered that were ready when promised. 6,970,721 7,322,300 13,874,295 11,146,595
Federal agency record center shipments were the records requested. -- -- 14,967,361 12,130,995
Public education programs and workshops rated by users. 348 407 372 464
Public education programs and workshops rated by users as "excellent" or "very good." 314 388 359 444
Number of FOIA requests received. 7,505 9,206 8,448 9,986
Number of FOIA requests answered. 6,911 8,751 7,634 8,826
Number of FOIA requests answered within 20 working days. 2,595 2,466 2,269 7,532

4.2  Provide formal diversity training to 100 percent of NARA managers and employees.

  • 2,733 permanent employees.
  • 1,573 received diversity training (58 percent).

4.2  Employ and recruit percentages of people in underrepresented groups so that NARA's percentages match 60 percent of the Civilian Labor Force percentages of people in underrepresented groups.

The categories where we met or exceeded the objective are checked below. Our target for employing people with targeted disabilities was 1.5 percent. The numbers in the table below are based on permanent employees only.

Number of Employees By Underrepresented Group FY 1999 Actual (Percent) FY 2000 Actual (Percent) FY 2001 Actual (Percent) FY 2002 Actual (Percent) FY 2002 Target (Percent) Civilian Labor Force Availability (Percent)*
 1,472 Women 36.5 38.8 54.9 47.0 27.4 45.7
 857 Black 8.3 8.6 32.3 28.3 6.2 10.3
       42 Hispanic 0.5 0.5 1.5 1.3 4.9 8.1
 62 Asian American/Pacific Islander 0.7 0.7 2.2 2.0 1.7 2.8
 12 American Indian/Alaskan Native 0.2 0.2 0.4 0.4 0.4 0.6
 54 Targeted Disabilities N/A N/A 2.0 1.7 1.5 N/A

* Civilian Labor Force availability is based on census data. At the time NARA set its targets for this metric, the CLF rates were still based on 1990 census data. We will revise our targets when new CLF data is available from the 2000 census.

Appendix B: Program Evaluations

STRATEGIC GOAL 1: ESSENTIAL EVIDENCE

Office of the Inspector General, OIG Report 01-07, Evaluation of NARA's Records Disposal and Concurrence Process, July 18, 2001.

    The Inspector General reviewed NARA's records disposal and concurrence process and made 11 recommendations to the Office of Regional Records Services for improving this process. One recommendation was completed, and the remaining 10 are scheduled for completion in FY 2003.

STRATEGIC GOAL 2: ACCESS

Office of Inspector General, OIG Report 02-05, Assessment of NARA's Grant Management Process, March 29, 2002.

    The Inspector General reviewed NARA's grant management process and made two recommendations, one of which was completed in FY 2002, and the second scheduled for completion in FY 2003.

Office of Inspector General, OIG Report 02-09, Assessment of Procedures Governing the Release of Federal Population Census Records, May 6, 2002.

    The Inspector General reviewed NARA's procedures governing the release of Federal population census records to determine the adequacy of existing procedures and safeguards against the early or unauthorized release of Decennial Population Census records. Four recommendations resulted, of which one will be completed in FY 2003, two in FY 2004, and one in FY 2005.

Office of Inspector General, OIG Report 01-15, Audit of NARA Web Privacy Policies and Practices, August 2, 2001.

    The Inspector General found that NARA is taking necessary actions to protect the privacy of individuals who access NARA web sites, but that our web privacy policies and practices needed improvements in some areas. The OIG made 6 recommendations. Five are completed, and the last one is scheduled to be completed in FY 2003.

STRATEGIC GOAL 3: SPACE AND PRESERVATION

Office of Regional Records Services, Program Evaluation, March 29, 2002.

    The office conducted a physical security review at the Washington National Records Center. A Physical Security Assessment was also prepared by Gage-Babcock & Associates, Inc., dated May 28, 2002. All items for which a response was due on or before September 30, 2002, have been completed or addressed.

STRATEGIC GOAL 4: INFRASTRUCTURE

Office of Inspector General, OIG Report 02-04, Audit of NARA's Performance Appraisal Process, February 5, 2002.

    The Inspector General conducted an audit and made two recommendations regarding the process of completing timely annual performance appraisals for employees. Both recommendations were implemented in July 2002.

Office of Inspector General, OIG Report 02-12, Firewall and Network Configuration Advisory Report, August 21, 2002.

    The Inspector General conducted an evaluation of NARA's firewall and network configuration. Seven recommendations were made to improve the effectiveness and efficiency of NARA controls for managing firewall operations and to ensure secure and reliable network systems. One recommendation was completed in FY 2002, and the remainder are due in FY 2003.

Office of Inspector General, OIG Report 02-13, Evaluation of NARA's EEO Complaints Processing Program, September 30, 2002.

    The Inspector General conducted an evaluation of NARA's EEO Complaints Processing Program. Four recommendations were made to improve the complaints processing program, and are scheduled for completion in FY 2003.

Office of the Inspector General, OIG Report 01-04, Review of NARA's Anti-Virus Program, March 28, 2001.

    The Inspector General conducted a review of NARA's anti-virus protection program and made six recommendations. The last recommendation is scheduled to be completed in FY 2003.

Office of the Inspector General, OIG Report 01-05, Audit of the NARA Systems Security Program, March 28, 2001.

    The Inspector General conducted a review of NARA's information system security program and made four recommendations to the Office of Human Resources and Information Services for developing an entity-wide systems security program. The last recommendation is scheduled to be completed in FY 2003.

Policy and Communications Staff, NARA Implementation of the Federal Activities Inventory Reform (FAIR) Act, June 28, 2002.

    In compliance with the FAIR Act, NARA compiled information about the activities performed by each office, and submitted it to OMB in its new OMB-specified format. OMB approved the inventory and published a notice of availability in the Federal Register during first quarter FY 2003.

MULTI-GOAL EVALUATIONS

General Accounting Office, GAO-02-586, "Information Management: Challenges in Managing and Preserving Electronic Records," June 25, 2002.

    GAO conducted a review of NARA's efforts to manage and preserve electronic records. Three recommendations were made. NARA responded with an action plan with 20 milestones to address GAO recommendations. Five milestones were scheduled in FY 2002, and four of these were completed on time. The remaining milestones occur in FY 2003 and FY 2004.

Office of Presidential Libraries, Program Review, April 30 - May 2, 2002.

    The office conducted a program review at the Ronald Reagan Presidential Library in Simi Valley, California. Forty-one recommendations were made for improvements, and deadlines were given for responding. All items for which a response was due on or before September 30, 2002, have been completed or addressed.

Office of Presidential Libraries, Program Review, June 11 - 13, 2002.

    The office conducted a program review at the Gerald R. Ford Library in Ann Arbor, Michigan. All items for which a response was due on or before September 30, 2002, have been completed or addressed.

Office of Regional Records Services, Program Review, September 13, 2002.

    The office conducted a program review at the Rocky Mountain Region's Records Center. Three findings were identified and responses were scheduled. All items for which a response was due on or before September 30, 2002, have been completed or addressed.

For more information about these reports, contact the Policy and Communications Staff on 301-837-1850 or by email at vision@nara.gov.

APPENDIX C: FEDERAL RECORDS MANAGEMENT EVALUATIONS

Under 44 U.S.C. 2904(c)(8), the Archivist of the United States is required to report to Congress and the Office of Management and Budget annually on the results of records management activities. NARA is fulfilling this requirement through its Annual Performance Report. Through this report, we will highlight the progress of individual agencies in managing and preserving the documentation necessary to protect the legal and financial rights of the Government and citizens. As a first step, this year we are reporting on a few of the Federal programs that have shown significant progress in establishing or expanding control over their management of business information in a way that has produced tangible results for the Government and citizens. NARA partnered with the agencies in these activities, often through Targeted Assistance.

FEDERAL EMERGENCY MANAGEMENT AGENCY

The Federal Emergency Management Agency (FEMA) is responsible for coordinating contingency Continuity of Operations Plans (COOP) planning throughout the Federal Government. In FY 2002 FEMA stressed the importance of vital records management in emergency and COOP planning. FEMA invited NARA to give a presentation on protecting vital records at COOP sites at the monthly interagency COOP Working Group, assisted in the distribution of vital records guidance and information to Federal agencies, and worked with NARA to develop a Federal Preparedness Circular that provides guidance on vital records at agency COOP sites.

In conjunction with these efforts, representatives from across the Government attended three vital records seminars presented by NARA and are actively addressing the need to identify and protect their mission critical records at COOP sites.

LAWRENCE BERKELEY NATIONAL LABORATORY

The Department of Energy Lawrence Berkeley National Laboratory (LBNL) formed a partnership with NARA's Pacific Region in June 2002 to study and upgrade the Laboratory's emergency and continuity of operations plans. Specifically, LBNL wanted to know what would happen to LBNL's records if they were threatened by earthquakes, fires, floods, or terrorist attack. The Laboratory is close to major earthquake faults and faces significant wildland fire danger. Research revealed that there were inadequate measures in place to protect vital records and information resources in disasters.

LBNL developed a disaster preparedness model suited to the highly decentralized work environment found in basic research. The team believes that it has created a new approach to disaster planning which can serve as a model for other institutions engaged in basic research.

The project brought together records managers, archivists, technologists, engineers, and risk managers. It developed an overall framework and plug-in procedures to protect records. It also developed detailed procedures for records salvage and restoration. The project team has also begun to create mutual aid relationships with other institutions.

OFFICE OF GOVERNMENT ETHICS

The Office of Government Ethics (OGE) recognized the need and usefulness of uniform control over ethics program records across agencies in the Executive Branch.

OGE established and led an Interagency Workgroup on the Creation of Retention Periods for Common Ethics Program Records, comprised of OGE, NARA, and a team of agency ethics officers. The group directed the project and offered expert advice on ethics records issues. Working with agency ethics officers, OGE developed and formally submitted a General Records Schedule that covered Ethics Program records across the Government. On August 12, 2002, the Archivist of the United States approved the schedule.

OGE's efforts have resulted in a final product that reduces the records management burden in Executive Branch agency ethics programs and improves control over important documentation managed by the ethics community.

OFFICE OF FEDERAL HOUSING ENTERPRISE OVERSIGHT

In FY 2002, the Office of Federal Housing Enterprise Oversight (OFHEO) established records management control over two electronic systems critical to the safety and soundness of the two largest Government-Sponsored Enterprises (GSE) - Fannie Mae and Freddie Mac.

OFHEO obtained disposition authority for these two important systems from NARA. The first, a data warehouse, provides a basis for evaluating how each GSE may perform under economic stress. The second system, RBSim, is a risk-based model that simulates the financial performance of the GSEs under varying economic assumptions and is used by the agency to set quarterly requirements for the GSEs.

SMALL BUSINESS ADMINISTRATION

The Small Business Administration (SBA) initiated a major records initiative that brought together the agency General Counsel's office, the Chief Information Officer and the Records Management Program. As a result, SBA developed six records schedules that established controls over electronic records, including records of permanent value.

About the National Archives >

The U.S. National Archives and Records Administration
1-86-NARA-NARA or 1-866-272-6272

.