About the National Archives

Fiscal Year 2003

Annual Performance Plan

Revised Final
March 21, 2003


TABLE OF CONTENTS

Preface

Strategic Goal 1: Essential Evidence

Target 1.1: Targeted assistance
Target 1.2: Schedule new records
Target 1.3: Close out schedule items

Strategic Goal 2: Access

Target 2.1: Customer service
Target 2.2: Online services
Target 2.3: Online catalog
Target 2.4: Classification
Target 2.5: Declassification
Target 2.6: Presidential records
Target 2.7: 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: Performance and development plans
Target 4.2: Equal employment opportunity
Target 4.3: Federal Register production
Target 4.4: Information technology


PREFACE

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, 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; supporters' groups, foundations, and 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 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 plan is based on the goals, strategies, and long-range performance targets in our Strategic Plan, and builds on performance in FY 2002. It details the actions and outcomes that must occur in FY 2003 for us to move forward on meeting the goals and targets in our Strategic Plan. In addition to listing performance goals and measures for evaluating our performance, the plan describes the processes, skills, and technologies, and the human, capital, and informational resources needed to meet the year's performance goals. Also our budget is linked to the plan's performance goals. We received no aid from nonfederal parties in preparing this plan.

Following is a summary of the resources, by budget authority, we are requesting to meet our FY 2003 objectives.

Operating Expenses

$241,065,000

Repairs/Restorations

$14,116,000

Grants

$6,458,000

Total Budget Authority

$261,639,000
 

Redemption of Debt

$7,186,000

Total Budget Authority

$268,825,000
 

Total FTE

2,836

This is a high-level summary of our resource requirements. The numbers are linked to strategic goals in the pages that follow.

We continue using four mechanisms to measure actual performance: (1) periodic management reviews, (2) formal audits of operations, (3) expansion and refinement of our performance measurement system, and (4) systematic sampling of measurement system effectiveness. In FY 1999 we deployed our agency-wide Performance Measurement and Reporting System (PMRS). This system allows us to define and consistently measure data critical to the analysis of our performance objectives. Every year we integrate and expand the system further 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.

In our continuous effort to improve our performance measurement program, we are undertaking a two-year project to upgrade 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 extract 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 past documents already in our care, but also prepare to manage tomorrow's records in new and challenging forms. This plan is our 2003 road map for making that a reality.


STRATEGIC GOAL 1

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 1999 Resources Available to Meet This Goal: $12,075,000; 127 FTE
FY 2000 Resources Available to Meet This Goal: $14,690,000; 136 FTE
FY 2001 Resources Available to Meet This Goal: $18,050,000; 144 FTE
FY 2002 Resources Available to Meet This Goal: $19,921,000; 150 FTE
FY 2003 Resources Available to Meet This Goal: $22,587,000; 154 FTE

FY 2003 Budget Linkage: pages 12-13


Long Range Performance Target 1.1.   By 2007, 100 percent of targeted assistance partnership agreements deliver the results promised.


FY 03
Projected Performance

  • Deliver the results promised on 90 percent of targeted assistance partnership agreements.

Outcome Records are kept long enough to protect rights, assure accountability, and document the national experience. Records are destroyed when they are no longer needed and it is practical to do so.

Significance To ensure essential evidence is created, identified, appropriately scheduled, and managed for as long as needed, we must take the initiative with Federal agencies to ensure their recordkeeping practices are in accordance with our guidelines.

Means and Strategies Targeted assistance means we work together with agencies to resolve long-standing or significant records management issues by:

  • increasing direct contact with agencies and really understanding what they need from us
  • increasing agency awareness of records management responsibilities through tailored training and outreach
  • extending outreach initiatives beyond records officers to program managers
  • resolving specific records management problems for records in all media, especially electronic records
  • emphasizing problem resolution and customer service
  • expediting disposition requests that result from partnerships
  • developing new measures to verify that agency records management programs are being carried out effectively.

Since 1999, we have established 305 partnership agreements with 75 agency headquarters and field components and have completed 173 projects. Through these partnerships, we have inventoried and scheduled at-risk records, trained agency personnel in records management, and assisted in the development of records management systems. As targeted assistance grows, we expect to see significant improvements in the way Federal agencies manage their records.

Key external factors Federal agencies must implement their part of the partnership agreements.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

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 agreements or major projects within an agreement delivering the results promised. 100 100 100 100 90*
Annual number of targeted assistance agreements or major projects within an agreement established with Federal agencies. 33 123 66 83  
Cumulative number of targeted assistance 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  

* FY 2003 numbers are targets.

Milestones

FY 1999

  • 13 senior records analysts hired in College Park, Boston, Fort Worth, and Seattle.
  • Preliminary plan for implementing targeted assistance completed.

FY 2000

  • 17 senior records analysts hired in College Park, Philadelphia, Atlanta, Kansas City, Denver, and San Francisco.

FY 2001

  • 10 senior records analysts hired in Philadelphia, Dayton, Chicago, San Francisco, Laguna Niguel, and College Park.

FY 2002

  • Hiring of remaining senior records analysts positions completed.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.


Long Range Performance Target 1.2.   By 2007, 60 percent of approved new records schedule items cover records created within the last 2 years.


FY 03
Projected Performance

  • Ensure 31 percent of approved new records schedule items cover records created within the last 2 years.
  • Issue transfer guidance for 2 electronic record formats.
  • Deploy records management application pilot in one NARA unit.

Outcome Records are kept long enough to protect rights, assure accountability, and document the national experience; and records are destroyed when they are no longer needed and it is practical to do so.

Significance We must protect records from the time of their very creation to ensure their accessibility for as long as they are needed to meet the needs of Government agencies and the public. In particular, if we are to ensure that essential evidence is created, identified, appropriately scheduled, and managed, we must address realistically a future in which most government recordkeeping will be electronic and develop practical solutions for dealing with electronic records. Otherwise, records needed to document citizens' rights, actions for which Federal officials are responsible, and the historical experience of our nation will be at risk of loss, deterioration, or destruction.

Means and Strategies Approving the disposition of records is the most critical statutory responsibility of the Archivist of the United States because it determines how long records must be kept to protect individual rights, provide accountability in government, and document the national experience. When Federal agencies create new functions (and hence, new kinds of records), we must determine the disposition of those records as soon as possible.

This work is especially important for electronic records, the bulk of the records being created today. In the past two decades, there has been an explosion in the quantities and types of electronic records generated by the Federal Government as agencies have turned increasingly to information technology to improve and extend Government services. Both electronic mail and the Internet have come into widespread use. And while agencies are creating, using, and storing records electronically, they are not necessarily managing them in electronic recordkeeping systems because developments in technology for creating records have not been matched by technological developments for managing them.

Electronic records management is a critical component of e-Government. As one of the Administration's e-Government initiatives, NARA is partnering with the Department of Defense, the Environmental Protection Agency, and other agencies to develop practical recordkeeping guidance and solutions for managing electronic records. In FY 2003, NARA's ERM Initiative will develop guidance for agencies implementing records management applications and will begin to expand the formats of permanent electronic records that agencies can transfer to the National Archives.

Another way we can develop effective guidance for agencies on records management is by using our own agency as a test bed for practical records management policies and standards. We have developed a multi-year strategy to implement a records management application (RMA) to manage our own electronic records while at the same time testing this strategy for its practicality for other agencies. We also will apply what we learn through this process to our work on updating the Department of Defense standard and developing Government-wide RMA standards.

In FY 2001 we began conducting a test of an RMA on our own records. Through this test, we acquired basic knowledge and experience that is enabling us to advise other Federal agencies on their own RMA implementation projects. In FY 2002, based on the knowledge and experience gained from the test, we began a formal pilot of the RMA, applying it to one series of records in one business process in one NARA organization in the Washington, DC, area. This pilot will implement commercially-available software in a production environment, where the official copies of records are maintained by the RMA. The pilot extends through FY 2004 so that we may collect as much data as possible on the RMA's use in the pilot office. Throughout the entire process, we will share our lessons learned with the Federal community so that agencies may apply our experience to their electronic recordkeeping efforts.

Our experience with the RMA pilot will help us determine the scope of any further implementation of the system. Such decisions will depend upon the maturity of the application and whether the return on investment is sufficient to move toward managing all of our electronic records electronically. If data support a positive decision, further RMA implementation could begin in FY 2005 and extend through FY 2009, depending on how many organizations are included in the final rollout.

Federal agencies are looking to NARA to issue practical guidance in other areas of electronic records management as well. We are developing guidance for the management of agency web site content and administrative records. As a member of the Federal Public Key Infrastructure Steering Committee of the Architecture and Interoperability Committee of the CIO Council, NARA, as a member of the Legal/Policy Working Group, is a co-lead with the U.S. Patent and Trademark Office to develop detailed records management guidance for administrative records generated by PKI implementations by FY 2003.

Key external factors We are limited in how well we can electronically manage records by the available technology. The ERM Initiative is a collaborative effort with our partner agencies and is dependent on their continued full participation.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Number of schedule items submitted by agencies. 4,1998,8633,2626,036 
Number of schedule items completed. 3,2625,6644,7289,374 
Number of new schedule items completed. 9351,9612,5445,161 
Number of new schedule items completed within 2 years of the records creation. 2205445201,701 
Percent of new schedule items completed within 2 years of the records creation. 23.5227.7420.4432.9531*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • Guidance to Federal agencies on how to schedule electronic copies of program records that remain on an email or word processing system after a recordkeeping copy issued.
  • Web site for the dissemination of guidance on electronic records issues launched.
  • Five documents and checklists on electronic recordkeeping for Federal agencies drafted.
  • General records schedules to authorize the disposal of certain administrative records, regardless of physical format revised.
  • Federal agency review of draft government-wide records schedule for information technology administrative records completed.
  • Department of Defense standard for the management of electronic records endorsed.

FY 2000

  • Department of Defense software certification process reviewed.
  • Three documents on electronic recordkeeping for Federal agencies drafted.
  • Contract for test RMA awarded.

FY 2001

  • Records management application hardware and software installed and system test of records management application completed.

FY 2002

  • Policies and procedures module of the business process improvement study of NARA records management deferred.
  • ERM e-Gov initiative vision, goals, and objectives developed and confirmed by OMB. Detailed work plan and financing strategy developed.
  • Transfer guidance for 1 electronic record format issued.
  • Contract to conduct test of records management application with selected NARA users awarded.

FY 2003 Projected

  • Transfer guidance for 2 electronic record formats issued.
  • RMA pilot in one office deployed and operational.


Data source
Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions Records schedule: a document, having legally binding authority when approved by NARA, that provides mandatory instructions (i.e., disposition authority) for what to do with records no longer needed for current business; Schedule item: records subject to a specific disposition authority that appear on a records schedule.


Long Range Performance Target 1.3. By 2007, the median time to process records schedule items is 120 calendar days or less.


FY 03
Projected Performance

  • Process records schedule items within a median time of 225 calendar days or less.
  • Develop a "to be" model for the scheduling, appraisal, and accessioning process.

Outcome Records are kept long enough to protect rights, assure accountability, and document the national experience; and records are destroyed when they are no longer needed and it is practical to do so.

Significance We must make the records scheduling process more effective and efficient, and decrease the time it takes to get schedules approved. Taking a long time to process schedules delays action on the disposition of records and discourages agencies from submitting schedules, potentially putting essential evidence at risk.

Means and Strategies A key strategy outlined in our Strategic Plan is the redesign of the processes by which Federal records overall are identified, appraised, scheduled, and tracked while in agency custody. Our Strategic Plan also identifies the need to build automated tools for NARA and Federal agencies to support the inventorying, scheduling, and accessioning of Federal records. Such tools will make it easier for agencies to inventory their records and for NARA to review and approve records schedules and ensure that essential evidence is not lost. Because much of the essential evidence will transfer to the legal custody of the National Archives, these automated tools are being developed in close collaboration with the Electronic Records Archives (ERA) program (see Section 3.3).

In FY 2000, as the first phase in completely rethinking the processes by which NARA approves the disposition of Federal records, we devised a two-part information collection to better understand the current Federal recordkeeping and records use environment. During FY 2001, with contractor support, we identified the views and perceptions of Federal staff on the creation, maintenance, use, and disposition of records in their agencies. We also analyzed Federal agency business processes and the records they generate. Using the resulting Report on Current Recordkeeping Practices within the Federal Government, in FY 2002, we proposed a dramatic redesign of our records management program. The aim of this redesign is to create mutually supporting relationships with agencies whereby NARA's records management program adds value to agency business processes, records are managed effectively for as long as needed, and records of continuing value are preserved and made available for future generations. Part of the strategy for carrying out this plan is to develop new and improved guidance and training for agencies and records management professionals, as well as developing automated tools to support the redesigned process.

In FY 2003, with contractor assistance, NARA, through its Records Management Initiatives and the ERA program, will complete the redesign of the records scheduling, appraisal, and accessioning process, and develop functional requirements for automated tools to support the redesigned process.

Until any recommendations from the redesign are implemented, we will not be able to make significant improvements in the scheduling, appraisal, and accessioning process. Recommendations resulting from the redesign may be difficult and time-consuming to implement. They also may result in major changes to this target and target 1.2.

Key external factors If changes in statute or legislation are recommended as part of the policy analysis or redesign of the scheduling, appraisal, and accessioning process, delays in implementation could result.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Number of schedule items completed. 3,2625,6644,7289,374 
Number of records schedule items completed within 120 calendar days of submission to NARA. 4691,2296591,999 
Percent of records schedule items completed within 120 calendar days of submission to NARA. 14.3721.6913.9321.32 
Median time for records schedule items completed (in calendar days). 336.5283237470225*
Median time for records schedule items completed (in calendar days) within NARA.    403225*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • Team for scheduling reinvention project established and trained; project plan developed.

FY 2000

  • Contract to gather and analyze information about the views and perceptions of Federal agencies concerning the creation, maintenance, use, and disposition of their records awarded.
  • Prototype methodology for the analysis of Federal agency business processes and the records they generate developed.
  • Process and activity models of the records life cycle and scheduling and appraisal process completed.

FY 2001

  • Draft report for study of the creation, maintenance, use, and disposition of records in Federal agencies completed and optional task for additional analysis exercised.
  • Analysis of Federal agency business processes and the records they generate completed for 11 agencies.

FY 2002

  • Final report for study of the creation, maintenance, use, and disposition of records in Federal agencies completed.
  • Analysis of 3 Federal agency business processes and the records they generate completed.
  • Records scheduling, appraisal, and accessioning policies reviewed and a Proposal for a Redesign of Federal Records Management issued.

FY 2003 Projected

  • Policy review of NARA's record management policy and guidance completed.
  • "To be" model for the redesigned scheduling, appraisal, and accessioning process developed.
  • Functional requirements for automated tools to support the redesigned process defined.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions    Records schedule: a document, having legally binding authority when approved by NARA, that provides mandatory instructions (i.e., disposition authority) for what to do with records no longer needed for current business; Schedule item: records subject to a specific disposition authority that appear on a records schedule


STRATEGIC GOAL 2:

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 1999 Resources Available to Meet This Goal: $130,873,000; 1,988 FTE
FY 2000 Resources Available to Meet This Goal: $120,058,000; 2,028 FTE
FY 2001 Resources Available to Meet This Goal: $120,046,000; 2,159 FTE
FY 2002 Resources Available to Meet This Goal: $134,208,000; 2,263 FTE
FY 2003 Resources Available to Meet This Goal: $134,943,000; 2,306 FTE

FY 2003 Budget Linkage: pages 16-18


Long Range Performance Target 2.1. By 2007, access to records and services and customer satisfaction levels meet or exceed NARA's published standards.


FY 03
Projected Performance

  • Meet or exceed NARA's published standards for access to records and services:
    • 85 percent of written requests are answered within 10 working days;
    • 85 percent of Freedom of Information Act requests for Federal records are answered within 20 working days;
    • 35 percent of requests for military service records at the National Personnel Records Center in St. Louis are answered within 10 working days;
    • 95 percent of items requested in our research rooms are furnished within 1 hour of request or scheduled pull time;
    • 99 percent of customers with appointments have records waiting at the appointed time;
    • 90 percent of Federal agency reference requests in Federal records centers are ready when promised to the customer;
    • 99 percent of records center shipments to Federal agencies are the records they requested;
    • 60 percent of archival fixed-fee reproduction orders through OFAS are completed in 35 working days or less;
    • 95 percent of education programs, workshops, and training courses are rated by participants as "excellent" or "very good."

Outcome Our customers are satisfied.

Significance Our customers deserve the best service we can deliver. Through the measurement of performance against customer service standards, development of customer service teams and customer service training, and process redesign efforts in areas that traditionally had high backlogs, we are coordinating our efforts to ensure that our customer service meets our customers' needs.

Means and Strategies One of our biggest challenges is to reduce the response time for requests for veterans' records. At the National Personnel Records Center in St. Louis we are in the midst of a multi-year business process re-engineering project to bring the average response time on requests for modern military service records from several weeks to 10 days. The kind of systemic change that we are making requires a flexible approach and modifications in plans as changes take place. Some of the changes are dramatic, even disruptive, as old processes are put aside and new ones are learned; other modifications—and other changes that address the underlying nature of the organization—are so pervasive and far reaching that they naturally take some time to affect the culture of that organization. We are already seeing the positive influence of organizational changes, such as our creation of team-based units known as "cores," but we are still fairly early in the transition to a new processing system-and culture. While we are seeing an improvement in response time, until more training, practice, and technology is applied, the progress will be gradual.

We also are improving access to records that are difficult to use. Records of the Bureau of Refugees, Freedmen, and Abandoned Lands (Freedmen's Bureau) from the Reconstruction era contain a great deal of information about the African-American family experience, but the information is difficult to extract and the records are fragile and only available in one NARA location. We are undertaking a project to microfilm these records and distribute the microfilm to our regional archives and microfilm rental program. We also plan to form partnerships with non-profit organizations and educational institutions to develop automated name indexes to the records to make them easier to use.

We continue to make process improvements in our research rooms, train staff in customer service principles, employ customer service teams, modernize and upgrade research room equipment, and add research room staff and adjust hours of service to make it easier for more people to use our services.

Key external factors Unexpected increases in records holdings or public interest in groups of records can significantly increase workloads, response times, and wear and tear on public use equipment. Construction at the National Archives Building may result in a temporary decrease in the number of public programs and services offered there. NARA cannot control the response time for FOIAs that must be referred to other agencies.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Percent of written requests answered within 10 working days. 88.5691.9293.0392.8385*
Percent of Freedom of Information Act requests completed within 20 working days. 34.5826.8627.5675.4285*
Percent of requests for military service records at the National Personnel Records Center (NPRC) in St. Louis answered within 10 working days. 7.072.884.2128.3135*
Percent of items requested in our research rooms furnished within 1 hour of request or scheduled pull time. 94.4389.0793.2494.3195*
Percent of customers with appointments for whom records are waiting at the appointed time. 99.6999.3999.6499.7799*
Percent of Federal agency reference requests in Federal records centers that are ready when promised to the customer. 81.1278.8492.6992.8890*
Percent of records center shipments to Federal agencies are the records they requested. ----99.9999.9999*
Percent of archival fixed-fee reproduction orders through OFAS are completed in 35 working days or less. ------87.7860*
Percent of education programs, workshops, training courses rated by participants as "excellent" or "very good." 90.2295.3396.5095.6895*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • Pilot team at National Personnel Records Center established. Performance objectives that reflect the work process re-design established.

FY 2000

  • Analysis of pilot team experiment completed. Two cores, consisting of four teams each, established and operational.
  • 61 percent of 1930 census microfilm duplicated; 15 sets of 2,669 rolls out of 4,318 rolls of schedules and indexes.

FY 2001

  • 100 percent of 1930 census microfilm duplicated-15 sets of 4,318 rolls of schedules and indexes-and distributed to NARA facilities and microfilm rental program. Furniture and equipment procured and installed.

FY 2002

  • 1930 census opened to the public on April 1, 2002.
  • Prototype Case Management and Reporting System at NPRC tested and deployed.
  • New work assignment profiles at NPRC modified to refocus core team work.
  • Freedmen's Bureau records from three states (out of 15 states and the District of Columbia) microfilmed.

FY 2003 Projected

  • Case Management and Reporting System functionality fully implemented at NPRC.
  • Freedmen's Bureau records from three states (out of 15 states and the District of Columbia) microfilmed.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions    Written requests: requests for services that arrive in the form of letters, faxes, emails, and telephone calls that have been transcribed. Excludes Freedom of Information Act requests, personnel information requests at the National Personnel Records Center, Federal agency requests for information, fulfillment of requests for copies of records, requests for museum shop products, subpoenas, and special access requests; Federal agency reference request: a request by a Federal agency to a records center activity requesting the retrieval of agency records. Excludes personnel information requests at the National Personnel Records Center.


Long Range Performance Target 2.2. By 2007, 70 percent of NARA services are available online.


FY 03
Projected Performance

  • Ensure 30 percent of NARA services are available online.

Outcome More people have access to our services.

Significance For citizens and the Government to take full advantage of the resources we have to offer, we must make those services available regardless of the user's physical location. With the advent of the Internet and other electronic forms of communication, we have the means to offer services remotely. Visiting or writing one of our facilities is no longer the only way for people to get ready access to essential evidence. By broadening the availability of our services, we ensure that citizens everywhere have access to their National Archives.

Means and Strategies Our web site is the most widely available means of electronic access to our services and information, including directions on how to contact us and do research at our facilities; descriptions of our holdings in an online catalog; digital copies of selected archival documents; electronic mailboxes for customer questions, comments, and complaints; an automated index to the John F. Kennedy assassination records collection; electronic versions of Federal Register publications; online exhibits, and classroom resources for students and teachers.

In accordance with the Administration's Government-wide initiative to expand electronic government and our Strategic Plan, NARA has aggressively looked for opportunities to make more of our services, for both Federal agencies and the public, available electronically. To meet this challenge and the requirements of the Government Paperwork Elimination Act (GPEA), however, we must dramatically improve our information technology infrastructure to support a wide variety of complex electronic transactions.

In FY 2002 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.

In FY 2002 we established a technical team that is addressing our web infrastructure needs in support of e-Government initiatives and GPEA. This team includes professionals who are experienced in web applications and software engineering, and have experience in a standards-based approach to information technology architecture and development. Because we anticipate that almost all of these activities will be contracted out, the team also has experience in acquisition management.

In FY 2003 we plan to continue enhancement of our web infrastructure to support online ordering, interactive forms, direct access to databases, and web-based training. We will phase in each new capability to ensure that we have adequate technical resources to meet customer demand. Some Government web sites have been completely overwhelmed by their own success when more users than expected swamped sites with new services. To manage this potential problem, we will monitor each new application closely to evaluate the level of technical resources used, shift resources as necessary, and develop a baseline for future activities. All NARA e-Government initiatives also will include a prototype and pilot so that we have ample opportunity to examine how the initiative is changing business processes, evaluate the costs and benefits of further revamping, analyze the performance of the application, ensure users' privacy is protected, and mitigate the risks associated with fraud, error, and misuse.

Once we have developed the technology infrastructure and tested the products necessary for creating a reliable and scalable e-Government environment, we will procure, implement, and deploy the software applications required for e-Government in an operational setting. We will launch pilots for all of the high-volume transactions identified in our GPEA plan that are deemed to be cost-effective.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Public user sessions on NARA's web site (in thousands) 7,271.810,096.216,105.919,538.0 
Percent of NARA services available online. ----242530*

* FY 2003 data are targets.

Milestones

FY 2001

  • Preliminary measurement methodology developed and baseline for NARA services available online proposed.

FY 2002

  • Measurement methodology finalized.
  • Web-based request form to allow electronic requests of copies of records made available.

FY 2003 Projected

  • Online ordering for copies of records implemented.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.


Long Range Performance Target 2.3. By 2007, 95 percent of NARA archival holdings are described at the series or collection level in an online catalog.


FY 03
Projected Performance

  • Describe 25 percent of NARA archival holdings at the series or collection level in the Archival Research Catalog.

Outcome Researchers will find the descriptive information they need about our archival holdings in one convenient location.

Significance In a democracy, the records of its archives belong to its citizens. NARA is committed to ensuring that citizens anywhere, anytime can gain access to information about and from the records of our Government. A key strategy to fulfilling that commitment is the development and deployment of the Archival Research Catalog (ARC).

Means and Strategies When completed, ARC will be a comprehensive, self-service, online "card catalog" of descriptions of our nationwide holdings. Previously, to locate records you want to see or copy, you must search through various published and unpublished catalogs, indexes, and lists, many of which are out of date, out of print, or available in one location only. ARC will ensure that anyone, anywhere with an Internet connection can browse descriptions of all of our holdings, including electronic records, in our Washington, DC, area archives, regional archives, and Presidential libraries.

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. ARC development is nearly complete, and in FY 2002 we debuted the read-only catalog, populated with the descriptions in NAIL, on our staff web site. Also in FY 2002, we installed public access terminals in all our research rooms nationwide to enable the public to use ARC and other online finding aids onsite.

We will complete development and testing of the ARC data entry system in FY 2003. This will be followed by a beta test of the operational system with a small group of archivists. Once this system has been thoroughly tested and debugged, we will begin a phased rollout to all archival units nationwide.

One of our description and access challenges is the high-volume and high-demand electronic records from the Department of State, the Executive Office of the President, and other agencies that we soon will be accessioning. We will describe these records in ARC, but we need to develop the capability to make these electronic records accessible to researchers online. To meet the need to provide web access to electronic records, NARA launched the Access to Archival Databases (AAD) project. In FY 2001 we completed the AAD prototype, as well as the requirements documents for the pilot version of the system. During FY 2002, we completed the pilot system, as well as nearly all of the development for the production versions, the latter of which will ultimately be accessible to the public through ARC. We will debut AAD with the public in early FY 2003.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Percent of nationwide archival holdings described in an online catalog. 8.4 13.9 13.2    
Cubic feet of archival holdings (in thousands) 2,834.5 2,767.7 2,915.1    
Cubic feet of archival holdings described in an online catalog. 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 25*
Number of Electronic holdings in NARA (millions of logical data records) 3,713.9  
Percent of Electronic holdings in an online catalog 0 0*
Number of Traditional holdings in NARA (thousands of cubic feet) 2,882.9  
Percent of Traditional holdings in an online catalog 19.0 25*
Number of file units of archival electronic holdings accessible online. 344*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • Digitizing project completed; 124,000 digital images available online through NAIL.
  • 2,834,522 cubic feet of nationwide archival holdings; 236,756 cubic feet described in NAIL. (8.4 percent)
  • 3,210 microfilm publications described in NAIL.
  • Descriptive and data content standards, data model, and technical and functional requirements for ARC completed.

FY 2000

  • ARC functional, technical, and data requirements finalized and design approved.
  • Installation and analysis of prototype system for online access to electronic records completed.
  • 2,767,668 cubic feet of nationwide archival holdings; 385,909 cubic feet described in NAIL. (13.9 percent)

FY 2001

  • 2,915,133 cubic feet of nationwide archival holdings; 385,909 cubic feet described in NAIL. (13.2 percent)
  • Online access to select accessioned data files achieved.
  • Policy for installation and use of computer terminals in NARA research rooms developed.
  • Prototype AAD system completed; pilot and production contract for AAD awarded.

FY 2002

  • Migration of NAIL descriptions to ARC completed.
  • Launch of ARC web system to the public completed.
  • Development of ARC data entry system completed.
  • AAD pilot version made operational.
  • Computer terminals capable of accessing ARC in 100 percent of our research rooms nationwide completed.

FY 2003 Projected

  • Testing and launch of ARC data entry system completed.
  • AAD production version made operational, with 344 file units available to customers.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions NAIL: NARA Archival Information Locator, prototype for ARC; ARC: Archival Research Catalog, future NARA-wide online catalog; AAD: Access to Archival Databases, an access tool that will permit public online access to selected archival databases.


Long Range Performance Target 2.4. By 2003, ISOO will develop a uniform sampling system for collecting information about classification activity within the executive branch.


FY 03
Projected Performance

  • Test the sampling method or methods to determine reliability and credibility of the data reported by agencies that sample their classification activity.

Outcome More reliable and credible data are available about classification decisions.

Significance The Information Security Oversight Office (ISOO), which is administered within NARA, annually reports to the President on the status of the Government-wide security classification program. ISOO collects data from executive branch agencies that create or handle classified national security information to assess the state of the Government's overall security classification program as well as individual agency programs. Credible data are essential to making these assessments.

Means and Strategies One element that has been particularly troublesome for the larger classifying agencies is the number of classification decisions made by classifiers in a fiscal year. Three agencies use sampling methods to determine this number. These agencies represent more than 90 percent of all classification activity in the executive branch. The results from their sampling methods tend to vary significantly from year to year because the methods lack uniformity in content and application. Consequently, the reliability and credibility of the data are questioned. Another factor complicating these methods is the reporting of security classification program data related to information contained in electronic systems. Some agencies can conduct actual counts of security classification decisions made in a particular year. In other agencies, the electronic systems in use do not provide a means to distinguish the types of documents they count, e.g., final work products versus draft work products; or record versus non-record items. The data collected by these agencies includes information that does not fall within the parameters set for the data. Consequently, while a uniform sampling method would result in more reliable and credible data, such a method would require that it set parameters for information contained in electronic systems. If the electronic systems can discriminate among the types of classification decision/documents, a sampling method may not be necessary. This effort will help make that determination.

Key external factors Agencies who sample their number of classification decisions must cooperate in the development of the uniform methodology.

Verification and Validation

Milestones

FY 1999

  • 8 classified document reviews completed.

FY 2000

  • 7 program reviews completed.

FY 2001

  • 3 program reviews completed.

FY 2002

  • All agencies handling classified information surveyed with a questionnaire about the data collection form, SF 311, "Agency Security Classification Management Program Data," surveyed.
  • Online contractor e-survey to assess the current effectiveness of the National Industrial Security Program conducted, with 393 contractors participating.
  • 5 Executive Branch agencies program reviews completed.

FY 2003 Projected

  • Sampling method or methods to determine reliability and credibility of the data reported by agencies that sample their classification activity tested.
  • 12 national industrial security program reviews completed; 32 Executive Branch agencies program reviews completed.

Data source Quarterly reports to the Archivist.

Definitions Classified document review: a review by ISOO of an executive branch agency to identify inconsistencies in the application of classification and marking requirements of Executive Order 12958. The results of the review along with any appropriate recommendations for improvement are reported to the agency senior official for the program or the agency head. Program review: an evaluation of selected aspects of an executive branch agency's security classification program to determine whether an agency has met the requirements of Executive Order 12958. The review may include security education and training, self-inspections, declassification, safeguarding, and classification activity. The results of a review, along with any appropriate recommendations for improvement are reported to the agency senior official or agency head.


Long Range Performance Target 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.


FY 03
Projected Performance

  • Review and declassify 90 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.
  • Scan 600,000 pages of Presidential archival materials eligible for declassification review as part of the Remote Archives Capture project.

Outcome More records are declassified and made available to the public.

Significance Executive Order 12958 requires the declassification of material 25 years old unless specifically exempt. The Government protects millions of classified documents at great expense, including more than 390 million pages in our Washington, DC, area facilities and 38 million pages in Presidential libraries. The majority of these documents more than 25 years old no longer requires classified protection and can and should be accessible to citizens.

Means and Strategies NARA staff focus on records that are not already being reviewed by the originating agencies. These agencies are ones that receive but do not generate much classified information. We must review these records to identify the equities of other agencies that may still have concerns about information in the records. To handle the reviews required by Executive Order 12958, and the extra work required by the Kyl and Lott Amendments, we hired experienced contract personnel to survey, review, and prepare records for release. These contractors worked primarily on Presidential materials from the Eisenhower through Carter Administrations. Responding to the needs of our customers, NARA staff are increasing efforts to process for release those records series known to be in high demand by researchers that have undergone the declassification review by other agencies.

We improved 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 allows us to electronically scan requested documents, input data about the documents, redact documents, and provide redacted copies of scanned documents to researchers. Ultimately, other agencies may be able to use the system to enter the results of their own declassification review, check for their equities in other agency records, and view image files of the documents in question to check for their own equities. We expect to enhance the system to include the ability to review electronic records online.

For classified materials in the Presidential library system for which we have no delegated declassification authority, we have established a partnership with the Central Intelligence Agency to prepare and scan classified materials for distribution to agencies with equities in the documents. With additional FY 2001 funding, NARA funded travel and per diem for scanning teams and hired temporary security-cleared workers to assist in processing documents for opening when returned to the libraries following equity review. CIA is funding all of the technological development, hardware, and software for the project. The Department of State is not a participant in the scanning project and will need to work with NARA to find other means to provide for its equity review of materials in the libraries for which they have not provided guidelines.

Key external factors The Administration has begun a process that will lead to amending or rewriting Executive Order 12958. Changes in the order could have a significant effect on NARA's workload, work processes, and performance targets. In the meantime, a portion of the NARA resources focused on the review of records under E.O. 12958 have been shifted, by necessity, to screening series for records of concern in response increased concern about terrorist attacks on the United States.

The aggressive accessioning program currently underway for records eligible for transfer from the Washington National Records Center, to the National Archives at College Park, Maryland, resulted in the transfer of over 5,000 cubic feet of classified records to that facility in FY 2002. This material will add substantially to the backlog of material eligible for review in the coming year.

The Kyl and Lott Amendments require the re-review, page-by-page, of all declassified records except those determined to be highly unlikely to contain Restricted Data and Formerly Restricted Data. We continue to devote resources to assist the Department of Energy (DOE) in surveying and auditing records to ensure that no Restricted Data and Formerly Restricted Data are inadvertently released. Our work in this will increase in FY 2003 as the U.S. Air Force begins a project similar to DOE's that will result in another layer of review before the records can be made available.

Special declassification projects also reduce the amount of declassification that can be accomplished with existing resources. Instead of examining entire records series for declassification, many of our declassification staff are required to examine individual withdrawn classified documents to determine their relevance and coordinate their declassification with the appropriate agencies.

We have partnered with several agencies that are providing declassification support. The CIA must continue to provide technical support to enable the review of documents by other agencies. The State Department and other agencies must take prompt action on reviewing and declassifying documents in Presidential libraries.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Backlog of Federal records at start of year (in thousands)20,000.052,864.225,029.020,979.5 
Annual percentage of Federal records NARA reviewed that are more than 25 years old for which NARA has declassification authority. 521591290*
Backlog of Presidential materials at start of year (in thousands) 1,500.01,978.41,562.41,240.4 
Annual percentage of Presidential records NARA reviewed that are more than 25 years old for which NARA has declassification authority. 4821212390*
Annual number of Federal pages reviewed (in thousands) 11,030.68,051.52,129.02,490.2 
Annual number of Federal pages declassified (in thousands) 8,466.83,697.3806.5402.0 
Annual number of Federal pages released (in thousands)  7,677.51,788.32,184.2 
Annual number of Presidential pages reviewed (in thousands)713.0416.0322.0280.0 
Annual number of Presidential pages declassified (in thousands) 304.8291.0218.8118.8 
Annual number of Presidential pages scanned. 351.2160.0321.8331.9600*
Annual number of Presidential pages released. 291.1285.1206.8182.0 

* FY 2003 numbers are targets.

Milestones

FY 1999

  • 85,000,000 pages of declassified Federal records certified as highly unlikely to contain Restricted Data and Formerly Restricted Data.

FY 2000

  • 26,169,215 pages of declassified records surveyed or re-reviewed for Restricted Data and Formerly Restricted Data.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions    Equity-holding agency: the agency that may have classified information in a document, whether or not it created the document. Without declassification guidelines, only the equity-holding agency can declassify information in the document.


Long Range Performance Target 2.6. By 2007, 10 percent of records of a two-term President or 15 percent of records of 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.


FY 03
Projected Performance

  • Process an additional 2 percent of Clinton Presidential and Vice Presidential records for opening on January 20, 2006.

Outcome We improve ready access to Presidential records.

Significance The Presidential Records Act (PRA) requires Presidential records to be available for the Freedom of Information Act (FOIA) requests five years after the President leaves office. Five years after the last two Presidents left office, well under 10 percent of their records had been opened, largely because of the absence, on the Presidents' departures, of NARA staff trained to accomplish the exacting reviews required under the PRA and FOIA. We must ensure that Presidential records are available in accordance with the Act in a more timely fashion.

Means and Strategies To ensure the availability of Clinton Administration records and artifacts for informational, historical, evidentiary and administrative purposes, staff trained in the requirements of the PRA and FOIA will process these records and artifacts in accordance with the requirements described above. Staff will also prepare inventories for Presidential and Vice Presidential records to provide basic intellectual control and assist in finding and responding to records requested in special access requests in the post-Presidential period. The inventories will also assist the staff in processing the records and in responding to FOIA requests five years after the end of the administration.

Key external factors During FY 2001 and FY 2002 the Clinton Project processed subpoenas requiring comprehensive searches and production of documents for a number of on-going legal cases. Should these cases or new cases continue into 2003, the Clinton Project staff would be severely limited in the amount of systematic processing they can do for opening records in 2006.

Verification and Validation

Performance Data

FY 2001

FY 2002

FY 2003

Cumulative percent of Clinton Presidential and Vice Presidential traditional records processed for opening January 20, 2006. 113*
Cubic feet of Clinton Presidential and Vice Presidential traditional records. 28,92528,925 
Cubic feet of Clinton Presidential and Vice Presidential traditional records processed for opening. 290290 
Cumulative percent of Clinton Presidential and Vice Presidential electronic records processed for opening January 20, 2006. 000*
Cumulative percent of Clinton Presidential and Vice Presidential artifacts processed for opening January 20, 2006. 00*0*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • 4 staff members hired and completed first year of two-year training program.
  • 1 staff member hired and completed first year of three-year training program.

FY 2000

  • 40 percent of the Presidential and Vice Presidential records and artifacts in NARA's custody have prepared or acquired inventories.

FY 2001

  • Inventories gathered, prepared, or accessible for another 33 percent of Presidential records.
  • 100 percent of Clinton Administration Presidential and Vice Presidential records and artifacts transferred to NARA.
  • 12 staff members hired for the Clinton project.
  • Clinton project web site developed and four digitally preserved, fully-searchable versions of the Clinton White House web site posted.

FY 2002

  • 6 staff members hired for the Clinton project.

FY 2003 Projected

  • Library Director hired for the Clinton project.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions    Inventory: a listing of the volume, scope, and complexity of an organization's records.


Long Range Performance Target 2.7. By 2007, 90 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.


FY 03
Projected Performance

  • 85 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.

Outcome The public gains wider access to the entire range of records on which the understanding of American history depends.

Significance National Historical Publications and Records Commission grants help archivists, editors, and historians nationwide broaden public access to non-Federal records, thus complimenting NARA's own mission. Toward this end, the NHPRC works to ensure completion of documentary projects on America's founding era, strengthens the nation's archival infrastructure through collaboration with the states, and funds research and development on preserving and making accessible important documentary sources in electronic form.

Means and Strategies The Commission achieves its goals largely through a competitive grants program open to non-profit organizations, state, local, and tribal governments, and (in a limited number of cases) individuals. Grant proposals are submitted and supported by applicant institutions and organizations that provide a significant portion of the total project costs (usually 50 percent or higher). Each grant application includes general goals and specific objectives, a detailed budget, a work plan with project schedule, and a list of products that will be produced. Depending upon the type of project and the amount requested, proposals may be evaluated by peer reviewers and/or state historical advisory boards, as well as by staff and the Commission, and are awarded usually on an annual competitive basis. Each grant recipient must submit regular narrative and financial reports and a final report with copies of products generated by the project. Commission staff monitor the projects through this regular reporting as well as through individual contact. Commission staff also monitor relevant professional reviews of the products of its grants as found in professional journals and reports to professional meetings. Projects also are evaluated at the close of the grant period to determine if they have submitted evidence of the satisfactory completion of the project along with the necessary copies of products. Because some of the projects are experimental, they may not produce expected results. In these cases, however, finding out what does not work may be just as valuable as finding out what does work.

The Federal Financial Assistance Management Improvement Act of 1999 requires that we examine our efforts to simplify parts of our grant-making process, particularly by providing electronic options. We plan to streamline the regulations for our grant-making process and ensure that information is easily accessible to our grantees via our web site. In FY 2002 we made grant application forms and other necessary forms available on our web site. In FY 2003 we also will simplify the grant process for our grantees by accepting alternate means, such as fax, for the transmission of interim reports and requests. Finally, in FY 2004, we will evaluate the cost-effectiveness of automating our grants application process.

Key external factors The NHPRC rigorously evaluates grant applications on the basis of the relevance of projects to the NHPRC's strategic objectives and the ability of applicants to produce promised results. Nonetheless, results ultimately depend on the grantees rather than on the NHPRC.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Number of NHPRC-assisted projects completed. 10067115115 
Number of NHPRC-assisted projects that produced the results promised. 896310582 
Percent of NHPRC grant-funded projects produced results promised in grant applications. 8994917985*

* FY 2003 numbers are targets.

Milestones

FY 2002

  • NHPRC grant application forms available on web site.

FY 2003 Projected

  • NHPRC regulations and guidance revised, streamlined, and posted on web site.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.


STRATEGIC GOAL 3:

ALL RECORDS WILL BE PRESERVED IN AN APPROPRIATE ENVIRONMENT 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 1999 Resources Available to Meet This Goal: $82,950,000; 307 FTE
FY 2000 Resources Available to Meet This Goal: $91,419,000; 305 FTE
FY 2001 Resources Available to Meet This Goal: $159,044,000; 322 FTE
FY 2002 Resources Available to Meet This Goal: $126,361,000; 338 FTE
FY 2003 Resources Available to Meet This Goal: $104,109,000; 376 FTE

FY 2003 Budget Linkage: pages 13-16, 18-22


Long Range Performance Target 3.1. By 2007, 90 percent of NARA holdings are in appropriate space.


FY 03
Projected Performance

  • Complete restoration and preservation of the Rotunda murals and reinstall the murals in the Rotunda.
  • Complete conservation work and redisplay Charters of Freedom in the Rotunda.
  • Complete renovation modifications in the Rotunda.
  • Complete construction of new microfilm research room, research center, and library in the National Archives Building.
  • Complete installation of two new chillers for HVAC supply and complete construction of new steam tunnel in the National Archives Building.
  • Open renovated Presidential Gallery at Eisenhower Library.
  • Complete construction for Roosevelt Library Visitors Center.
  • Complete Phase I of renovation and addition project at Ford Museum.
  • Complete plaza and seawall repair project at Kennedy Library.
  • Reach 60 percent completion of renovation and addition to the Reagan Library.
  • Award construction contract for the Southeast Regional Archives building.
  • Contract for a cost-benefit study for the storage and preservation of military personnel records.
  • Complete buildout of three new records center storage bays in Dayton.
  • Acquire additional records center storage space in the Kansas City area.
  • Award contract for brokerage services for acquisition of land for Alaska Regional Records Services Facility.

Outcome We greatly increase the chances of records being available for use by Federal officials and the public for as long as needed. In addition, for the first time in America's history, all the Charters of Freedom are fully accessible to the public and their continued preservation is ensured.

Significance Providing appropriate physical and environmental storage conditions is the most cost-effective means to ensure records preservation.

Means and Strategies While our state-of-the-art facility in College Park, MD, provides appropriate storage conditions for the archival headquarters records of most Federal agencies as well as modern records of national interest, several of our regional facilities have severe quality problems, including backlogs of needed repairs and renovations, and existing Presidential libraries need upgrades in environmental conditions. We are taking a multi-pronged approach to ensuring our holdings are in appropriate space. Based in part on our experience with our College Park facility, we are developing storage standards for all NARA archival records holdings. We published new standards to safeguard Federal records in records centers and other records storage facilities. These standards will ensure Federal records are protected whether they are stored by NARA, another Federal agency, or the private sector.

On January 20, 2001, we took custody of the records of the Clinton Administration. We leased and equipped a temporary facility in Little Rock, Arkansas, to house all the Presidential materials, and we are beginning to process the records, and prepare for the opening of the Clinton Presidential Library. For this and future Presidential libraries, we are developing new facility standards to ensure Presidential records and artifacts are appropriately housed. In addition, many older libraries are undergoing renovations and upgrades.

In our regions we are focusing first on facilities with the worst storage conditions (Atlanta and St. Louis) and on those that are out of space (Atlanta and Anchorage). We have stored and managed the bulk of the 20th century military personnel records for the Department of Defense since 1960. Because these records have such great value to current veterans now trying to document their rights and to future researchers documenting the military history of the 20th century, NARA will accession the majority of these records. Our St. Louis facility, however, does not meet minimum standards for records center storage and faces a 2009 deadline to do so. NARA needs to begin planning now for appropriately storing the military service records of the 20th century. We already know that to implement any option will require substantial preparation of the records for a move or reformatting and will require significant planning work to implement the selected option. In anticipation of moving the records, NARA is conducting a comprehensive physical needs assessment during 2003. We also are developing a comprehensive archival management program plan to ensure that we are prepared to implement accessioning, processing, description, and reference services functions as part of the selected facility option, and to integrate these functions with the existing preservation program. In FY 2004, we will begin the complex undertaking of implementing the conclusions of the building and reformatting study and will begin to prepare the records for moving or reformatting.

In Atlanta the design of a new facility for the Southeast Regional Archives is underway. The facility will share a site with the Georgia Department of Archives and History, near the campus of Clayton State College and University, in suburban Atlanta. We expect to award a construction contract in FY 2003. Construction will take about 18 months. After completing the construction, NARA will outfit the new building with shelving and furniture, move records and staff into this new state-of-the-art archival facility, and begin operations.

Our existing regional archives in Anchorage does not meet storage standards for the preservation of archival records and it cannot be renovated and expanded sufficiently to accommodate the volume of records that need to be transferred from the custody of various Federal agencies into the regional archives. Alaska's history is unique. It remained a Federal Territory until 1959. The Federal records created during this long territorial period reflect the historical record of Alaska. A new archival facility in Alaska would allow us to bring together the Federal records now scattered among the Federal agencies in Alaska, ensure the preservation of these critically important records, and provide public access to the rich story they tell about Alaska. In FY 2003 will begin the site selection process. In FY 2004 we will finalize acquisition of the site and conduct an environmental impact analysis.

And in Washington, DC, the renovation of the National Archives Building is progressing on schedule. The building is being upgraded to modern standards, with replacements of mechanical equipment, electrical distribution equipment, new emergency exits, fire alarm and security systems, and upgrades to the public spaces and office areas. The preservation and re-encasement of the Charters of Freedom will be completed in FY 2003 in time for their installation in the renovated displays in the Rotunda. The newly renovated Rotunda will enable all people to view the Charters of Freedom with ease and without assistance.

Finally, the researcher and outreach activities will be expanded and improved, making the records available to a greater number of people. These improvements will include building a new, larger, modern microfilm reading room and library, extending computer support to the Central Research Room, and providing enhanced electronic research capability and support in staff areas and research rooms. A small conference center will be added to permit training on research issues and lectures by authors. A distance learning center capable of reaching classrooms throughout the country will permit NARA staff and volunteers to conduct training on documents and archives. The tour orientation area will be improved and expanded. And the exhibit areas will be expanded and will comply with accessibility standards.

Key external factors Public, Administration, and Congressional support for our space planning activities is vital to develop and implement proposed plans. Our success in meeting our space objectives depends on the ability of NARA's project managers to effectively manage a variety of architectural, engineering, and construction contractors to meet prescribed schedules and keep costs within or below the project budgets.

Verification and Validation

Milestones

FY 1999

  • 90 percent of concept design for National Archives Building completed.
  • Prototype encasement developed and tested.
  • 70 percent of design phase for Roosevelt and Truman libraries completed.
  • Records center system storage capacity increased by 800,000 cubic feet.
  • Term architecture and engineering contracts, construction quality management services, and design and build contracts awarded.*
  • One major repair and renovation project in National Archives Building initiated and second project deferred.*
  • Six repair and restoration projects at Presidential libraries completed.*
  • Reimbursable records centers implementation planning completed.
  • Concept design for prototype regional archives completed.
  • Occupancy agreement signed with GSA for a new records center facility in Palmetto, Georgia.
  • 150,000 cubic feet of records moved to Palmetto facility.
  • Proposed facility standards for the storage of Federal records in records storage facilities.

FY 2000

  • Exhibit "Preserving the Charters of Freedom" opened in the Rotunda and on our web site.
  • Two encasements for the Charters of Freedom designed and fabricated.
  • Transmittal page and page two of the Constitution re-encased.
  • Concept design for the renovation of the National Archives Building completed.
  • 85 percent of the final design for the renovation of the National Archives Building completed.
  • Five pre-renovation construction contracts awarded and notice to proceed issued.*
  • Move of records to National Archives at College Park from the National Archives Building to create records-free construction zones completed.
  • Draft facility standards for archival facilities circulated for internal comment.
  • Negotiations with the State of Georgia and Clayton State College and University for the site selection of the Southeast regional archives facility initiated.
  • Architecture and engineering contract for design of Alaska regional archives facility awarded.
  • Temporary facility for Clinton Presidential Materials Project leased, modified, and equipped.
  • Construction contract for two-phase Truman Library renovation project awarded. Phase I completed.
  • Final facility standards for the storage of Federal records in records centers published.
  • Reimbursable operations of records centers implemented.

FY 2001

  • Final design for the renovation of the National Archives Building completed.
  • Fabrication of seven encasements completed.
  • Page three of the Constitution re-encased.
  • Draft environmental assessment for Southeast Regional Archives and 35 percent design completed.
  • Move of archival records from the Washington National Records Center to the National Archives at College Park completed.
  • Construction contract for the renovation of the National Archives Building awarded.
  • Two pre-renovation construction projects in the National Archives Building completed:
    • Construction of moat offices completed.
    • Demolition of shelving and steel decks on six floors completed.
  • Records from White House moved to temporary facility for Clinton Presidential Materials Project.
  • Construction at the Truman Library completed.
  • Design for museum renovations at the Eisenhower Library completed.
  • Design for the Roosevelt Library visitor center completed.

FY 2002

  • Murals from the National Archives Building Rotunda removed for conservation.
  • Pages one and four of the Constitution re-encased.
  • New concrete floors on tiers 3 and 5 of the National Archives Building completed.
  • Installation of new cooling towers at the National Archives Building completed.
  • Facility standards for archival facilities published.
  • All renovation construction except for cold storage room at at Eisenhower Library completed.
  • Construction contract for Roosevelt Library Visitors Center awarded.
  • Design for Reagan Library museum renovation and addition completed and construction contract awarded.
  • Design for Ford museum renovation and addition completed and construction contract awarded.
  • Design for Kennedy Library plaza and seawall repair project completed.
  • Design work for Southeast Regional Archives 99 percent completed.
  • A new records center storage bay in Lee's Summit and in Dayton completed.

FY 2003 Projected

  • Restoration and preservation of the Rotunda murals completed and murals reinstalled.
  • Conservation work completed and Charters of Freedom redisplayed in the Rotunda.
  • Renovation modifications in the Rotunda completed.
  • Construction of new microfilm research room, research center, and library in the National Archives Building completed.
  • Installation of two new chillers for HVAC supply completed and construction of new steam tunnel along Constitution Avenue completed.
  • Cold storage room completed and renovated Presidential Gallery at Eisenhower Library opened.
  • Construction of Roosevelt Library Visitors Center completed.
  • Phase 1 of renovation and addition project at Ford Museum completed.
  • Kennedy Library plaza and seawall repair project completed.
  • Construction contract awarded for the Southeast Regional Archives building.
  • Cost-benefit study for the storage of military personnel records completed.
  • Buildout of three new records center storage bays in Dayton completed.
  • Additional records center storage space in the Kansas City area acquired.
  • Solicitation for Offer and Lease Agreement for a facility to replace the records center in Atlanta executed.
  • Contract for brokerage services for acquisition of land for the Alaska Regional Records Services Facility awarded.
  • Market survey of potential record center space in St. Louis area completed.
  • Market survey of potential records center space in Southern California area completed.

Data source Quarterly reports to the Archivist.

Definitions Appropriate space: storage areas that meet physical and environmental standards for the type of materials stored there. Accession: archival materials whose legal custody is transferred to NARA.


Long Range Performance Target 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.


FY 03
Projected Performance

  • Appropriately treat or house 36 percent of NARA's at-risk archival holdings so as to retard further deterioration.
  • Prepare 2,200 cubic feet of Final Pay Vouchers and Payrolls for reformatting; reformat approximately 3,400 cubic feet of Multiple Name Pay Vouchers and Payrolls, at NPRC.
  • Select vendor and conduct pilot project for scanning and digital enhancement of VA Master Index at NPRC.

Outcome The most at-risk materials are appropriately preserved according to degree of risk, value, and use for current and future generations of researchers.

Significance Providing public access to records for as long as needed requires that we assess the preservation needs of the records, provide storage that retards deterioration, and treat or duplicate and reformat records at high risk for deterioration.

Means and Strategies We must preserve paper records and motion pictures, audio recordings, video tapes, still photography, aerial photography, microfilm and other microforms, and maps and charts in a variety of formats in our holdings. To ensure that we meet our strategic goal to preserve our holdings in an appropriate environment for use as long as needed, we continue to work to appropriately treat or house at-risk acetate-based still photography, audio recordings, and motion pictures, and records documenting the service of American's veterans.

At our National Personnel Records Center in St. Louis the records of the service of our 20th-century military veterans require immediate preservation attention. Simultaneous to our study of the options for housing the Official Military Personnel Folders (OMPF) and in anticipation of moving the collection, NARA is conducting a comprehensive physical needs assessment of the collection during 2003. To ensure both short-term and continuing access to these records, we are implementing a comprehensive preservation program for these records with a professional staff. From FY 2003 through FY 2005, the staff will continue preparation of Multiple Name Pay Vouchers and Payrolls for reformatting to 35mm microfilm and filming the prepped documents. They will also continue treating Army and Air Force Official Military Personnel Files damaged by the 1973 NPRC fire. These are part of thousands of feet of microform and paper records that will receive preservation treatment over the next several years.

Key external factors Unusually large increases in new at-risk records, increases in cost of leasing cold storage space, and growing or shifting public demands for the use of at-risk records could delay achievement of performance objectives. Limitations on the availability of appropriate cold storage facilities and commercial treatment labs will affect the Presidential libraries' ability to address audiovisual holdings' requirements.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Start of year backlog (cubic feet) 161,478156,507167,154153,474 
Number of records treated this year (cubic feet) 4,97135,13326,40310,510 
Percent of cumulative backlog treated this year. 3.122.415.86.8 
Total percent of cumulative backlog ever treated. 3.124.832.135.036*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • 37,820 cubic feet of Federal records accessioned in the Washington, DC, area; 36,790 cubic feet assessed using risk assessment procedures.
  • Presidential library archivists trained in preservation and risk-assessment procedures.
  • Conservation treatment priorities in 6 of 12 regional archives facilities identified and evaluated.

FY 2000

  • Records surveyed and at-risk records identified at 12 regional archives facilities and 10 Presidential libraries.
  • 7 people hired for the preservation staff at NPRC.
  • Contract to duplicate Air Force flight records microfilm awarded.
  • 76,000 cubic feet of cold storage leased.
  • 22,977 cubic feet of at-risk acetate-based non-textual records moved to cold storage.

FY 2001

  • 100 percent of acetate-based records in the Washington, DC, area transferred to cold storage.
  • 15 people hired for the preservation staff at NPRC.
  • All 14,500 reels of Air Force Flight Records microfilm at NPRC duplicated.
  • 267 cubic feet of Final Pay Vouchers & Payrolls for a reformatting contract at NPRC prepared.

FY 2002

  • Microfilm operation for reformatting Final Pay Vouchers and Payrolls at NPRC implemented.
  • 1,118 cubic feet of Final Pay Vouchers and Payrolls for reformatting at NPRC prepared.

FY 2003 Projected

  • 2,200 cubic feet of Final Pay Vouchers and Payrolls prepared for reformatting; 3,400 cubic feet of Multiple Name Pay Vouchers and Payrolls reformatted at NPRC.
  • Vendor selected and pilot project conducted for scanning and digital enhancement of VA Master Index at NPRC.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions At-risk: records that have a media base near or at the point of deterioration to such an extent that the image or information in the physical media of the record is being or soon will be lost, or records that are stored on media accessible only through obsolete technology; Accession: archival materials whose legal custody is transferred to NARA.


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


FY 03
Projected Performance

  • Preserve and make accessible 65 percent of NARA's electronic holdings, regardless of their original format.
  • Ensure schedule variance of less than 10 percent on major milestones in the Electronic Records Archives program:
    • Collaborative research and development for sustainable solutions to electronic records challenges.
    • Design, development, and deployment of NARA's ERA system.

Outcome Electronic records are preserved for future generations.

Significance Our mission is to guarantee the continuing accessibility of the electronic records of all three branches of our Government. If we cannot do this, citizens, corporations, and the Government will lose the essential evidence necessary to document their legal rights; the Government will suffer loss of both accountability and credibility; and as a nation our ability to learn about and understand our national experience will be diminished substantially. Moreover, as the business of government shifts more and more to electronic government and reliance on information technology, activities such as collecting taxes, providing veteran's benefits, and protecting our environment will suffer in both efficiency and effectiveness unless agencies are able to create, maintain, and readily access reliable electronic records.

Means and Strategies NARA has launched several initiatives to change the way the Federal Government manages its records, particularly electronic records. The Electronic Records Management Initiative, one of 24 projects endorsed by the Office of Management and Budget to lead the President's effort to enhance electronic government, will provide agencies across the Government with tools they can use to begin moving toward electronic records management on an enterprise basis. Our Records Management Initiatives (see section 1.3) propose a dramatic redesign of Federal records management to meet Government agency needs in the 21st century. And, for the future, we are creating a digital National Archives that will make permanently valuable Government records available to anyone, at any time, and in any place, for as long as needed.

This ERA system addresses a fundamental requirement of electronic government: to be able to keep and transmit reliable and authentic electronic records independently of time, place, the vagaries of the market place, the state of the art of information technology, or the peculiarities of proprietary formats or stovepipe applications. NARA will develop a comprehensive, systematic, and dynamic means for preserving virtually any kind of electronic record, free from dependence on any specific hardware or software. The ERA system, when operational, will make it possible for Federal agencies to transfer records of any type or format to NARA. More importantly, ERA will help citizens to find records they want and make it easy for NARA to deliver those records in formats suited to citizens' needs.

This system will be much larger than any information technology application NARA has ever deployed; therefore, it will be the primary means through which NARA implements its target enterprise architecture. It will include practically all of NARA's processes for lifecycle management of records; therefore, it will be the catalyst for conversion to the target architecture of the legacy applications NARA currently uses to support these processes. This conversion will include process improvement as well as reengineering the architecture of these applications. Given the size of investment required to build the Electronic Records Archives, NARA has appropriately decided to capitalize on this project as a vehicle to implement fundamental and far-reaching transformations across the agency. These transformations will enable NARA to achieve many of the objectives set out in our Strategic Plan, including, but not limited to:

  • Ensuring that essential evidence is created, identified, maintained, and appropriately scheduled;
  • Revising records disposition policies, processes and tools to enable the Federal Government to preserve records as long as needed and to destroy records once they are no longer needed;
  • Offering "best in the business" records center services;
  • Building a nationwide, integrated online information delivery system;
  • Improving processes for quickly responding to records requests; and
  • Building an automated system for tracking and using records throughout their lifecycle.

Between 1998 and 2001, NARA worked in collaboration with other agencies, governments, universities, and the private sector to clarify requirements for preserving authentic electronic records and to identify and evaluate emerging technologies that might be applied to satisfy these requirements. Thanks to a major increase of funds and staffing in FY 2002, NARA was able to put in place the management infrastructure necessary to develop the ERA system successfully. In FY 2003, NARA intends to complete the concept exploration phase of the system development lifecycle, including extending the dialogue with industry started in FY 2002, to lay the foundation for a system design and development in FY 2004.

NARA has laid out an incremental acquisition strategy for ERA that will enable us to ensure that significant milestones are achieved before commitments are made for subsequent work. In FY 2004 we will contract for design of the ERA system and for development and deployment of the first increment of the system. This deployment will provide NARA will operational capability to accept transfers of all types of electronic records from across the government, preserve them, and provide access to them. NARA will also contract separately for technical services to support the operation of the deployed system.

While NARA is still defining the requirements for the ERA system, we expect that the first increment will implement a reengineered end-to-end process for lifecycle management of electronic records, add the capability for handling digital Official Military Personnel Files to the reengineered processes of the National Personnel Records Center, and also implement the results of our business process reengineering of records scheduling and appraisal for all types of records. For electronic records, the first increment of ERA will focus on ensuring the survival of "at-risk" electronic records, namely the vast majority of all existing electronic records that are in obsolete formats, and improving efficiency of core processes.

Until the ERA system is operational, we must extend and expand our existing systems that manage and preserve electronic records. In FY 2003 we will upgrade and replace existing system components, purchase additional computer processing power and speed, and modify software to perform initial preservation (i.e., making an exact copy onto archivally acceptable media) on new file formats such as scanned images and PDF files, through our existing Archival Preservation System and Archival Electronic Records Inspection and Control System. In FY 2004 we expect to be able to handle transfers of three additional formats and to process even larger volumes of records.

In FY 2003, we also will continue collaborative research into issues related to the lifecycle management of electronic records that are beyond state-of-the-art of information technology or state-of-the-science of computer, information or archival sciences. This research includes investigations addressing an information management architecture for persistent archives enabled by managed evolution of technology, information assurance, knowledge management, technologies for persistent identifiers, and rigorously methods to identify, extract, and characterize electronic records stored in large, heterogeneous collections of computer files. In 2003, the Computer Science and Technology Board of the National Academy of Sciences will complete a NARA-sponsored review of results of our electronic records research initiatives and provide advice on future directions both for implementation of existing results and for additional research. FY 2004 research and exploratory development activities will continue to focus on problems that must be solved in order to achieve the President's Management Council's vision of Government-wide electronic records management in support of e-government, continuing to rely primarily on established R&D management capabilities in partner agencies. NARA leverages much larger investments by our partners, typically adding much less than ten percent in order to extend the research to focus on records management, preservation, and access, while it retains primary responsibility for the relevance of the research it supports.

Key external factors The results of existing and future research and development into electronic records preservation may change the requirements for an electronic records preservation system.

Verification and Validation

Performance Data

FY 2001

FY 2002

FY 2003

Number of logical data records in NARA's custody. 2,344,503 K3,713,888 K 
Number logical data records managed and preserved. 2,271,747 K3,641,477 K 
Percent of NARA's electronic holdings are preserved and accessible, regardless of their original format. 9798*65*
Number of Bush and Reagan logical data records. 2,192 K35,308 K 
Number of Bush and Reagan logical data records managed and preserved. 2,163 K17,278 K 
Percent of Bush and Reagan logical data records managed and preserved. 9949 

* FY 2003 numbers are targets.

Milestones

FY 1999

  • 56,838 files processed by the Archival Preservation System.

FY 2000

  • Functional, system, and capacity requirements for enhanced Archival Preservation System completed.
  • Capability to preserve document image files achieved.

FY 2001

  • Analysis of requirements and ability to copy raster and vector files from geographic information systems completed. Capability to preserve raster and vector files from geographic information systems achieved.
  • GAO risk assessment of ERA project performed and Program Management Office organization proposal developed.
  • 3 terabytes of data from Federal agency web sites "snapshot" collected and preserved.

FY 2002

  • Electronic Records Archives Analysis of Alternatives, Requirements, and Business Case completed.
  • ERA Project Management Office established.

FY 2003 Projected

  • Less than 10 percent schedule variance on Electronic Records Archives system projects.
  • Installation of an earned value management system for ERA performance measurement completed.

Data source The Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions Preserved: (1) the physical file containing one or more logical data records has been identified and its location, format, and internal structure(s) specified; (2) logical data records within the file are physically readable and retrievable; (3) the media, the physical files written on them, and the logical data records they contain are managed to ensure continuing accessibility; and (4) an audit trail is maintained to document record integrity; Logical data record: a set of data processed as a unit by a computer system or application independently of its physical environment. Examples: a word processing document; a spreadsheet; an email message; each row in each table of a relational database or each row in an independent logical file database. Accessible: NARA is technically able to make a copy of the electronic holdings available.


STRATEGIC GOAL 4:

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.

Resources Required to Meet This Goal: Goal 4 supports goals 1 through 3. Resources required are included in the totals for those goals.


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


FY 03
Projected Performance

  • Link remaining 50 percent of staff development plans to strategic outcomes.
  • Maintain 95 percent of employee performance plans linked to strategic outcomes.

Outcome We are motivated and given the skills to successfully implement our Strategic Plan.

Significance Linking employees' individual performance with our performance as an agency will demonstrate to staff their importance to the success of our Strategic Plan. To achieve that success, however, we also must give our staff the tools, training, and development necessary to meet these expectations.

Means and Strategies To ensure that our employees are prepared to carry out the responsibilities in their performance plans, we must help them learn new skills, refresh old skills, and make use of emerging technologies. We will develop, test, refine, and implement career development programs focusing on instruction in supervisory, universal, supplemental, and job-specific competencies that are linked to accomplishment of our strategic goals. Supervisors and managers will be trained in developing new performance plans and staff development plans for their employees. All staff must be actively engaged in fulfilling their new plans or our workforce will stagnate, and we will not be able to take advantage of new ideas and opportunities to achieve our strategic vision.

Verification and Validation

Milestones

FY 1999

  • Framework for a new agency performance appraisal system developed by NARA and approved by OPM.

FY 2000

  • Model developed to link employee individual performance plans to Strategic Plan.

FY 2001

  • Written guidance on linking employee performance plans to Strategic Plan issued.
  • 48 percent of NARA staff have performance plans that link to strategic outcomes.

FY 2002

  • 80 percent of NARA staff have performance plans that link to strategic outcomes.
  • Less than 1 percent of NARA staff have staff development plans that link to strategic outcomes.

FY 2003 Projected

  • 95 percent of NARA staff have staff development plans that link to strategic outcomes.
  • 95 percent of NARA staff have performance plans that link to strategic outcomes.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.

Definitions Staff development plan: a plan to provide and enhance an employee's knowledge, skills, and abilities, and to improve performance in his/her current job and of duties outside his/her current job in response to organizational needs and human resource plans.


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


FY 03
Projected Performance

  • Ensure the percentages of NARA employees in underrepresented groups match 65 percent of their respective availability levels in the Civilian Labor Force.
  • 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 2002.

Outcome Our workforce will reflect the diversity of American society as a whole.

Significance A diverse workforce enhances our agency by ensuring that we can draw on the widest possible variety of viewpoints and experiences to improve the planning and actions we undertake to achieve our mission and goals. By promoting and valuing workforce diversity, we create a work setting where these varied experiences contribute to a more efficient and dynamic organization and employees can develop to their full potential.

Means and Strategies Training in diversity is a critical step for creating an understanding of the value of diversity and ensuring its integration into our organization. Our method for delivering diversity training has not been effective to date. We have modified our approach and will resume diversity training in FY 2002, with the expectation to complete training for the entire workforce in FY 2003. We also are focusing on improving our performance in hiring and promoting people in underrepresented groups by continuing our efforts to expand recruiting techniques, collecting and analyzing pertinent personnel management data, and implementing staff development programs. By developing a new applicant background survey and improving our processes for capturing applicant background data, we have more effective tools for measuring the results of our recruitment efforts.

Key external factors Achievement of this target depends on qualified people in underrepresented groups applying for positions at NARA.

Verification and Validation

Performance Data

FY 1999

FY 2000

FY 2001

FY 2002

FY 2003

Percent of employees who have received diversity training 6192758100*
Number of applicant pools for
positions in grades GS-13 and above.
21245397 
Number of pools for positions in grades GS-13 and above that had self-identified applicants in protected classes. 10153982 
Percent of applicant pools for positions at grades GS-13 and above that contain people in underrepresented groups. 48637485 
Percent of Civilian Labor Force rate used to determine if underrepresented groups met employment target.   506065*
Underrepresented groups of employees meeting target ("X" indicates target met or exceeded)  
        --Women X X X X  
        --Black X X X X  
        --Hispanic          
        --Asian American/Pacific Islander X X X X  
        --American Indian/Alaskan Native X X X X  
        --Targeted disability X X X X  

* FY 2003 numbers are targets.

Data source Performance Measurement and Reporting System and semi-annual reports to the Archivist.

Definitions Applicant: anyone who has applied for a specific position; Underrepresented groups: groups of people tracked by the U.S. Equal Employment Opportunity Commission: Minority groups (Black, Hispanic, Asian/Pacific Islander, and American Indian/Alaskan Native); Women; People with Disabilities.


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


FY 03
Projected Performance

  • Fully deploy an electronic editing and publishing system.

Outcome We improve ready access to Federal Register publications.

Significance We publish the Federal Register, the Code of Federal Regulations, and related publications, which contain information essential to the life, health, safety, and defense of the citizens of the United States and of our businesses, legal system, and Government. Informing citizens of their rights and legal responsibilities is one of our critical ongoing responsibilities.

Means and Strategies Technological developments in the publishing world have expanded publication options available for Federal Register materials, while developments in consumer technology have increased the number and the availability of public access points to published materials. Meanwhile, Federal agencies have rapidly increased their ability to operate in an electronic information environment. The resulting possibilities for enormously increased access and for significantly improved operational efficiencies demand that taxpayer-financed publishing systems, like the Federal Register system, incorporate the new technologies. As online Federal Register publications assume primacy among available formats, surveys show that users are demanding that we employ the capabilities of new technologies to provide more frequent revisions of the Code of Federal Regulations (CFR) and better reference tools for using the publications. Federal agencies that submit documents for publication also want us to permit the less expensive electronic submission of documents. And the Government Paperwork Elimination Act requires agencies to develop the capacity for electronic commerce by 2003.

In FY 2003 we will complete testing all of our new electronic editing and publishing system, procedures, hardware, and software, and fully deploy this system, known as eDOCs. By the start of FY 2004, this system will be an integral part of Office of the Federal Register operations. In FY 2004, we will continue to improve our internal capabilities for publishing the Federal Register and its special editions accurately and efficiently, and to develop the capabilities for our customers in Federal agencies and in the public to conduct business with us electronically. Specifically, the Office of the Federal Register will perform operations and maintenance and some enhancement of eDOCS to provide alternate web-based methods of preparing and transmitting Federal Register documents. In addition, we must continue our successful partnership with the Government Printing Office (GPO) and involve GPO officials in planning the ongoing utilization of the system.

Key external factors We do not control the volume of work for which we are responsible or the timing of submissions. We do not print or distribute our publications and we depend on GPO to provide common hardware and software for publishing. GPO also controls the process by which our publications are put online on GPO Access. Significant changes in our workload would occur if support from GPO were decreased or withdrawn. Successful government-wide electronic commerce remains dependent upon the resolution of issues surrounding government-wide digital signature standards and an electronic public key infrastructure.

Verification and Validation

Milestones

FY 1999

  • 527 issues of official Federal Register publications issued in print and online formats.
  • 202 volumes of the Code of Federal Regulations, both in print and in online formats, issued.
  • 713 online publications; 640 were available no later than the date they were available in the print version.

FY 2000

  • Process improvement study team established and BPI project plan developed.
  • Contract for design of electronic editing and publishing system awarded.
  • 749 online publications; 697 available no later than the date they were available in the print version.

FY 2001

  • Study completed and design and cost estimates for electronic editing and publishing system delivered. Statement of work for Phase II, installation and testing of electronic editing and publishing system prepared.

FY 2002

  • Contractor efforts to build, install, and test an electronic editing and publishing system 75 percent complete.

FY 2003 Projected

  • Testing and full deployment of electronic editing and publishing system completed.
  • Regulations.gov launched.

Data source Performance Measurement and Reporting System and quarterly reports to the Archivist.


Long Range Performance Target 4.4. By 2007, NARA will have a 95-percent-effective computer and communications infrastructure.


FY 03
Projected Performance

  • Ensure NARA has a 91-percent-effective computer and communications infrastructure.
  • Certify the security and accredit 100 percent of the NARA information systems for operation on our network.
  • Complete prototype of an enterprise repository for NARA's agency-wide data model and associated IT documentation.

Outcome NARA information and services are accessible to customers 24 hours a day in a manner that meets customer service expectations.

Significance Our information technology backbone is NARANET, a wide-area-network that connects the entire agency internally and connects us to public and Government customers via the Internet. Reliable performance and security of NARANET is essential to ensuring that customer expectations for access to our information and services can be met.

Means and Strategies Our Strategic Plan commits us to build a reliable, expandable, high-capacity, cost-efficient information technology and communications infrastructure to support our work processes and public access to our holdings. We will do this through an applications support initiative that will ensure NARA applications are operated and maintained at a level necessary to achieve NARA's strategic goals. It provides an improved infrastructure, equipment, software and hardware, and the additional personnel required to support applications for delivery of information to NARA users. This effort includes ongoing technical operations, maintenance, and disaster recovery planning, and migration of NARA's desktop environment to a more robust and current operating system.

Consistent with our Strategic Plan, we must implement policies and standards that facilitate development of an integrated, agency-wide information infrastructure to manage comprehensively all the data we use in our daily operations. We are doing this by creating a mature data administration program focused on improving data quality and reliability, increasing data sharing, and controlling data redundancy for all of NARA's information systems. In FY 2002 we began using an agency-wide data model and developing requirements for a data repository for our agency-wide data. In FY 2003 we will complete requirements development, and in FY 2004 we will procure the software, hardware, and contractor support to implement a prototype data repository. By FY 2005 we will be ready to implement an enterprise repository for NARA's agency-wide data model.

The authenticity and reliability of our electronic records and information technology systems are only as good as our information technology (IT) security infrastructure. We must ensure the security of our data and our systems or we risk undermining our agency's credibility and ability to carry out our mission and the Government's ability to document the results of and accountability for its programs. IT security becomes even more critical as we increase our visibility through the implementation of electronic government initiatives that expand online services to the public. The more we increase electronic access to our services and records, the more vulnerable we potentially are to intrusions, viruses, privacy violations, fraud, and other abuses of our systems.

In FY 2001 we improved our IT security infrastructure. In FY 2002, we have increased site inspections; deployed additional anti-virus programs; enhanced security training and awareness for computer users; created a computer incident response team; and we have begun to implement system identification, certification, and accreditation. We also are doing planning and analysis in preparation for deployment of a more robust network IT security infrastructure for the future.

By FY 2003 we will be ready to build and sustain an ongoing, comprehensive IT security program that will ensure the integrity and safety of our data and systems. We will make IT security an integral part of the architectural review process for all new project designs so that IT security issues will be considered throughout a project's lifecycle. We will work to ensure that NARANET perimeter defenses, access control, remote access, incident response capability, and system security configurations will be consistent with accepted guidelines. NARA information systems will undergo risk assessments and be certified secure so that they can be formally accredited for operation on the NARA network.

By 2007 we expect our NARANET computer infrastructure to be 95-percent-effective. This means the network is available to users 99.7 percent of the time; user services are delivered within established parameters 95 percent of the time; and services to the desktop are delivered within established timeframes 90 percent of the time.

Key external factors Because of technology changes in both hardware and software, NARANET components either rapidly become obsolete or cannot be maintained efficiently. Generally this means that 20 to 30 percent of the components must be replaced or upgraded each year. To achieve the necessary level of performance, we must acquire new hardware and software to support a 15-percent annual growth as well as cyclically maintain the minimum levels on existing systems.

Verification and Validation

Performance Data

FY 2000

FY 2001

FY 2002

FY 2003

Percent of overall NARANET effectiveness 9496.596.991*
Percent of network availability 99.999.999.999*
Percent of user support services effectiveness 92.092.292.386*
Percent of service delivery to the desktop effectiveness 90.197.598.588*

* FY 2003 numbers are targets.

Milestones

FY 1999

  • Monitoring tools installed and processes to monitor network performance developed.
  • 17 mission critical systems renovated for Year 2000 compliance.
  • Washington, DC, area network 99.9 percent available.

FY 2000

  • 5 mission critical systems renovated for Year 2000 compliance.

FY 2002

  • Use of an agency-wide data model in the development of IT systems implemented.
  • 10 percent of the NARA information systems for operation on our network certified secure and accredited.
  • Requirements for an enterprise repository for NARA's agency-wide data model and associated IT documentation developed.
  • New phone system in College Park, part of a larger telecommunications upgrade throughout NARA's facilities, installed.

FY 2003 Projected

  • 100 percent of the NARA information systems for operation on our network certified secure and accredited.
  • Prototype development of an enterprise repository for NARA's agency-wide data model and associated IT documentation completed.

Data source Performance Measurement and Reporting System and quarterly reports. We use our network management system and problem incident reports to produce data regarding network availability and reliability. The current Help desk management system and customer surveys collect user support data. In addition, information technology staff conducts periodic system/network tests on service delivery to individual workstations. We have expanded and enhanced the capabilities of the network management system, providing additional detailed performance and availability data, especially for networks outside the Washington, DC, area. We have upgraded the existing Help Desk application software tool with the latest versions of the server applications and commercial-off-the-shelf (COTS) applications to extend and enhance their ability to manage Help Desk operations and network assets. The new application also facilitates web-enabled functionality.

Definitions NARANET: a collection of local area networks installed in 34 NARA facilities that are connected to a wide area network at Archives II, using frame relay telecommunications, and then to the Internet. NARANET includes personal computers with a standardized suite of software. NARANET was designed to be modular and scalable using standard hardware and software components; User Support Services: help desk services which include problem resolution, answering questions regarding hardware and software, providing technical support, and updating users' access to the system; Service Delivery to the Desktop: delivery of information to the users' personal computer, especially concerning email and NARA's intranet.

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