1
Defense Logistics Agency
MANUAL
DLAM 5015.01, Volume 1
September 29, 2015
J62
SUBJECT: Records Management (RM) Procedures Manual for Creating, Maintaining and
Dispositioning the Defense Logistics Agency (DLA) Records. Volume 1 – Records
Management, Disposition and Evaluation
References: Refer to Enclosure 1
1. PURPOSE.
a. Manual. This Manual is comprised of two volumes, each containing its own purpose. In
accordance with the authority in Defense Logistics Agency (DLA) Instruction 5015.01
(Reference (a)), is to implement policy, assign responsibilities, and provide procedures for the
creation, maintenance and disposition of DLA records.
b. Volume. This Volume sets forth responsibilities and procedures for the life-cycle
management and evaluation of record and non-record material, regardless of media, within the
DLA.
2. APPLICABILITY. This manual applies to Headquarters DLA, DLA Primary Level Field
Activities (PLFAs) and subordinate DLA Field Activities (hereafter referred to collectively as
“DLA Components”).
3. DEFINITIONS. See Glossary.
4. POLICY. This manual provides procedures for the creation, maintenance and disposition of
records within DLA Components in accordance with DLA Instruction 5015.01 Records
Management.
5. RESPONSIBILITIES. See Enclosure 2.
2
6. PROCEDURES. Enclosures 3 through 8 provide general standard procedures for Records
Management functions in DLA.
7. INTERNAL CONTROLS.
a. DLA Records Officer will monitor mandatory Records Management training through
Learning Management System (LMS) completion reports (or equivalent for contractors) and
submit follow-on reports to organizational Component Records Officers (CROs).
b. DLA Components will complete file plans (DLA Form 1689) for each administrative and
functional business unit. Business Unit Records Coordinators (RCs) will submit to the local
organizational CRO.
(1) CROs will review file plans to identify that administrative and functional records are
created and maintained, and authorized dispositions are applied.
(2) CROs will conduct annual evaluations of Directorate; Division and Branch offices to
ensure records, regardless of format or medium are properly organized, classified and indexed,
and described and made available for use by all appropriate agency staff.
(3) CROs will complete and submit an annual evaluation report on the status of their RM
program.
c. CROs will submit to the DLA RM quarterly (Jan /Apr /Jul /Oct) metrics reports
identifying:
(1) Number of Standard Form (SF) 135 Records Transmittal Sheets sent and/or retrieved
to/from the Federal Record Center (FRC).
(2) Number of DLA Form 1689 file outlines completed and reviewed for their
organization and identify any discrepancies.
(3) Number of National Archives (NA) Form 13001 Disposal Notification Reports
signed, including the number of boxes for disposal and/or number retained and justification.
(4) Number of accession numbers placed on legal hold.
8. RELEASEABILITY. UNLIMITED. This DLAM is approved for public release and is
available on the Internet from the DLA Issuances Website.
3
9. EFFECTIVE DATE. This DLAM 5015.01, vol.1 is effective upon its publication to the DLA
Issuances Website.
KATHY CUTLER
Director, DLA Information Operations
Chief Information Officer
Enclosures
1. References
2. Responsibilities
3. Identifying Records and Recordkeeping Requirements
4. Management of Records and Information
5. Disposition Procedures
6. Employee Transfer/Departure Procedures
7. Disposition of Personal Files and Non-Record Material
8. Records Management Evaluations
Figures
Glossary
CONTENTS
4
TABLE OF CONTENTS
ENCLOSURE 1: REFERENCES ....................................................................................................9
ENCLOSURE 2: RESPONSIBILITIES ....................................................................................... 11
APPENDIXES
1. Sample Designation Letter for Component Records Officer .........................................17
2. Sample Designation Letter for Records Coordinator .....................................................18
ENCLOSURE 3: IDENTIFYING RECORDS AND RECORDKEEPING
REQUIREMENTS ....................................................................................................................19
RECORDS .........................................................................................................................19
Identifying a Federal Record .........................................................................................19
Preliminary Drafts and Working Papers .......................................................................20
Records (Electronic/Hardcopy) .....................................................................................20
RECORDKEEPING SYSTEM .........................................................................................20
Records ..........................................................................................................................20
People ............................................................................................................................20
Processes .......................................................................................................................21
Tools ..............................................................................................................................21
RECORD CATEGORIES .................................................................................................21
Program Records ...........................................................................................................21
Administrative Records .................................................................................................21
RECORD VALUE .............................................................................................................21
Agency Viewpoint ........................................................................................................21
NATIONAL ARCHIVES and RECORDS ADMINISTRATION (NARA)
Viewpoint ...................................................................................................................21
TRUSTWORTHY RECORDS ..........................................................................................22
Authenticity ...................................................................................................................22
Reliability ......................................................................................................................22
Integrity .........................................................................................................................22
Usability ........................................................................................................................22
RECORDKEEPING REQUIREMENTS ..........................................................................22
Agency Requirements ...................................................................................................22
Program Requirements ..................................................................................................22
Series Specific Requirements ........................................................................................23
RECORDS INVENTORY .................................................................................................24
Key Factors in Establishing an Inventory .....................................................................24
Focus of Inventory ........................................................................................................24
Steps in Inventorying Records ......................................................................................24
SCHEDULING RECORDS...............................................................................................26
Request Authority to Dispose of Records .....................................................................26
Records Scheduling Process .........................................................................................26
CONTENTS
5
APPENDIXES
1. Life Cycle of a Non-electronic Record ..........................................................................28
2. Process Flow guide for Determining a Record .....................…………………………29
3. Process Flow guide for Determining an E-mail Record ................................................30
4. Records Inventory Checklist… ......................................................................................31
ENCLOSURE 4: MANAGEMENT OF RECORDS AND INFORMATION ..............................32
DLA FUNCTIONAL FILES SYSTEM… ........................................................................32
RECORDS ARRANGEMENT… .....................................................................................32
Access ...........................................................................................................................32
Security .........................................................................................................................32
Space .............................................................................................................................32
Arrangement ..................................................................................................................32
FILE PLAN DESIGNATION…........................................................................................32
Roadmap to Records… .................................................................................................32
File Plans are a Living Document .................................................................................33
Review and Approval ....................................................................................................33
Records Schedule Review .............................................................................................33
Centralized Filing ..........................................................................................................33
Record Requirements ....................................................................................................33
Record Responsibility ...................................................................................................33
Local Evaluations ..........................................................................................................33
DLA Site Evaluations ...................................................................................................33
BASIC FILE GROUPING .................................................................................................33
Subject Files ..................................................................................................................34
Case or Project Files......................................................................................................34
Reference Files ..............................................................................................................34
Working Files ................................................................................................................35
FILING ARRANGEMENTS.............................................................................................35
Numerical Arrangements ..............................................................................................35
Chronological Arrangement ..........................................................................................35
Alphabetical Arrangement ............................................................................................35
Alpha-Numeric Arrangement........................................................................................35
Functional Arrangement................................................................................................35
FUNCTIONAL FILE SYSTEM CONCEPT ....................................................................36
ORGANIZATION of the DLA FILE SYSTEM ...............................................................36
APPLICABILITY ..............................................................................................................36
FUNCTIONAL AREA NUMBERING SYSTEM ............................................................36
Individual Schedules .....................................................................................................36
Rules ..............................................................................................................................37
Record Series Number ..................................................................................................37
Schedule Layout ............................................................................................................37
RECORDS CONTROL .....................................................................................................38
Proper Filing .................................................................................................................38
File Folders ...................................................................................................................38
Effective Documentation ..............................................................................................39
RECORDS CUTOFF PROCEDURES ..............................................................................39
CONTENTS
6
Move to Inactive Status .................................................................................................39
Annual, Fiscal or Event .................................................................................................39
PREPARING AND USING GUIDE CARDS, FILE FOLDERS AND LABELS ............39
Guide Cards ...................................................................................................................39
File Folders ...................................................................................................................39
Labels ............................................................................................................................40
Label Abbreviations ......................................................................................................40
CROSS-REFERENCE .......................................................................................................41
LABELING FILE DRAWERS..........................................................................................42
CLASSIFIED INFORMATION ........................................................................................42
Safeguarding .................................................................................................................42
Interfiling.......................................................................................................................42
MANAGEMENT OF DOCUMENTS AND INFORMATION ........................................42
APPENDIXES
1. DLA Form 1689 – File Plan .................................................…………………………44
2. DLA Form 1936 – DLA Standardize Recordkeeping Evaluation .................................45
3. Record Label Samples… ...............................................................................................46
4. Charge-Out Card (OF-23 cancelled) ..............................................................................48
ENCLOSURE 5: DISPOSITION PROCEDURES .......................................................................49
GENERAL .........................................................................................................................49
RECORDS DISPOSITION CATEGORIES .....................................................................49
Temporary Records .......................................................................................................49
Permanent Records........................................................................................................49
Unscheduled Records ....................................................................................................50
DISPOSITION STANDARDS ..........................................................................................50
SOURCE OF RETENTION PERIODS.............................................................................50
CHANGES TO RETENTION PERIODS .........................................................................51
Increased Retention Periods ..........................................................................................51
Reduced Retention Periods ...........................................................................................51
Conversion of Paper Records to Electronic or Other Media.........................................51
RECORD FREEZES, PRESERVATION ORDERS, LITIGATION HOLDS OR
MORATORIUMS...........................................................................................................51
UNSCHEDULED (UNIDENTIFIED) RECORDS ...........................................................51
DISPOSITION INSTRUCTIONS .....................................................................................52
Records with 1-month Retention ..................................................................................52
Records with 3-month Retention ..................................................................................52
Records with 2- to 10- Year Retention .........................................................................52
Records with Flexible Retention ...................................................................................52
Records with Event Retention .......................................................................................52
Records that are Unscheduled .......................................................................................52
DISPOSITION PROCEDURES ........................................................................................53
PHYSICAL RECORDS DESTRUCTION ........................................................................54
Unclassified Information ...............................................................................................54
For Official Use Only Records and Controlled Unclassified Information ...................54
Classified Information ...................................................................................................54
CONTENTS
7
TRANSFER OF FILES .....................................................................................................54
TRANSFER TO OTHER GOVERNMENT AGENCIES .................................................54
Transfer to National Archives .......................................................................................54
Transfer to Other Agencies ...........................................................................................54
NORTH ATLANTIC TREATY ORGANIZATION (NATO) DOCUMENTS ................55
RECORDS CUSTODY TRANSFER, REORGANIZATION AND
UNAUTHORIZED DESTRUCTION OF RECORDS ...................................................55
Transfer of Functions ....................................................................................................55
Re-designation or Reorganization .................................................................................56
Discontinuance of a DLA Component or an Organization ...........................................56
Damage, Alienation, and Unauthorized Destruction of Records ..................................56
RECORD SEARCHES AND PRESERVATION ORDERS ............................................56
REQUESTING MODIFICATIONS TO THE DLA RECORDS DISPOSITION ...............
SCHEDULE ....................................................................................................................58
APPENDIXES
1. DLA Form 1690 ....................................................................…………………………60
2. Disposition Table ...........................................................................................................61
ENCLOSURE 6: EMPLOYEE TRANSFER / DEPARTURE PROCEDURES ..........................63
TRANSFER/DEPARTING PERSONNEL .......................................................................63
SUPERVISOR RESPONSIBILITY ..................................................................................63
INSTRUCTIONS FOR HANDLING OF DEPARTING PERSONNEL OFFICIAL
RECORDS ......................................................................................................................63
REMOVAL OF NON-RECORDS ....................................................................................63
APPENDIX ....................................................................................................................................65
ENCLOSURE 7: DISPOSITION OF PERSONAL FILES AND NON-RECORD
MATERIAL ................................................................................................................................66
RECORD AND NON-RECORD MATERIALS OF GOVERNMENT OFFICIALS ......66
DISTINGUISHING PERSONAL FILES AND NON-RECORD MATERIAL ...............66
PERSONAL FILES ...........................................................................................................66
NON-RECORD MATERIALS .........................................................................................67
Extra Copies of Federal Records ..................................................................................67
Non-Records Material Must be Managed .....................................................................67
Removal of Non-Record Material .................................................................................68
Unclassified does Not Equal Public Use .......................................................................68
Transfer of Non-Record Copies of Official Documents ...............................................68
Donor Responsibility ....................................................................................................69
Departing/Transferring Personnel .................................................................................69
ACCESS TO DONATED PERSONAL FILES, NON-RECORD MATERIALS AND
FEDERAL RECORDS ...................................................................................................69
CONTENTS
8
ENCLOSURE 8: RECORDS MANAGEMENT EVALUATIONS .............................................70
GENERAL .........................................................................................................................70
SENIOR AGENCY OFFICER (SAO) ..............................................................................70
RECORDS ASSETS ..........................................................................................................70
ASSISTANCE VISITS ......................................................................................................70
EVALUATION REQUIREMENTS ..................................................................................70
Frequency of Evaluation ...............................................................................................70
Administrative Review..................................................................................................71
RM Training ..................................................................................................................71
File Plans and Records Creation ...................................................................................71
Records Maintenance ....................................................................................................72
Hardcopy Recordkeeping ..............................................................................................72
Electronic Records and E-Mail Management ...............................................................72
Electronic Information System (EIS) / Web-Based Information ..................................73
Records Disposition ......................................................................................................73
Non-Record & Personal Papers ....................................................................................73
Storage Requirements (Internal Record Holding Areas) (RHA) ..................................74
Security .........................................................................................................................74
Results of Last Records Evaluation ..............................................................................74
Overall Evaluation ........................................................................................................75
Scoring Chart ................................................................................................................75
GLOSSARY ..................................................................................................................................76
PART I: ABBREVIATIONS AND ACRONYMS .................................................................76
PART II: DEFINITIONS .........................................................................................................77
TABLES
1. Example of Major Record Categories .................................................................................37
2. Example of Rules Breakdown… .........................................................................................37
3. Abbreviation for Record Labels….......................................................................................40
FIGURES
1. Federal Records ...................................................................................................................19
2. Disposition Instructions .......................................................................................................53
ENCLOSURE 1
9
ENCLOSURE 1
REFERENCES
(a) DLAI 5015.01, “DLA Records Management,” current edition
(b) DLAM 5015.01 replaces “DLA Records Management Procedural Guide,” April 2002
(hereby canceled)
(c) DLA Records Disposition Schedule, current edition
(d) DoD Directive 5015.02, “DoD Records Management Program,” March 6, 2000
(e) Chapters 29, 31, and 33, 35 of title 44, United States Code
(f) Chapter XII, subchapter B of title 36, Code of Federal Regulations
(g) National Archives and Records Administration (NARA) General Records Schedule (GRS)
(h) Sections 552,
1
552a,
2
and Appendix 2
3
of title 5, United States Code
(i) Chapters 102-193, title 41, Code of Federal Regulations
(j) DoD 8910.1-M, “DoD Procedures for Management of Information Requirements,”
June 30, 1998
(k) DoD Instruction 5025.01, “DoD Directives Program,” October 28, 2007
(l) DoD Manual 5230.30 “Mandatory Declassification Review (MDR) Program,”
December 22, 2011
(m) Executive Order 13526, “Classified National Security Information,” December 29, 2009
(n) DoD 5400.11-R, "Department of Defense Privacy Program," May 14, 2007
(o) DoD Instruction 8910.01, “Information Collection and reporting,” March 6, 2007
(p) DoD Directive 3020.26, “DoD Continuity Programs,” January 9, 2009
(q) Presidential Memorandum, “Managing Government Records,” November 28, 2011
(r) DoD 5015.02-STD, “Electronic Records Management Software Applications Design
Criteria Standard,” April 25, 2007
(s) Sections 641 and 2071 of title 18, United States Code
(t) Joint Publication 1-02, “Department of Defense Dictionary of Military and Associated
Terms,” current edition
(u) Executive Order 12829, “National Industrial Security Program,” January 6, 1993
(v) Directive Memorandum M-12-18, “Managing Government Records,” August 24, 2012
(w) Office of Management and Budget Circular A-130, “Management of Federal Information
Resources,” current edition
(x) Directive-Type Memorandum 09-026, “Responsible and Effective Use of Internet-based
1
Section 552 is also known as “The Freedom of Information Act”
2
Section 552a is also known as “The Privacy Act of 1974”
3
Appendix 2 is also known as “The Federal Advisory Committee Act of 1972”
ENCLOSURE 1
10
Capabilities,” February 25, 2010
(y) Executive Order 12906, “Coordinating Geographic Data Acquisition and Access: The
National Spatial Data Infrastructure,” April 13, 1994
(z) DoD 5040.06-M-3, Volume 3 “Visual Information (VI): VI Records Schedule,”
September 25, 2008
(aa) National Institute of Standards and Technology (NIST), “The NIST Definition of Cloud
Computing,” NIST Definition Version, September 28, 2011
(bb) DLA Enterprise Organizational Alignment (EOA), January 13, 2010
(cc) Defense Logistics Acquisition Directive, Revision 5, May 1, 2013
(dd) DLAI Managers’ Internal Control (MIC) Program (DLAD 4.802(f)(90)(b)(1)),
September 15, 2009
(ee) Office of Management and Budget Circular A-123, “Management’s Responsibility for
Internal Control,” current edition
(ff) DODM 5200.01 Vol 1-4 DOD Information Security Program, February 24, 2012
ENCLOSURE 2
11
ENCLOSURE 2
RESPONSIBILITIES
1. THE CHIEF INFORMATION OFFICER (CIO), DLA. The CIO will:
a. Assign RM responsibility to a person and office, by designation in writing, with
appropriate authority within the agency to coordinate and oversee implementation of the agency
comprehensive RM program principles in accordance with Reference (f).
b. Act as the approving authority on major RM policy and procedural documents.
c. Initiate enterprise communications relaying major changes to RM policies and procedures
or other significant RM issues.
d. Ensure, as part of capital planning and systems development life cycles processes that RM
controls are planned and implemented in systems and that all records in the system will be
retrievable and useable for as long as needed to conduct agency business.
e. Plan and budget for records migration and their associated metadata to current storage
media or formats for Electronic Information System (EIS) that are identified for
decommissioning.
f. Ensure that any system used for electronic records management is certified by Joint
Interoperability Test Command to meet DoD 5015.02-STD. See
http://jitc.fhu.disa.mil/cgi/rma/reg.aspx
for more information on the RM system certification.
g. Periodically review the Agency’s records program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
2. THE AGENCY RECORDS OFFICER, (ARO), DLA. The DLA Records Officer will:
a. Serve as DLA Records Officer, also referred to as Records Manager, and administer the
implementation, maintenance and evaluation of the DLA Records Management program in
accordance with References (a through f) and Executive Order 13526 Reference (m).
b. Act as the liaison to the National Archives and Records Administration (NARA), Office of
the Secretary of Defense (OSD) on DOD-wide RM matters; advise the Assistant Secretary of
Defense (ASD) (C3I) of records management issues that could have broad implications across
the Department of Defense or between the Department of Defense and other Government
Agencies, and fully cooperate with the ASD (C3I) in resolving these issues.
c. Act as the liaison official with other Government agencies, private industry, and private
citizens on records and information management matters of DLA.
ENCLOSURE 2
12
d. Ensure the proper maintenance of records and non-record information, regardless of
format, generated by their Component offices in accordance with DLAI 5015.01 and DLAM
5015.01 Volume 1 and 2 and references (c) through (f).
e. Provide basic RM training material to DLA employees and contractors in accordance with
Reference (d).
f. Monitor the acquisition of Information Technology (IT) systems within DLA enterprise
architecture to ensure compliance with RM laws and regulations.
g. DLA Enterprise administrator for DACS-RM records management module and point-of-
contact and oversight for shared network drive / centralized records repository
h. Ensure DLA employees or officials of DLA Components do not remove Federal records
and Government-owned non-record information (paper or electronic) from Government custody
that was not cleared for public use in accordance with References (d), (e), (m) and (n).
i. Periodically, after organizational realignment and no more than every three years, review
the Agency’s records program requirements to validate its currency and to ensure that records
and information requirements are being implemented.
3. HEADS OF DLA COMPONENTS. The Heads of DLA Components will:
a. Identify an Office with Primary Responsibility (OPR) for RM within their component
organization and designate, in writing (See Appendix 1 to Enclosure 2), a Component Records
Officer (CRO) with sufficient authority to coordinate Component approval on RM policy
changes, records disposal and other RM issues and to act as liaison to the DLA Records Officer
and serve as the organizations RM subject-matter-expert.
b. Sufficiently resource a RM program to support the requirements outlined in Reference (c)
through (i) and (m) through (z) and with the regulations issued thereunder. Designation will be
updated within 90 days of the RM position becoming vacant.
c. Ensure all DLA employees and contractors within their organization receive basic records
management training at least annually to maintain compliance with Reference (d) and this
manual.
d. Periodically review the Component’s RM program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
4. THE GENERAL COUNSEL, DLA (DG). DG will:
a. Coordinate with the DLA Records Officer as appropriate to implement or discontinue a
records freeze arising from pending or active litigation.
ENCLOSURE 2
13
b. Periodically review the Component’s RM program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
5. THE DLA HEAD QUARTERS FREEDOM OF INFORMATION ACT (HQ FOIA) and
PRIVACY ACT (PA) OFFICE (DGA). DGA will:
a. Coordinate with the DLA Records Officer as appropriate to process an active FOIA or PA
request.
b. Periodically review the Component’s RM program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
6. THE OFFICE INSPECTOR GENERAL, DLA (OIG). OIG will:
a. Coordinate with the DLA Records Officer on matters of common interest to avoid
potential conflicts arising from overlapping statutory responsibilities.
b. Inform DLA personnel on the requirement for coordination to DLA OIG before the release
of audit and investigative records to external organizations related to DLA programs and
operations.
c. Promptly and timely release records to the Department of Defense Inspector General (DoD
IG) because of the unique mission to serve as the directing authority for DoD Components.
7. THE INTELLIGENCE OFFICE, DLA (DI). DI will:
a. Process any and all mandatory declassification reviews (MDRs).
b. Assist offices in the processing and packaging of classified records that are to be
maintained at a Federal Records Center or other approved off-site records storage facility in
accordance with DoD 5200.01 Information Security Program, Reference (ff).
c. Follow DLA RM requirements and retention policy, References (a through
c) unless policy applicable to classified records takes precedence.
d. Periodically review the Component's RM program requirements in order to
validate its currency and to ensure that records and information requirements are being
implemented.
8. THE J6 SYSTEM PROGRAM MANAGERS, DLA. J6 IT Systems Program Managers will:
ENCLOSURE 2
14
a. Involve the J6 CRO or ARO in both the systems development and systems decommission
processes.
b. Incorporate RM requirements into automated information systems development and
redesign to ensure new systems containing Agency data have an approved retention and that all
records in the system will be retrievable and usable for as long as needed to conduct DLA
business.
c. Ensure records and information contained within a system being decommissioned is
migrated or retained so records remain accessible throughout the entire records retention period.
d. Assist in the transfer of permanent electronic records to NARA in accordance with
References (e) and (f).
e. Periodically review the Component’s RM program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
9. THE CONTINUITY OF OPERATION PLAN (COOP) PROGRAM MANAGER, DLA. The
COOP Program Manager will:
a. Coordinate with the DLA Records Officer to ensure each Component maintains an up-to-
date and accurate inventory of Vital Records.
b. Periodically review the Component’s RM program requirements in order to validate their
currency and to ensure that records and information requirements are being implemented.
10. THE FORMS MANAGER, DLA. DLA Forms Manager will: Ensure that new DLA forms
have an approved retention period documented within a records series in the DLA Records
Disposition Schedule.
11. AGENCY PROGRAM MANAGERS AND SUPERVISORS, DLA. Program Managers and
Supervisors will:
a. Designate in writing (See Appendix 2 to Enclosure 2) a Records Coordinator (RC) for their
program/functional business units (see definition) to perform RM functions within their
organizations and as liaison to the local CRO. These designations will be made in writing and
furnished to the local CRO. Designation letters will be updated within 90 days of the RC position
becoming vacant.
b. Ensure records are created, maintained and dispositioned within their program or business
unit in accordance with reference (a through c).
c. Ensure staff receives basic RM training and guidance on implementing RM procedures.
ENCLOSURE 2
15
d. Implement procedures to prevent departing employees from destroying ineligible records
or removing records from the agency’s custody.
e. Periodically review the business unit or program’s RM program requirements in order to
validate their currency and to ensure that records and information requirements are being
implemented.
12. THE COMPONENT RECORDS OFFICER (CRO), DLA. The Component Records Officers
will:
a. Complete NARA RM certification training within one year of being designated a CRO.
The training consists of five NARA instructor-led classes and accompanying post-course
examinations. Individual DLA components are responsible for arranging and paying for the
NARA RM certification training. See http://www.archives.gov/records-
mgmt/training/certification.html for more information and to browse available courses.
(1) CROs may be identified as:
(a) Component Records Officers collectively
(b) Local or Site Component Records Officer
(c) Lead Component Records Officer
b. Annually remind and caution all employees not to transfer or destroy records in their
custody, to include e-mails, except as allowed under Reference (c) and Reference (d).
c. Ensure the proper maintenance and disposition of records and non-record information,
regardless of format, generated by their Component offices in accordance with DLAI 5015.01
and DLAM 5015.01 Volume 1 and 2 and references (c) through (f).
d. Serve as the Component administrator for DACS-RM records management module and
point-of-contact and oversight for shared network drive / centralized records repository.
e. Ensure all employees and contractors receive annual basic RM training to maintain
compliance with Reference (a) and this manual.
13. THE RECORDS COORDINATOR (RC), DLA. The RC will:
a. Complete DLA CRO and RC training modules (located on the DLA RM eWorkplace site)
within 3 months of being designated. Recommended NARA training is: Basic Records
Operations course available via webinar or the NARA instructor-led class Records Management
ENCLOSURE 2
16
Overview (KA 1). Individual DLA components are responsible for arranging and paying for
NARA RM training.
b. Ensure the proper maintenance and disposition of records and non-record information
generated by their office(s) in accordance with DLAI 5015.01 and DLAM 5015.01 Volume 1
and 2 and references (c) through (f).
c. Serve as the program office or business unit records liaison to the CRO.
14. THE EMPLOYEES, DLA. DLA employees (Civilian, Contractor and Military), will:
a. Maintain records and information created and received, regardless of media or format, in
the course of their day-to-day responsibilities in accordance with DLAI 5015.01 and DLAM
5015.01 Volume 1 and 2 and references (c) through (f).
b. Complete annual RM training available in LMS. Contractor(s) and/or personnel without
access to LMS must contact their CRO for information on how to complete the training.
c. Safeguard all personal data within records, in accordance with DoD 5400.11-R.
d. Destroy or transfer records and non-records in accordance with the DLA Records Schedule and
reference (f).
ENCLOSURE 2
17
APPENDIX 1 TO ENCLOSURE 2
Sample Designation Letter for Component Records Officer
ENCLOSURE 2
18
APPENDIX 2 TO ENCLOSURE 2
Sample Designation Letter for Records Coordinator
ENCLOSURE 3
19
ENCLOSURE 3
IDENTIFYING RECORDS AND RECORDKEEPING REQUIREMENTS
1. RECORDS. Federal Records include all books, papers, maps, photographs, machine-readable
materials, or other documentary materials, regardless of physical form or characteristics, made or
received by an agency of the United States Government under Federal law or in connection with
the transaction of public business and preserved or appropriate for preservation by that agency or
its legitimate successor as evidence of the organization, functions, policies, decisions,
procedures, operations, or other activities of the Government or because of the informational
value of the data in them. Library and museum material made or acquired and preserved solely
for reference or exhibition purposes, extra copies of documents preserved only for convenience
of reference and stocks of publications and of process documents are not included. (44 U.S.C.
3301). (See Figure 1)
Figure 1.
Federal Records
The following, regardless of form or characteristics, are
examples of Federal records. This list is not all inclusive.
• Letters and Memorandums
• Completed Forms
• Statistical and narrative reports
• Maps
• Architectural, engineering and other drawings
• Electronic Records (e-mail, digitized images,
etc.)
• Photograph prints and negatives (digital and hard
copy)
• Motion Picture and films
• Tape recordings
• Graphics
• Audio and video recordings
a. Identifying a Federal Record. Use the process flow guide for determining a record and
Email (Appendix 2 and 3 to Enclosure 3, DLAM 5015.01, Volume 1) Some files may not be
readily identified as records. If the answer to any of the following questions is yes, the document
is a Federal Record. This information is also located on the DLA Records Management eWP
Tools page.
(1) Was the creation or submission and maintenance of the document required by the
organization?
ENCLOSURE 3
20
(2) Was the document used to conduct or facilitate agency business?
(3) Does it contain unique information that explains formulation of significant program
policies and decisions? (This would apply if the document is a draft or preliminary document
created for background or a similar purpose).
(4) Was the document distributed to other offices or agencies for formal approval or
clearance?
(5) Was the document placed in an organization file to support agency business?
(6) Is the document part of an (EIS) used to conduct Government business?
(7) Is the document covered by one of the record series in the DLA Records Disposition
Schedule?
b. Preliminary Drafts and Working Papers. Are considered Federal Records if they:
(1) Explain how the agency formulated and executed significant program policies,
decisions, actions, or responsibilities.
(2) Contain unique information, such as annotations or comments.
c. Records (Electronic/Hardcopy). Multiple copies of the same document may each be a
record if each serves a separate functional and/or administrative purpose and if they are kept in
separate filing or recordkeeping systems. (Example: Correspondence sent by one office and
received by another. Each office would keep a copy of the record).
2. RECORDKEEPING SYSTEM. A “recordkeeping system” is a manual or automated system
that collects, organizes, and categorizes records, facilitating their preservation, retrieval, use and
disposition. All Federal agencies are required to create and maintain authentic, reliable, and
usable records and ensure that they remain so for the length of their authorized retention period,
regardless of format. Details can be found in 36 CFR Chapter XII – Subchapter B – Records
Management (Reference (f)). A recordkeeping system has four components.
a. Records. Information resources, in any format, that are:
(1) Created in the course of business.
(2) Received for action.
(3) Needed to document Agency activities.
ENCLOSURE 3
21
b. People. Agency RM, CRO and RC, Program Managers and Supervisors who oversee a
RM program; and all Agency employees, who create, receive, and use records in conducting
DLA business.
c. Processes. Procedures on how to manage records throughout their lifecycle (Appendix 1 to
Enclosure 3).
d. Tools. Equipment and software used to capture, organize, store, track and retrieve the
records.
3. RECORD CATEGORIES. Records are categorized as the following:
a. Program records. Documents the unique, substantive (functional) activities for which each
business unit is responsible.
b. Administrative Records. Documents the agency’s routine administrative support activities.
These records relate to budget, personnel, supply or facilitative functions common to most
agencies, in contrast to program records. These types of records comprise an estimated one-third
of the total volume of records created by Federal agencies.
4. RECORD VALUE. Is based on the agency’s business need and NARA’s historical judgment.
The value of records is not necessarily determined by how long they are kept or if the document
is an original or a copy. Agency record values fall into three overlapping categories:
Administrative, Fiscal, and Legal. The evaluation process (also called scheduling) is participative
and includes the document creator and recipient, DLA Records Management staff, and NARA
appraisers, as required.
a. Agency Viewpoint. Records provide:
(1) A basic tool by which the agency conducts its business.
(2) Documentation of the agency’s organization, functions, policies, decisions,
procedures, and essential transactions.
(3) Information necessary to protect the legal and financial rights of the Government and
of persons directly affected by the agency’s activities.
b. NARA’s Viewpoint. Records provide:
(1) Sufficient historical or other value to warrant their continued preservation by the
Government. Such records may be kept mainly because they document an agency’s origins,
organization, functions, and significant transactions and activities. They are kept because they
document persons, places, things, or matters dealt with by an agency because they contain
information with significant research or reference value.
ENCLOSURE 3
22
5. TRUSTWORTHY RECORDS. In order to support agency business needs, records must be
handled in a manner that ensures trustworthiness during each stage of the lifecycle.
Trustworthiness of a record is established by thoroughly documenting the recordkeeping
system’s operation and the controls and the safeguards imposed upon it. There are four
characteristics needed in a recordkeeping system to ensure trustworthy or authoritative records.
a. Authenticity. The accurate accounting or documentation of an activity, transaction or
decision.
b. Reliability. Content can be trusted as a full and accurate representation.
c. Integrity. Assuring that the information has not been changed subsequent to its creation.
d. Usability. Information can be located, retrieved, presented, and interpreted by all who need
it, throughout the entire lifecycle.
6. RECORDKEEPING REQUIREMENTS. DLA creates numerous records in a variety of media
and Federal law requires that DLA make and preserve records containing adequate and proper
documentation of the organization, functions, policies, decisions, procedures, and essential
transactions of the agency and designed to furnish the information necessary to protect the legal
and financial rights of the Government and of persons directly affected by the agency’s
activities. There are three basic components of a comprehensive recordkeeping requirements
package:
a. Agency requirements. The Agency is responsible for developing the overall framework for
the recordkeeping requirements program which includes issuing policy and procedures to include
the definition of a Federal record and non-record, program responsibilities, management of
records in all media, records creation and disposition and filing requirements.
b. Program requirements. Programs must address the types of records that must be kept to
adequately and properly document an organization’s activities. Some requirements derive from
legislation, as in cases where programs are required to maintain certain types of records (i.e.,
Contracting and Personnel). Other program requirements are less well identified, often because
the “program” crosses organizational boundaries. There is an obvious need to develop an overall
set of recordkeeping requirements for these types of records. At the program level,
recordkeeping requirements must identify four types of information at a high level:
(1) Function performed. Basic records series must be created and maintained by all
organizations to document their activities. DLA recordkeeping requirements are determined by
utilizing the Enterprise Organizational Alignment (EOA), General Orders, and Mission and
Functions, to document and assist in identifying records created by organizational offices. EOA
is prescribed by the following:
(a) The (EOA) Instruction. The EOA establishes policy that Organizational
Alignment changes, to include establishment, disestablishment, re-designations and/or transfers,
ENCLOSURE 3
23
of HQ DLA and Field Activity mission areas must be consistently applied and documented in a
General Order, Missions and Functions Statement, and Organizational Charts.
(b) EOA Mission & Functions. Business units need to identify records created by
each function they perform. Each mission and function has the potential to create one or more
records requirement and one or more mission and functions may create only one record
requirement. As mission/functions change or after major reorganizations a review must be
conducted to determine if new records are created or there is a change to the creation of existing
records.
(2) Responsibility. Identify the programs or offices responsible for the record copies of
those series.
(3) Relationship. Relationships among the series, including the relationships of hard copy
to electronic files, system input documents, legal and audit requirements, and similar questions.
(4) Retention. Overall retention strategy to ensure the documentation is retained long
enough to meet programmatic, administrative, fiscal, legal, and historical needs.
c. Series Specific Requirements. Third level of recordkeeping requirements identifies what
records are to be included in the specific records series and how they are to be arranged. Series
level recordkeeping requirements incorporate a number of pieces of information and should
answer certain questions:
(1) Location and custodian of the series. (Identify Headquarters and/or Field Activity and
the DLA Component creating/maintaining the series).
(2) Relationship to other records.
(3) Retention and Disposition.
(4) File identification and arrangement.
(5) What documents need to be included in the file?
(6) What documents can be safely discarded?
(7) Is it necessary to retain drafts?
(8) When and how should telephone calls, meetings, and electronic mail exchanges be
documented for the record?
(9) For project case files, should there be a single series, or should the documentation be
divided between an “official case file” or primary documentation and a “case working file”
containing supporting information? (Note: Answers to questions are best developed in work
groups made up of program staff, administrative staff, program managers, and legal staff so all
ENCLOSURE 3
24
documentation requirements are adequately addressed. In programs where active records are held
by the programs staff, it is necessary recordkeeping requirements be coordinated so they are
consistently implemented by everyone).
7. RECORDS INVENTORY. A records inventory is a complete and accurate survey of an
agency’s business information that documents the function, flow, and description of records. It
provides information needed to develop record schedules (identifies the series, description and
retention of records). It is the first step in creating a records schedule and a file plan.
a. Key Factors in Establishing an Inventory. There are three key factors that are the first steps
in creating an inventory.
(1) Goal. Define why the inventory is being conducted.
(2) Scope. Define what records will be inventoried (current records in office space,
records stored off-site, electronic records, etc.)
(3) Management Support. Develop a written plan for collecting the information and
present to management to ensure they understand the scope, purpose and use of the inventory.
Request Management provide direction to Components to collaborate in the inventory process.
b. Focus of Inventory. The answering of four basic questions about business process are the
focus of an Inventory.
(1) Who is currently creating, receiving, and maintaining business information?
(2) What is currently being kept to support these processes?
(3) Where and how are the records stored and maintained?
(4) Why are certain records stored and maintained?
c. Steps in Inventorying Records. There are six steps in conducting an inventory.
(1) What information needs to be collected? An inventory needs to include a
comprehensive list of key elements about the records. Key elements include description of record
series and information systems.
(a) Record Series. Specific inventory elements to capture for a record series are: date
prepared, creating office, maintaining office, person conducting inventory, records location,
series title, inclusive dates of information in the series or identify if ongoing, points of contact
and description, records medium, arrangement, cutoff, disposition authority if there is an existing
approved disposition authority, and any additional information that may help in the evaluation of
the records.
ENCLOSURE 3
25
(b) Electronic Information System (EIS). Specific inventory elements to capture for
an information system are: name of system and acronym, system control number, program
supported by the system, agency program(s) or mission(s) to which the system relates along with
any authorizing laws or directives, points of contact, purpose of the system, data input and
sources, major outputs, is information transferred to another system, subject matter, system
geographic coverage, update cycle, major system characteristics, hardware/software
environment, system managers, system documentation location, PA restrictions, FOIA
restrictions, current disposition authority (if none indicate unscheduled), is the information
unique to the system or does it exist elsewhere, identification of person doing the inventory, and
date prepared.
(2) How will the information be collected? There are three ways to collect information
for records inventory. They are not mutually exclusive and can be used in combination as
necessary and recorded on an Inventory Checklist which can be accessed on the DLA RM
eWorkplace site. (See Appendix 4 to Enclosure 3, DLAM 5015.01, Volume 1). Choose methods
that provide expediency and efficiency.
(a) Questionnaire. The questionnaire is used to collect information about the records
in an organization or in one or more of its parts. The questionnaire is sent to various staff
members, who use it to account for and describe the information, and files they create, use and
store.
(b) Interview. The RM Staff or other designated individual(s) will interview program
staff that create and use the record, as they can provide additional information on business needs
for the records.
(c) Physical site survey. This is usually the preferred method of collecting
information. A site survey involves the use of trained personnel to collect more reliable and
complete information about an organization’s records. Assigned staff visits each file station and
workstation, asking questions and completing forms about the records and information found.
(3) Prepare an Inventory. Tool used for capturing inventory information.
(4) Determine Who Will Conduct the Inventory. The Agency Records Officer or
experienced CROs will perform the records inventory as they have an understanding of the
project’s purpose; however, when the volume of records is unusually large, other agency
(departmental or business unit) personnel or contractors may be tasked to do the job.
(5) Identify where the Agency’s files are located. Utilize the Agency EOA mission and
functions to identify where records are.
(6) Verify and Analyze the Results. Once the inventory is completed the results need to
be verified and assessed for quality; including physically spot checking for obvious errors.
ENCLOSURE 3
26
8. SCHEDULING RECORDS. A records schedule is a document providing mandatory
instructions for what to do with records no longer needed for current Government business, with
provision of authority for the final disposition of recurring or nonrecurring records. All Federal
records, including those created or maintained for the Government by a contractor, must be
covered by a NARA-approved agency disposition authority (DLA Records Disposition
Schedule) or the NARA GRS. Records that are not scheduled are referred to as “unscheduled”
and MUST NOT be destroyed until they are scheduled and approved by the Archivist of the
United States.
a. Request Authority to Dispose of Records (also known as Scheduling Records). Federal
agencies must request authority to dispose of Temporary Records or transfer custody of
Permanent Records to NARA from NARA.
(1) Business Units/Program Offices. Complete DLA Form 1690, Record Series
Recommendation (See DLAM 5015.01, Volume 1, Appendix 1 to Enclosure 5) for each new
record series being scheduled or revised and submit to the CRO.
(2) The CRO will enter the information into the Electronic Records Archive (ERA). ERA
will route the request to the DLA Records Officer for review, approval and final submission to
NARA.
b. Records Scheduling Process. The following principal steps are used in scheduling Federal
records.
(1) Conduct a functional or work process analysis to identify the functions or activities
performed by each organization unit.
(2) Prepare an inventory for each function or activity to identify record series, systems
and non-record material.
(3) Determine the appropriate scope of the records schedule items, e.g., individual
series/system component; work process, group of related work processes, or broad program area.
(4) Evaluate the period of time the agency needs each record series or system based on
use, value to agency operations and oversight agencies, and legal obligations. Determine if a
fixed or flexible retention period is appropriate.
(5) Determine whether the proposed disposition are limited to records in a specific
medium or if they are media neutral.
(6) Complete DLA Form 1690 and 1935 (DLAM 5015.01 Volume 2 Appendix 3 to
Enclosure 3) if EIS records.
(7) Obtain internal clearances, as appropriate, from program offices, and other
stakeholders such as the legal counsel.
ENCLOSURE 3
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(8) Obtain approval from the Government Accountability Office (GAO), when required.
(9) A DLA Form 1690 and 1935 (if required) is submitted to the CRO for review and
submission to the DLA Records Officer.
(10) Disposition Instructions approved by the Archivist of the United States are
mandatory (44 U.S.C. 3314).
ENCLOSURE 3
28
APPENDIX 1 TO ENCLOSURE 3
LIFECYCLE OF A NON-ELECTRONIC RECORD
Creation/
Receipt
Maintenance
and Use
Disposition
Permanent =
(1-3%) to
Archives
Temporary
(97-99%)
Destroyed
ENCLOSURE 3
29
APPENDIX 2 TO ENCLOSURE 3
PROCESS FLOW GUIDE FOR DETERMINING A RECORD
ENCLOSURE 3
30
APPENDIX 3 TO ENCLOSURE 3
PROCESS FLOW GUIDE FOR DETERMINING AN E-MAIL RECORD
ENCLOSURE 4
31
APPENDIX 4 TO ENCLOSURE 3
RECORDS INVENTORY CHECKLIST
(available on the DLA RM eWorkplace site)
ENCLOSURE 4
32
ENCLOSURE 4
MANAGEMENT OF RECORDS AND INFORMATION
1. DLA FUNCTIONAL FILES SYSTEM. The DLA records disposition schedule is a hybrid
“functional” and “organizational” file system; however, the implementation of the schedule is
based on function. This is the only filing system authorized for DLA; modification of the
numbering system is not permitted. This enclosure details how to create and maintain filing
systems.
2. RECORDS ARRANGEMENT. To effectively manage records, locate and arrange them to
facilitate their use and disposition. Primary considerations include making the files accessible,
minimizing duplication, preserving permanent records, and systematically disposing of all
others. The factors that shall be considered in the storage and maintenance of hardcopy records
are:
a. Access. Records shall be kept sufficiently accessible to the using activities to make
maintenance of duplicate files unnecessary.
b. Security. Classified material maintained in security containers or secured areas shall be
stored in accordance with References (j) and (ff). Personal information maintained with access
restricted to a need-to-know basis shall be stored in accordance with References (h), (l), and (o).
c. Space. Reserve adequate space for present and anticipated needs, factoring in the safety
and health of office personnel. Systems selected to manage electronic records must comply with
DoD 5015.02-STD (Reference (r)). Consider the retention period of the record when selecting
the storage media for electronic records; for permanent records, offices must comply with the
requirements in References (e) and (f). Offices storing large quantities of records shall be given
fire protection and must meet NARA requirements as identified in 36 CFR 1234 Facility
Standards for Records.
d. Arrangement. Position files equipment and supplies to provide control and convenience to
the maximum number of users. Store classified files and containers away from windows and
doors to prevent illicit acquisition of or unauthorized access in accordance with sections 641 and
2071 of title 18, U.S.C. (Reference (s)). Handle files containing privacy information in
accordance with Reference (n).
3. FILE PLAN DESIGNATION. Every business unit and/or program office within DLA will
have a file plan(s) and use prescribed DLA Form 1689 (See DLAM 5015.01, Volume 1,
Appendix 1 to Enclosure 4). Records created and received in performing mission and functions
within the organizational component shall be maintained by the organizational element
performing the function and be identified on a DLA file plan.
a. Roadmap to Records. The file plan provides a comprehensive system of identification,
maintenance, location and disposition of all record information. At a minimum, each file plan
ENCLOSURE 4
33
shall identify the file number, title and brief file description, disposition instructions, media
(paper or electronic) and location of the records. Additional information, including record
examples, classification, or records custodian, may be added as it suits the business needs of the
applicable office.
b. File Plans are Living Documents. File plans shall be updated annually or more frequently
if necessary. Office file plans are to be reviewed for accuracy and updated as file numbers are
added, changed, or deleted or office functions change. If records are moved or locations
otherwise change, the new location information must be updated, as well.
c. Review and Approval. RCs will forward one copy of the file plan to the CRO for review
and approval. The CRO and RCs will maintain a record of all approved file plans and the CRO
will upload an approved/signed copy of the file plan to the DLA eWP RM website. Offices are to
ensure a copy of the file plan is accessible to all employees and contractor personnel that have a
need to know and require access to the records.
d. Records Schedule Review. Offices are to review the DLA Records Disposition Schedule
periodically and review is mandatory upon major reorganizations or functional changes to ensure
that all records are properly identified and the schedule is accurate and complete.
e. Centralized Filing. DLA organizations may centrally locate specialized files of
organization-wide interest and use. The organizations may also establish decentralized records
systems in their offices if they are more effective and convenient. See DLAM 5015.01 Volume
2, Enclosure 3 for the management of shared network drives.
f. Record Requirements. The DLA organizations shall establish written procedures
explaining what records are required and where they are filed by business unit. All locations for
a series whether centralized, decentralized, electronic, safes, etc., must be included on the office
file plan.
g. Record Responsibility. Each office is responsible for the custody, maintenance, retirement,
and disposition of current records and information systems of the office it serves.
h. Local Evaluation. Each office will be evaluated by the organizational CRO annually.
Records evaluations need to be completed using DLA Form 1936 DLA Standardized
Recordkeeping Evaluation or when there is a re-organization (See DLAM 5015.01, Volume 1,
Appendix 2 to Enclosure 4.). DLA Form 1936 will be maintained with the record copy of the
office file plan.
i. DLA Site Evaluations. The DLA Records Officer will perform periodic site evaluations of
DLA organizations a minimum of every 3 years.
4. BASIC FILE GROUPING. Files must be grouped or arranged so that they can provide
effective documentation of the action, event, decision, or process that the record is documenting.
Effective documentation ensures a complete account of actions taken, commitments made, and
results achieved in the creation of records. Documentation applies to records in all media (paper,
ENCLOSURE 4
34
electronic, microfilm, audiovisual, etc.). File arrangement is the relative positioning of
information in a file. Effective file arrangement allows for easy retrieval and disposal of records.
a. Subject Files. These are files arranged according to their general content or information on
the same topic in one place to make finding them easier. Subject files consist mainly of general
correspondence but may also include forms, reports and other material that relate to programs
and functions but not to specific cases (see Case or Project files). The subject file provides
complete documentation in the appropriate subject area. An example of subject files is office
administration files that are broken down into policy, instruction, agreement, committee, staff
visit, and reference subject categories.
b. Case or Project Files. A case or project file contains material on a specific action,
transaction, event, person, project, or other subject. Case files may cover one or several subjects
that relate to a particular case. A contract file maintained by an agency contracting office, for
example, might contain proposals, bids, addenda, inspection reports, payment authorizations,
correspondence, and legal papers. An agency Contracting Officer Representative, on the other
hand, would keep a case file containing copies of interim and final technical reports,
memorandums, correspondence, and other documents on a contractor’s performance and
production of a specified deliverables.
Another example of a case file is the Official Personnel File. Case filing is the most efficient
method for the maintenance of large quantities of records.
(1) The information may cover one or more subjects on a case or project but shall always
be filed by a specific title or number.
(2) A distinguishing feature of a case or project file is the similarity of the information
within the case folders.
(3) Information is arranged within each case file in chronological order with the most
recent documentation in front, or by subject, such as statement of work, deliverables, invoices,
and modifications.
(4) Case or project files are closed upon occurrence of an event or action and placed in an
inactive file. Events or actions that would move a file to an inactive status include the separation
of personnel, a final contract payment, or project completion.
(5) Case files may be maintained alphabetically by name, title, country, organization or
numerically to permit ease of filing and finding without resorting to special finding aids such as
indexes and guide cards maintained separately; however, a DLA Record series must be identified
with the case file.
c. Reference Files. Called convenience or working files, reference files may include extra
copies of documents that are officially stored elsewhere, such as books, pamphlets, and catalogs.
These files must be reviewed periodically and retain only those that are current and of significant
reference value in accordance with the DLA Records Disposition Schedule.
ENCLOSURE 4
35
d. Working Files. In accordance with Reference (f), working files and similar materials shall
be maintained as records for purposes of adequate and proper documentation, if:
(1) They were circulated or made available to employees other than the creator for
official purposes such as approval, comment, action, recommendation, follow-up, or to
communicate with agency staff about agency business.
(2) They contain unique information, such as substantive annotations or comments that
add to a proper understanding of the agency’s formulation and execution of basic policies,
decisions, actions, or responsibilities.
5. FILING ARRANGEMENTS. The first step in arranging a group of files is to determine the
major functional categories that apply. These are listed in the DLA Records Disposition
Schedule. Assistance is also available for DLA RM Staff in making this determination. After
selecting the major functions file grouping, a method of arranging each group (see paragraphs
5.a. through 5.e. of this enclosure) is selected based on the primary function by which the file
will be requested. Records can be further arranged in one or a combination of the filing
arrangements listed in paragraphs 5.a. through 5.e. of this enclosure, depending upon the
business or reference needs of the office. Records retrieved by an individual’s name or other
unique personal identifier assigned to the individual may be subject to the requirements in
Reference (n). Contact your local PA Officer for more information.
a. Numerical Arrangement. Files identified and retrieved by a number, such as a social
security number, purchase order, or requisition.
b. Chronological Arrangement. These files are arranged by date when the date is the primary
means of reference. This system is useful for keeping records in small, manageable groups;
usually by year, month, and day. Reading and suspense files are examples of this type of
arrangement.
c. Alphabetical Arrangement. Files identified and retrieved by subject and name.
(1) Name. Files arranged by names of persons, companies, organizations, or agencies.
(2) Geographical. Files arranged by a geographical location such as region, country, state,
or county.
(3) Subject. Subject titles are arranged alphabetically.
d. Alpha Numeric Arrangement. Alphanumeric files are identified and retrieved by an
alphabetical numeric arrangement, such as contract files.
e. Functional Arrangement. Files identified and retrieved by the function to which the
information relates and not necessarily the subject.
ENCLOSURE 4
36
6. FUNCTIONAL FILE SYSTEM CONCEPT. Under the DLA Records System, a record
document is filed according to the function to which it relates and where feasible with the
Federal Enterprise Architecture Lines-of-Business model. This change is to align with the new
National Archives and Records Administration (NARA) General Records Schedule (GRS)
format. Under this model the GRS groups records by the business process that creates them.
Record Series are being condensed to functional processes to form a “bucket” vice a granular
approach to managing information and records. Exercise care in determining their
administrative, legal and research value to DoD/DLA; their relationship to the organization;
usefulness as archival documents; and the costs of keeping them. See the DLA Records
Disposition Schedule and the office file plan for proper file number.
7. ORGANIZATION OF THE DLA FILE SYSTEM. DLA’s reformatted records schedule
follows the Department of Defense (DoD) issuance numbering system which groups like
functions under major subject groups and subgroups. DLA’s new format breaks down functions
into individual schedules under the numerical group and subject areas identified below.
Numerical Group Major Subject
1000-series Manpower and Personnel
2000-series International
3000-series Plans and Operations, Command and Control, Research and
Development and Intelligence
4000-series Logistics, Natural Resources and Environment
5000-series Acquisition, Administrative Management, Organizational Charters,
Security, Public Affairs and Legislative Affairs
6000-series Health
7000-series Budget, Finance, Audits and Related Information Control
8000-series Information Management and Information Technology
8. APPLICABILITY. The DLA Records Disposition Schedule system shall apply to all records
and information, regardless of media. Excluded are copies of publications, blank forms, and
reference materials, personal papers, books in formally organized and officially designated
libraries, and reproduction material, such as stencils and offset masters; this is considered non-
record material (See Enclosure 6 of this manual).
9. FUNCTIONAL AREA NUMBERING SYSTEM. The DLA Records Schedule also referred to
as a Records Disposition or Records Retention Schedule, is reformatted to align by the function
or business process instead of the organization that performs the function. It is broken down into
separate schedules using the DoD issuance numbering system as a guideline.
a. Individual Schedules. The individual schedules are based on the Department of Defense
(DoD) issuance numbering system subgroup, as shown in Table 1.
ENCLOSURE 4
37
Table 1. Example of Major Categories
DLA Schedule
Number
DoD Issuance
1400
DoDI 1400.25 Civilian
Personnel Management
5015
DoDI 5015.02 Records
Management
7000
DoD Financial Management
Regulation (FMR) 7000.14
b. Rules. Rules cover the different types of records and their retentions under the schedule.
The rule classifies or groups similar documents and/or information created, received or used
under the four digital functional schedule number. A rule may have a subset which exists to
cover differing retention periods for records that exist in association with the main rule. Rules are
assigned by the DLA Records Officer. A rules breakdown is shown in Table 2.
Table 2. Examples of Rules Breakdown
5015
Schedule
3
Rule
3.01
Subset of Rule
c. Record Series Number. The four digit Schedule number plus the Rule equals the Record
Series Number. Record series are a filing classification system, similar to the Dewey Decimal
system used within libraries. It is a means to identify and file records. Additional numbers may
not be added locally to the DLA Records Schedule.
DLA Schedule + DLA Schedule Rule/Records Title = Records Series
5015 3 / Records Disposition – SF-115 5015.3
5015 3.01 / Records Disposition – SF-135 5015.3.01
d. Schedule Layout. The new schedule is created by dividing each function into individual
schedules that use a table format. The table includes the Rule, Record Series Title and
Description (and superseded DLA record series), Disposition Instructions and Disposition
Authority.
(1) Files contain a description of the applicable records and a disposition. Some files
identify a specific function, others identify all records relating to a work process, group of
related work processes, or a broad program area to which the same length of retention is
applied; the latter are called “buckets.”
(2) A file plan of all files kept in an office shall be maintained by each office and made
available to each employee.
ENCLOSURE 4
38
(3) Each office shall determine the functions they are primarily responsible for and
identify the records that correspond to their function from the DLA Records Disposition
Schedule. Records within a file number may be further arranged by date (Pay files), number
arrangement (Contract/Project number), or alphabetical (subject, name, or organization).
Records should be arranged to best meet the business needs of the office.
(4) Records retrieved by an individual’s name or other unique personal identifier assigned
to the individual are subject to the requirements of Reference (n), and should be covered under a
published notice in the Federal Register describing the system of records, also known as a
“System of Records Notice” (SORN).
(a) Labeling: The file label and file plan must contain the system identifier associated
with the system of records notice.
(b) Marking: Mark file folders, file cabinets drawers, etc., containing records subject
to the PA with: “The material/information contained herein falls within the purview of the PA
OF 1974 and will be safeguarded in accordance with the applicable system of records notice and
32 CFR Part 323.”
(c) Contact your local PA Officer for more information.
10. RECORDS CONTROL. The management of information depends upon establishing
continuous and systematic control over the creation, maintenance and use, and disposition of
agency records and information in accordance with statutory and regulatory requirements.
a. Proper Filing. The establishment and maintenance of proper filing, use of guide cards and
filing materials assist in keeping the files orderly and effectively manages information; this aids
in retrieving the files, charging them out (Official Form (OF)-23 Form), transferring or
destroying inactive files in accordance with approved disposition schedule regardless of media
and format.
(1) Charge Out Card. Formerly OF-23 (cancelled) was used to check out records within
the office maintaining the file. An example of the cancelled form is included in DLAM 5015.01,
Volume 1, Appendix 4 to Enclosure 4. Offices may make their own charge out cards. Replace
the withdrawn file with a charge out card with the word “OUT” visible. When charged out
records are re-filed, line out the entries on the form and reuse it. Periodically check charge out
cards in the file to make sure file material is not kept out of the file for excessively long periods.
(2) Suspense and Follow-up. Initiate a suspense and follow-up procedure to provide
control over records loaned outside the file area. Establish a uniform follow-up tracing time for
charged out material (normally 5 to 10 working days). Once the suspense period has elapsed,
trace records to prevent loss. Note results of tracing actions on charge out card or suspense copy.
b. File Folders. Must be established and labeled with all the information required to identify
the information or papers in the folders. See DLAM 5015.01 Volume 2 Enclosure 3 for
electronic setup. Variations are permitted as temporary measures only, the standards prescribed
ENCLOSURE 4
39
herein should be adopted upon the next annual update or when new files are created or old ones
are remade. Modification of file numbers is NOT authorized.
c. Effective Documentation. A complete account of actions taken, commitments made, and
results achieved must be documented in the creation of records. Documentation applies to
records in all media (paper, electronic, microform, audiovisual, etc.) File arrangement is the
relative positioning of information in a file. Effective file arrangement allows for easy retrieval
and disposition of records.
11. RECORDS CUTOFF (COFF) PROCEDURES
a. Move to Inactive Status. “Records cutoff” is the point when active files no longer needed
for current business operation are moved to an inactive status. Express this on the file labels as
“COFF Dec 31, 2001,” followed by transfer or destruction information. Until the files are
transferred to an FRC or destroyed, it is held for reference only; no new documents shall be
added after the cutoff date. Inactive records must be kept separate from active ones to guard
against misfiles. Put a new folder into the active files to replace the old one.
b. Annual, Fiscal or Event. On an annual, fiscal year basis or an event, whichever is
appropriate, all offices shall cut off files and separate active from inactive. Retire, transfer, or
destroy eligible material according to disposition procedures contained in the DLA Records
Disposition Schedule, and review and destroy all duplicate or extraneous materials. Cut off:
(1) Calendar year files on December 31.
(2) Fiscal year files on September 30.
(3) Files with a retention period of less than 1 year on a monthly or quarterly basis.
(4) Files maintained as case or project files upon the occurrence of a certain event, such
as separation of personnel, final contract payment, or project completion. Upon cutoff, move
files to an inactive file until they are eligible for destruction or transfer to an FRC, in accordance
with disposition procedures in the DLA Records Disposition Schedule.
12. PREPARING AND USING GUIDE CARDS, FILE FOLDERS AND LABELS
a. Guide Cards. Prepare and use guide cards to identify each major record series or to identify
and support portions of the series: type standard labels and attach them to the guide card tab; do
not retire or discard file guides when files are disposed of; they should be reused (See Appendix
3 to Enclosure 4).
b. File Folders. Type identifying data on standard labels, positioning them on the folders (See
DLAM 5015.01, Volume 1, Appendix 3 to Enclosure 4). When the material in any one folder
reaches normal capacity of approximately three-fourths of an inch in thickness, prepare another
one. The second folder should begin at a logical point, such as the beginning of a month or a
calendar quarter. Place folders behind related guides. When there are several folders under one
ENCLOSURE 4
40
number a “dummy “ file with a label that shows all the required disposition information but is
not used to file documents may be used as the first folder in the record series. This saves
repeating all the same information on the succeeding folders in that series, which requires only
the basic series number followed by the file name.
c. Labels
(1) Preparation of Labels. Label all file folders, binders, or electronic media with the file
number, title, year file created, cutoff date, disposition instructions, and PA SORN number, if
applicable (See Appendix 3 to Enclosure 4). Subtitles and commonly accepted abbreviations
may be used (see paragraph 12.d. of this enclosure and Joint Publication 1-02 (Reference (t))
(2) Labels for Removable Electronic Media. Type identifying data on standard labels,
positioning them on the media (e.g. compact disks (CDs), digital video disks (DVDs), external
hard drives) (See DLAM 5015.01, Volume 1, Appendix 3 to Enclosure 4). Labels contain file
number, title, date, author or creator, office name, type of record or name of office (if
applicable), PA SORN or security classification (if applicable), software version, and file
extension. All files should have a standardized naming convention (example: X:\Research
Services\Meetings\2010_01_01_04Agenda.doc) and date format (i.e., YYYYDDMM). In
addition the following files must be included in ASCII text format in the media.
(a) A readme.txt file MUST be saved on CDs, DVDs, or external drives, which
contains the author’s name, agency, and specific information. Example: Information was
prepared by John Doe, DLA. Information herein contains the Audit Reports for the first quarter
2008.
(b) Include CDs, DVDs, and external hard drives that contain records on
organizational file plans. The file plan needs to contain the number of CDs, DVDs or external
hard drives and type of information contained (i.e., Audit reports, or Government Accountability
Office responses), location of CD/DVDs and Disposition).
d. Label Abbreviations. In addition to commonly used abbreviations, use the abbreviations in
Table 3 in preparing labels:
Table 3. Abbreviations for Record Labels
Abbreviation
Explanation
alpha
Alphabetically
canx
Cancelled
CFA
Current Files Area
chron
Chronologically
COFF
Cut Off
cont
Continue(d)
CUI
Controlled Unclassified Information
CY
Calendar Year
dest
Destroy
del
Deleted
ENCLOSURE 4
41
declass
Declassification
disp
Dispatch
dwgrd
Downgraded
FY
Fiscal Year
FOUO
For Official Use Only
FRC
Federal Records Center
geog
Geographically
IAW
In Accordance With
NARA
National Archives and Records Administration
NLN
No longer needed
NPRC (CIV)
National Personnel Records Center Annex, (Civilian Personnel
Records), 1411 Boulder Boulevard, Valmeyer, IL 62295
NPRC (MIL)
National Personnel Records (Military Personnel Records) 1 Archives
Drive, St. Louis, Missouri 63138
num
Numerical
obsl
Obsolete
org
Organizationally
PA
Privacy Act
perm
Permanent
PIF
Place in Inactive File
ref
Reference
refp
Reference Paper
resc
Rescinded
ret
Retire(d)
rev
Revised
RS
Record Series
RHA
Records Holding Area
ss
Superseded
subj
Subject
temp
Temporary
trf
Transfer
WNRC
Washington National Records Center, Suitland, MD 20746
yr
Year(s)
13. CROSS-REFERENCE
a. Cross-references are made to locate documents promptly when needed. A cross-reference
is a paper filed under one record series to show the location of material filed elsewhere.
b. Frequently an extra copy can be annotated to show where the original is located and then
filed under the cross reference number. When this is not feasible, use a blank sheet, annotated to
show the record copy location.
ENCLOSURE 4
42
14. LABELING FILE DRAWERS. Label file drawers to facilitate retrieval, and use discretion to
prevent revealing the classifications of material stored therein. Only the major file series and
inclusive dates of the material shall be indicated.
15. CLASSIFIED INFORMATION
a. Safeguarding. Classified files shall be safeguarded in accordance with References (i) and
(ff) in approved classified containers, systems, or secure areas appropriate with the classification
of the material to be protected.
b. Interfiling. The interfiling of unclassified and classified information shall be restricted to
information that directly supports, explains, or documents the record of the action or transaction.
16. MANAGEMENT OF DOCUMENTS AND INFORMATION. Personnel are required to
perform the following procedures to ensure records and information are managed and available
to conduct business.
a. Prepare information for filing when all actions are completed, when record information is
self-identifying, required by a business process, Federal law or Regulation, or DoD issuance or
an official has requested that documentation be maintained.
b. Ensure each record is complete and enclosures or related papers, to include e-mails, are
retained or accounted for in both paper and electronic filing systems.
c. Remove or destroy duplicate copies of information before filing. Ensure duplicate copies
of such records retained for convenience are identified and that any duplicates or versions of
records retained in computers that are no longer needed for reference are deleted in accordance
with the DLA Records Disposition Schedule.
d. Remove all mail control forms, transitory email, classified cover sheets, envelopes, and
routing slips, except those containing remarks or information of significant record value.
e. Reinforce torn or frayed temporary papers with transparent tape. Do not tape or attempt to
mend permanent documents. (Upon retirement, torn or frayed permanent documents should be
supported as best as possible in new file folders. NARA personnel shall mend such documents
using methods and materials designed to ensure their preservation.)
f. Assemble related documents for filing. See DLAM 5015.01 Volume 2 Enclosure 3 for
electronic media.
(1) The latest action on top by date or subject.
(2) The completed package or final document.
(3) Enclosures in numberical order.
ENCLOSURE 4
43
(4) Supporting papers to include e-mail.
g. Bring forward documents needed to conduct current business or still pending action;
combine documents of a later date that relate or refer to documents of an earlier date only when
reference to them is necessary. A reference to an earlier document does not necessarily require
the documents be combined. Do not combine:
(1) Recurring reports with the policy documents requiring such reports.
(2) Applications with the instructions governing their submission.
(3) Documents on the same subject on different transactions (i.e., reports of inspection of
two different organizations).
h. Use a cross-reference sheet for documents brought forward to maintain continuity.
i. File papers loosely in the proper folder according to a filing arrangement that meets the
office business needs. Use pronged fasteners when the files are frequently used, when sequence
of arrangement is of special importance, and when all documents pertain to the same transaction
case or project.
j. Keep folder labels visible by neatly arranging papers in the folders and do not allow the
contents of the folder to obscure folder labels. When contents of the folder reach three-fourths of
an inch, make a new folder bearing the same file designation and place it in front of the full
folder, showing inclusivne dates on the folders.
k. Prevent overcrowding files by allowing at least 4 inches of space in each active file drawer
to permit sufficient working space.
l. Avoid cluttering the files. File bulky material separately in storage equipment suited to its
size. Maintain this material in file classification, date, or serial number order. Make a cross-
reference to the bulky material and annotate in a conspicuous location or with the filed papers.
Mark the bulky material with storage location and file number to associate it with related
information kept in the primary location.
m. Ensure all actions in a file are completed before cutting off the record and applying the
dispostion instructions.
n. Ensure all paper and electronic record files are complete, identified, and maintained in
accordance with this manual and DoD requirements. Do not separate case files or project files
and ensure the origins of the records are preserved. See DLAM 5015.01 Volume 2 Enclosure 3
of this manual for more information about managing electronic records.
ENCLOSURE 4
44
APPENDIX 1 TO ENCLOSURE 4
DLA FORM 1689 – FILE PLAN
ENCLOSURE 4
45
APPENDIX 2 TO ENCLOSURE 4
DLA FORM 1936 DLA STANDARDIZED RECORDKEEPING EVALUATION
ENCLOSURE 4
46
APPENDIX 3 TO ENCLOSURE 4
RECORD LABEL SAMPLES
Labeling – File Guide
File Folder Labeling – Record Labeling
Year of
Accumulation
CY/FY/NA
where
appropriate
File Number
Disposition Instructions
5300.12 Correspondence – Office Symbol CY 2013
COFF: 31 DEC 2013
DEST: 01 JAN 2016
5300.12 Correspondence – Office Symbol FY 2013
COFF: 30 SEP 2013
DEST: 01 OCT 2015
ENCLOSURE 4
47
Labels for Binders Containing Reference Publications
Sample of Labels for Electronic Media
5300.8
Pub Ref
Files
DoD
5015.02 &
5015.02STD
DEST
WHEN SS,
OBSOL,
OR NLN
FOR REF
5300.8
Pub Ref
Files
DLA 5015
DEST
WHEN SS,
OBSOL,
OR NLN
FOR REF
5300.8
Pub Ref
Files
RM SOP
DEST
WHEN SS,
OBSOL,
OR NLN
FOR REF
5300.8
Pub Ref
Files
DEPT INST
DEST
WHEN SS,
OBSOL,
OR NLN
FOR REF
ENCLOSURE 4
48
APPENDIX 4 TO ENCLOSURE 4
CHARGE OUT CARD (formerly OF-23-cancelled)
ENCLOSURE 5
49
ENCLOSURE 5
DISPOSITION PROCEDURES
1. GENERAL. The DLA RM Program is designed to preserve records of continuing value;
systematically eliminate all other records; and remove less active records to lower cost storage
space. This ensures preservation of permanent records and reduces the cost and effort of
recordkeeping. To achieve these objectives, standard procedures have been established for the
disposition of all DLA records.
2. RECORDS DISPOSITION CATEGORIES. There are three categories of Dispositions
records: Temporary (TEMP), Permanent (PERM), and Unscheduled.
a. Temporary Records. Records and information that have a set lifecycle based on agency
creation, maintenance, and use, as determined and approved by NARA. These records are
destroyed at the end of their set lifecycle.
b. Permanent Records. Records and information determined to be sufficiently valuable for
historical or other purposes to warrant continued preservation by the Federal Government and
approved by NARA. Permanent records must be kept separate from temporary records,
regardless of their format. They must be maintained and tracked within the business unit to
ensure they are transferred to the National Archives in accordance with the DLA Records
Disposition Schedule. PAPER MUST NOT BE DESTROYED WITHOUT NARA APPROVAL
OF SCANNED IMAGE.
(1) Permanent records maintained electronically must be saved in a sustainable format
that can be transferred to the National Archives and Records Administration (NARA). The
following formats have been identified by NARA as being sustainable:
(a) Published Documentation and Open Disclosure. Tagged Image File Format
(TIFF) is an example of authoritative specification for scanned images.
(b) Widespread Adoption and Use. Hyper-text Markup Language is an example of a
format that has been widely adopted for Internet use.
(c) Self-describing Formats. Extensible Markup Language is an example of a self-
documenting format because it describes its structure and field names.
(d) Priority Electronic Records Format. Portable Document Format (PDF) is an
example of a priority electronic records format.
(2) Transfer Mechanisms for electronic records are identified in 36 CFR 1235. DLA
business units creating permanent records must establish an internal standard operating
ENCLOSURE 5
50
procedure for transferring electronic records to NARA using the appropriate media. DLA must
transfer records in accordance with the following mechanisms.
(a) Scanned images must be transferred as uncompressed “file(s)”.
(b) Scanned images must be transferred as unaggregated file(s).
(c) For File Transfer Protocol (FTP) provide the Internet Protocol (IP) address for the
Agency FTP site, a temporary user name and password for NARA to use in accessing the FTP
site and a designated time or time span for NARA to access the records then download a copy to
NARA.
(3) Requirement for Records Converted to PDF.
(a) Records converted to PDF from their native electronic formats (e.g., office
automation products must include, embedded fonts to guarantee the visual reproduction of all
text as created. All fonts embedded in PDF records must be publicly identified as legally
embeddable (i.e., font license permits embedding) in a file for unlimited, universal viewing and
printing. Specific policy for converted PDF may be viewed in 36 CFR 1235.48.
c. Unscheduled Records. Records and information whose lifecycle has not been determined
or authorized by NARA. Unscheduled records, by law, shall be treated as permanent records
until NARA approves the schedule for the records in question.
(1) Unscheduled records must be submitted for scheduling within 1 year of being
identified.
3. DISPOSITION STANDARDS. The DLA Records Officer will review recommendations for
new or revised files disposition procedures or standards, and make recommendations for final
approval to the NARA. Changes to the DLA Records Disposition Schedule will be submitted by
an organizational CRO in accordance with paragraph 15 of this enclosure utilizing DLA Form
1690 (Appendix 1 to Enclosure 5).
4. SOURCE OF RETENTION PERIODS. Retention periods for categories of DLA records are
published in the DLA Records Disposition Schedule. Retention periods cited therein have been
established in accordance with RM regulations approved by the Archivist of the United States
either upon specific application or through the GRS. Submit recommendations for changes to
retention periods and disposition procedures to the DLA Records Officer for approval through
the CRO. Records that do not have a NARA approved disposition are considered unscheduled
records and cannot, by law, be destroyed or deleted in accordance with Reference (f).
5. CHANGES TO RETENTION PERIODS. Retention periods are changed as a result of the
continuing evaluation of files and changes in statutory, legal, financial, and administrative
ENCLOSURE 5
51
requirements. Changes to the retention periods are submitted to the Archivist of the United States
for approval using NARA’s Electronic Records Archiving (ERA) system (Replaces Standard
Form SF 115, “Request for Records Disposition Authority). The following general rules apply
when changing the retention of a record once it has been approved by the Archivist (NOTE:
Only the Agency Records Officer can certify and submit changes to NARA and they MUST be
approved by NARA before being implemented):
a. Increased Retention Period. If the change increases the retention period, the new retention
period shall be applied to all categories of files concerned, regardless of where they are
maintained or when they were created. Those inactive and cut off files affected by the change
shall be brought under the new retention period.
b. Reduced Retention Period. If the change reduces the retention period, such period shall be
applied retroactively, unless it is impractical or uneconomical. For example, if the new retention
period can be applied to inactive files only by screening files and marking folders on an
individual basis, it would normally be more economical to retain the files for the longer period
than to attempt to apply the change
c. Conversion of Paper Records to Electronic or Other Media. Record information previously
created and maintained in paper and converted to electronic information within a system will
have to be re-evaluated to ensure new records have not resulted due to the nature of the software
or media. For example, a system has the capability to create an index or document information
not previously captured or created in the paper-based system. Permanent records or unscheduled
records scanned or microfilmed cannot be destroyed without NARA’s approval, in accordance
with References (e) and (f).
6. RECORD FREEZES, PRESERVATION ORDERS, LITIGATION HOLDS, OR
MORATORIUMS. The destruction of the affected record information is suspended until the
record freeze, preservation order, litigation hold, or moratorium is lifted. The requirement to
suspend the retention period is court- or agency-imposed, and all affected record information is
retained until all litigation or disputes are resolved. Notification of record freezes, preservation
orders, or moratoriums are provided to the DLA Records Officer from the Department of Justice
or the DLA General Counsel. These records freeze preservation orders, litigation holds, or
moratoriums are usually accompanied by a records search for all applicable information. Records
searches must be coordinated with the DLA Records Officer who will notify DLA organizational
CROs and NARA of the requested search and records freeze, as applicable. Each organization is
responsible for notifying its subordinate activities that a freeze exists or has been lifted.
7. UNSCHEDULED (UNIDENTIFIED) RECORDS. Records identified in the GRS or cannot be
filed under any record series in the disposition schedule shall be brought to the attention of the
DLA Organizational CRO or the DLA Records Officer for scheduling (ERA process).
Unscheduled records will be maintained in the current files area (CFA) and treated like
permanent records until disposition instructions have been approved by NARA.
ENCLOSURE 5
52
8. DISPOSITION INSTRUCTION. The instructions in the DLA Records Disposition Schedule
provide the overall retention period for the records involved (for example, destroy after 2 years,
destroy after 10 years, or retire 3 years after cut off). The disposal period begins at the date the
record is cut off or closed, unless otherwise indicated. Calculate disposition dates using the
Disposition Table. (See DLAM 5015.01, Volume 1, Appendix 2 to Enclosure 5) or on-line at:
http://www.nwcg.gov/policies/records/destructdate/destruct.htm. Examples of specific
instructions containing exceptions to the general time periods and events are: “destroy when
registrant becomes 36 years of age,” “withdraw and destroy on departure of the individual,”
“destroy when superseded,” “destroy after next survey.” Figure 2 provides examples of how
disposition instructions are to be placed on official record labels. The periods of retention
normally shall be accomplished as:
a. Records with 1-Month Retention. Records having a retention period of 1 month or 30 days
will be cut off at the end of the month, held 1 month in the CFA, and then destroyed.
b. Records with 3-Month Retention. Records having a retention period of 3 months or 90
days will be cut off at the end of each quarter, held 3 months in the CFA, and then destroyed.
c. Records with 1-Year Retention. Records having a retention period of 1 year will be cut off
at the end of the calendar or fiscal year, held in the CFA, and then destroyed.
d. Records with 2- to 10-Year Retention. Records having a retention period of 2 to 10 years
will be cut off at the end of the calendar or fiscal year, held 1 year after cut off in the CFA, and
destroyed or retired as provided by the schedules in the DLA Records Disposition Schedule.
e. Records with a Flexible Retention. Records having a flexible retention period such as
delete, destroy, or transfer when 5 to 7 years old, will be cut off at the end of the calendar or
fiscal year; retained for at least 5 years but no longer than 7 years; and destroyed or transferred as
provided by the schedules in the DLA Records Disposition Schedule. The amount of time the
record is retained is determined by the business needs of the office. Business requirements need
to be documented in a regulation, issuance, or Standard Operating Procedure to ensure
consistency in the retention of the record.
f. Records with Event Retention. Records having an event disposition such as cut off when
superseded, obsolete, or property is turned in, will be maintained in the active files until the
event occurs; transferred to inactive files and cut off at the end of the calendar or fiscal year; held
for time period specified after the event; and destroyed or retired as provided by the DLA
Records Disposition Schedule.
g. Records that Are Unscheduled. Records having no approved NARA retention period shall
be cut off at the end of the calendar or fiscal year and maintained in the CFA until disposition
instructions have been published in the DLA Records Disposition Schedule.
ENCLOSURE 5
53
Figure 2. Disposition Instructions
Records with 1-Month Retention
COFF April 30, 2002 DEST June 2002.
Records with 3-Month Retention
COFF June 30, 2002, DEST Oct 2002.
Records with 1-Year Retention
Calendar year file: COFF Dec 31, 2002, DEST Jan 2004
Fiscal Year file: COFF Sep 30, 2002, DEST Oct 2003
Records of 2 to 10-Year Retention
Calendar Year file: COFF Dec 31, 2002, RET to FRC Jan 2004, DEST Jan 2010
Fiscal Year file: COFF Sept 30, 2002, RET to FRC Oct 2003, DEST Oct 2009
Records with Event Retention
Disposition: Destroy/Delete 15 years after next GAO Audit
Active file: COFF upon next GAO Audit
Inactive file: COFF 31 Dec 2005, DEST JAN 2016
Records that Are Unscheduled
COFF June 30, 2002, retain in current file area until disposition instructions are approved.
9. DISPOSITION PROCEDURES. DLA Organizational Components are required to adhere to
the following procedures in the disposition of records.
a. Retire records designated for annual retirement on a calendar or fiscal year basis to the
appropriate Federal Record Center (FRC).
b. Withdraw from the active file and destroy or delete documents that are disposable upon an
event or action.
c. Terminate files that are disposable after a specific retention period following an event or an
action, such as audit, final payment, or completion of a project, on the occurrence of the event or
accomplishment of the action. Terminate such files by withdrawing them from the active file and
placing them in an inactive file, or in the case of large volumes, simply by discontinuing further
filing within the files. Cut off inactive or terminated files and effect disposition in the same
manner as for other files with the same retention period.
d. Unless otherwise specified in the disposition instructions, cut off permanent files at the end
of the calendar or fiscal year. Start new folders for the new year and place the old folder in the
inactive files.
e. Include the CRO or DLA Records Officer in the development of potential information
systems or enhancement of current systems to evaluate the system for its record creating
potential and determine RM requirements.
ENCLOSURE 5
54
10. PHYSICAL RECORDS DESTRUCTION. Records maintained in paper, on Compact Disk
(CD), Digital Video Disk (DVD) or other physical media that have reached their approved
disposition dates must be destroyed using acceptable destruction methods.
a. Unclassified Information. Shredding of unclassified information approved for public
release is preferred; however it may be placed in recycle bins.
b. For Official Use Only (FOUO) Records and Controlled Unclassified Information (CUI).
Record copies of FOUO documents shall be disposed of according to provisions of
chapter 33 of title 44, U.S.C. and DoD 5200.01 Information Security Program (Reference
(ff)).
c. Classified Information. Classified documents and material identified for destruction shall be
destroyed completely, to prevent anyone from reconstructing the classified information.
Methods and equipment used to routinely destroy classified information include burning,
cross-cut shredding, wet-pulping, mutilation, chemical decomposition or pulverizing.
Use NSA-approved shredding equipment used for the destruction of classified material
11. TRANSFER OF FILES. The transfer of the files from one organization to another is
permitted only when a transfer of functions from one DLA Organizational Component to another
requires it. The transferring (losing) organization shall use the records transmittal procedures
outlined in DLAM 5015.01, Enclosure 5, paragraph 13a and DLAM 5015.01 Volume 2
Enclosure 5 to properly document the files transfer.
12. TRANSFER TO OTHER GOVERNMENT AGENCIES
a. Transfer to National Archives. DLA Organizational Components shall transfer all
permanent files to the FRC or Washington National Record Center (WNRC) at periodic intervals
so that they may be incorporated into the permanent archives of the Government of the United
States. Arrangement for the transfer of the files and the establishment of procedures for their use
are the responsibility of the DLA Records Officer. This is accomplished using NARA ERA
system or SF 258, “Agreement to Transfer Records to the National Archives,” available at:
http://www.gsa.gov/portal/forms/type/SF. Offices are to provide the unsigned form with a
completed box list to DLA Records Officer for submission to NARA’s Electronic Records
Archive. The SF 258 needs to identify whether the records are classified, available for public use
or exempt from release under FOIA, or subject to the PA (see blocks 7, 12, and 13 of the SF
258).
b. Transfer to Other Agencies. NARA regulations prohibit the transfer of files from one
Government agency to another without prior approval of the Archivist of the United States,
except when:
(1) Records are transferred to a NARA FRC.
ENCLOSURE 5
55
(2) The transfer of records or functions or both is required by statute, Executive order,
Presidential reorganization plan, specific instructions in the DLA Records Disposition Schedule,
or by a specific ruling or agreement.
(3) Authority to transfer DLA records to another Government agency has been obtained
from the DLA Records Officer. Recommendations for transfer submitted to the DLA Records
Officer shall include a concise description of the files to be transferred, an estimate of the
volume in linear feet, name and location of the agency to which the files are to be transferred,
and the reasons for the transfer.
13. NATO DOCUMENTS. North Atlantic Treaty Organization (NATO) documents shall be
disposed of in accordance with the DLA Records Disposition Schedule.
14. RECORDS CUSTODY TRANSFER, REORGANIZATION AND UNAUTHORIZED
DESTRUCTION OF FILES
a. Transfer of Functions. When a function is transferred from one DoD Component (as
defined in the Glossary) or from one DLA organization to another, records in the CFA (paper
and electronic) relating to the transferred function shall be transferred to the gaining organization
where they shall be maintained, as a separate entity, to preserve their administrative origin. The
transferring organization must:
(1) Inventory the records to be transferred, include both administrative and
mission/function records. Include the volume of records.
(2) Complete a Transfer of Records Custody Document. The DLA Component
Organization transferring the function (losing organization) completes the transfer of records
custody document including the required documents identified in the custody document to
include:
(a) SF-135 Document and Transmittal Form. Available at:
http://www.gsa.gov/portal/forms/type/SF.
(b) Box lists (if applicable).
(3) Memorandum of Record – Custody Transfer of Records. The transferring
organization must send a Memorandum of record that identifies a Custody transfer of records is
occurring between their organization and the destination (gaining) organization.
(4) A list of the files transferred to the destination organization and a copy of the SF 135
listing inactive files retired to the FRC shall be given to the CRO of the gaining organization and
a copy shall be provided to the DLA Records Officer.
ENCLOSURE 5
56
b. Re-designation or Reorganization. On re-designation without transfer of function, files
shall be maintained in accordance with the appropriate disposition schedules as though no
change had occurred.
c. Discontinuance of a DLA Component or an Organization. On discontinuance without
transfer of functions records not authorized for immediate disposal shall be retired to the
designated FRC, CRO or DLA Records Officer. These procedures are applicable to any specially
organized element such as a board, committee, council, or commission.
d. Damage, Alienation, and Unauthorized Destruction of Records. Each DLA Component or
organization is responsible for preventing the loss of Federal records.
(1) The CRO and the DLA Records Officer must be notified of any accidental loss or
destruction of records.
(2) Records destroyed or damaged due to accidental loss or destruction, such as fire or
water, are to be reconstructed by the office of record. Records can be reconstructed from
information retained in other file series, non-record materials, or computers. Documentation
concerning the reconstruction and cross-referencing materials need to be included to aid in the
identification of the record. Information that cannot be reconstructed will be annotated on an SF
135, to be included with the rest of the files series, upon retirement.
(3) Federal records may not be removed from the legal or physical custody of DLA or
destroyed without regard to the provisions listed in this manual.
(4) The willful and unlawful destruction, damage, or alienation of Federal records can
result in a monetary fine, imprisonment, or both, pursuant to References (f) and (s).
15. RECORD SEARCHES AND PRESERVATION ORDERS
a. Record searches and orders to preserve records are coordinated through DLA General
Counsel; however the DLA Records Officer should be notified, except for searches in response
to requests under the Privacy Act of 1974, as amended, and (5 U.S.C. § 552) (also known and
hereinafter referred to as the Freedom of Information Act or (“FOIA”), which must be
coordinated with the PA and FOIA office. Coordination of search and preservation tasking is
essential before issuing document search, retrieval, or collection instructions. Vague directions
and lack of coordination can lead to loss of data or documents subject to a preservation order.
Preservation orders are not limited to information that constitutes the legal definition of a
“record,” but may include drafts, working papers, and non-record materials, regardless of media,
as well as electronic data in the organization’s possession or control. Each DLA Component
Organization is responsible for conducting the search and implementing the preservation order as
directed. Offices are responsible for preventing the loss of responsive information required for
litigation, investigation, audit, or subpoena.
ENCLOSURE 5
57
b. Any decision to direct a search and preservation of paper or electronic documents and data
regarding a litigation hold request is a team effort involving the General Counsel and RM (CROs
and/or RCs), and supporting information systems professionals as applicable. Some searches
will require extensive coordination and planning; others can be tasked out with a less formal
coordination process. Potentially, end-user representatives, other individuals with knowledge of
the relevant computer systems and how data is used, such as information security personnel may
need to plan the response. For litigation holds, the DLA General Counsel will be the lead office
for responding to the request (or, in appropriate cases where the litigation hold involves only one
PLFA, the PLFA Chief Counsel will be the lead office). If documents and data are collected in
response to a search, they should be reviewed for matters of privilege, classified information
security, or other restrictions on release.
c. Essential considerations for the response to notices of records holds or searches, including
litigation holds:
(1) Identify the DLA Component Organization, agencies, offices, and officials whose
files (paper or electronic) are reasonably likely to contain relevant documents and information.
(2) Identify a lead office responsible for consolidating the listing documents and data
(and assembling the initial collection if required).
(3) Identify contacts in the DLA General Counsel and who can address questions
regarding preservation duties.
(4) Identify an appropriate IT liaison who works with records officials and legal counsel
to identify any systems, files, or data that may be subject to the preservation obligation.
(5) Propose specific key words and metadata descriptors needed for a reasonable search
as appropriate.
(6) Issue an internal records search and preservation memorandum or email to
responsible officials (both organization heads and accountable records custodians) and task them
to suspend routine disposition on relevant records, retain information (including electronic
communications, data and non-record materials) that may be relevant to the litigation or query
and, if required, collect and review records responsive to the request. The memorandum or email
needs to sufficiently describe the type of information that must be preserved so the affected
custodians of data can segregate and preserve identified files and data described. It should also
provide clear direction on what the custodians should do with any records collected, i.e., if they
should be delivered.
(7) Determine a suspense based on any external deadline, complexity of the search
involved, and the amount of time required to complete the search and review.
ENCLOSURE 5
58
16. REQUESTING MODIFICATIONS TO THE DLA RECORDS DISPOSITION SCHEDULE.
To ensure the DLA Records Disposition Schedule meets legal and business needs of the DLA
and its Component Organizations, the OPR shall coordinate through the organization CRO to:
a. Recommend the modification of disposition procedures or schedules to the CRO,
providing justification why they need to be changed.
b. Follow the format and writing style used in the descriptions and disposition instructions of
the DLA Records Disposition Schedule in presenting recommendations relating to unidentified
files. Since the proposed standards may have DLA Components or DLA-wide application,
retention period for other offices that may be creating similar records shall be considered and
coordinated.
c. The CRO will recommend to the DLA Records Officer the establishment of disposition
standards for files for which no instructions are provided by using DLA Form 1690 (See
Appendix 1 to DLAM 5015.01, Volume 1, Enclosure 5). Include the following information:
(1) Recommended series and file title.
(2) A complete description of the file, including types of record information included
therein.
(3) Explain what the series documents: who, where, when, why, and how the record
describes DLA operations or what DLA does or produces.
(4) Explain who creates the information used in the series, who receives the information,
and who uses it.
(5) Explain what information is recorded in the series.
(6) Explain if the series is subject to legal, fiscal, or other requirements.
(7) Identify the retention period required to satisfy current business needs, for example:
(a) Cutoff at end of Fiscal Year (FY), retain in the office for 2 years and destroy.
(b) Cutoff at end of Calendar Year (CY), retain in office for 2 years, retire to FRC
and destroy after 4 years.
(c) Retain for the years specified above, and then transfer to NARA for permanent
retention.
(8) Explain the following:
(a) Physical form: paper, microform, electronic format (database, pdf, etc.).
ENCLOSURE 5
59
(b) Arrangement: numerical, chronological, geographical, organizational,
alphabetical, subject, functional.
(c) Volume to date in cubic feet, number of Compact Disk-Read Only Memory, as
applicable.
(d) Dates the files cover.
(e) Annual expected accumulation, in cubic feet or bytes.
(f) Location of the records.
d. Evaluate potential and existing information systems and websites to determine if record
information is being created and notify the DLA Records Officer to validate retention periods
identified in the DLA Records Disposition Schedule. New, revised, or obsolete record
information may require revision of the disposition schedule. This process will require the
interaction of RM, information technology, and legal staffs.
e. Notify the DLA Records Officer of any unauthorized destruction or damage of official
records.
ENCLOSURE 5
60
APPENDIX 1 TO ENCLOSURE 5
FORM 1690 – Record Series Recommendation
ENCLOSURE 5
61
APPENDIX 2 TO ENCLOSURE 5
DISPOSITION TABLE
Cut Off
Date
1
2
3
4
5
6
6/3
7
8
10
15
20
25
CY 95
---
---
---
---
---
---
---
---
---
---
---
1/16
1/21
FY 95
---
---
---
---
---
---
---
---
---
---
---
10/15
10/20
CY 96
---
---
---
---
---
---
---
---
---
---
---
1/17
1/22
FY 96
---
---
---
---
---
---
---
---
---
---
---
10/16
10/21
CY 97
---
---
---
---
---
---
---
---
---
---
1/13
1/18
1/23
FY 97
---
---
---
---
---
---
---
---
---
---
10/12
10/17
10/22
CY 98
---
---
---
---
---
---
---
---
---
---
1/14
1/19
1/24
FY 98
---
---
---
---
---
---
---
---
---
---
10/13
10/18
10/23
CY 99
---
---
---
---
---
---
---
---
---
---
1/15
1/20
1/25
FY 99
---
---
---
---
---
---
---
---
---
---
10/14
10/19
10/24
CY 00
---
---
---
---
---
---
---
---
---
---
1/16
1/21
1/26
FY 00
---
---
---
---
---
---
---
---
---
---
10/15
10/20
10/25
CY 01
---
---
---
---
---
---
---
---
---
---
1/17
1/22
1/27
FY 01
---
---
---
---
---
---
---
---
---
---
10/16
10/21
10/26
CY 02
---
---
---
---
---
---
---
---
---
1/13
1/18
1/23
1/28
FY 02
---
---
---
---
---
---
---
---
---
10/12
10/17
10/22
10/27
CY 03
---
---
---
---
---
---
---
---
---
1/14
1/19
1/24
1/29
FY 03
---
---
---
---
---
---
---
---
---
10/13
10/18
10/23
10/28
CY 04
---
---
---
---
---
---
---
---
1/13
1/15
1/20
1/25
1/30
FY 04
---
---
---
---
---
---
---
---
10/12
10/14
10/19
10/24
10/29
CY 05
---
---
---
---
---
---
---
1/13
1/14
1/16
1/21
1/26
1/31
FY 05
---
---
---
---
---
---
---
10/12
10/13
10/15
10/20
10/25
10/30
CY 06
---
---
---
---
---
1/13
---
1/14
1/15
1/17
1/22
1/27
1/32
FY 06
---
---
---
---
---
10/12
1/13
10/13
10/14
10/16
10/21
10/26
10/31
ENCLOSURE 5
62
Cut Off
Date
1
2
3
4
5
6
6/3
7
8
10
15
20
25
CY 07
---
---
---
---
1/13
1/14
---
1/15
1/16
1/18
1/23
1/28
1/33
FY 07
---
---
---
---
10/12
10/13
1/14
10/14
10/15
10/17
10/22
10/27
10/32
CY 08
1/10
1/11
1/12
1/13
1/14
1/15
---
1/16
1/17
1/19
1/24
1/29
1/34
FY 08
10/09
10/10
10/11
10/12
10/13
10/14
1/15
10/15
10/16
10/18
10/23
10/28
10/33
CY 09
1/11
1/12
1/13
1/14
1/15
1/16
---
1/17
1/18
1/20
1/25
1/30
1/35
FY 09
10/10
10/11
10/12
10/13
10/14
10/15
1/16
10/16
10/17
10/19
10/24
10/29
10/34
CY 10
1/12
1/13
1/14
1/15
1/16
1/17
---
1/18
1/19
1/21
1/26
1/31
1/36
FY 10
10/11
10/12
10/13
10/14
10/15
10/16
1/17
10/17
10/18
10/20
10/25
10/30
10/35
CY 11
1/13
1/14
1/15
1/16
1/17
1/18
---
1/19
1/20
1/22
1/27
1/32
1/37
FY 11
10/12
10/13
10/14
10/15
10/16
10/17
1/18
10/18
10/19
10/21
10/26
10/31
10/36
CY 12
1/14
1/15
1/16
1/17
1/18
1/19
---
1/20
1/21
1/23
1/28
1/33
1/38
FY 12
10/13
10/14
10/15
10/16
10/17
10/18
1/19
10/19
10/20
10/22
10/27
10/32
10/37
CY 13
1/15
1/16
1/17
1/18
1/19
1/20
---
1/21
1/22
1/24
1/29
1/34
1/39
FY 13
10/14
10/15
10/16
10/17
10/18
10/19
1/20
10/20
10/21
10/23
10/28
10/33
10/38
CY 14
1/16
1/17
1/18
1/19
1/20
1/21
---
1/22
1/23
1/25
1/30
1/35
1/40
FY 14
10/15
10/16
10/17
10/18
10/19
10/20
1/21
10/21
10/22
10/24
10/29
10/34
10/39
CY 15
1/17
1/18
1/19
1/20
1/21
1/22
1/23
1/24
1/26
1/31
1/36
1/41
FY 15
10/16
10/17
10/18
10/19
10/20
10/21
1/22
10/22
10/23
10/25
10/30
10/35
10/40
CY 16
1/18
1/19
1/20
1/21
1/22
1/23
1/24
1/25
1/27
1/32
1/37
1/42
FY 16
10/17
10/18
10/19
10/20
10/21
10/22
1/23
10/23
10/24
10/26
10/31
10/36
10/41
CY 17
1/19
1/20
1/21
1/22
1/23
1/24
---
1/25
1/26
1/28
1/33
1/38
1/43
FY 17
10/18
10/19
10/20
10/21
10/22
10/23
1/24
10/24
10/25
10/27
10/32
10/37
10/42
CY 18
1/20
1/21
1/22
1/23
1/24
1/25
---
1/26
1/27
1/29
1/34
1/39
1/44
FY 18
10/19
10/20
10/21
10/22
10/23
10/24
1/25
10/25
10/26
10/28
10/33
10/38
10/43
CY 19
1/21
1/22
1/23
1/24
1/25
1/26
---
1/27
1/28
10/30
1/35
1/40
1/45
FY 19
10/20
10/21
10/22
10/23
10/24
10/25
1/26
10/26
10/27
10/29
10/34
10/39
10/44
CY 20
1/22
1/23
1/24
1/25
1/26
1/27
---
1/28
1/29
1/31
1/36
1/41
1/46
FY 20
10/21
10/22
10/23
10/24
10/25
10/26
1/27
10/27
10/28
10/30
10/35
10/40
10/45
ENCLOSURE 6
63
ENCLOSURE 6
EMPLOYEE TRANSFER AND DEPARTURE PROCEDURES
1. TRANSFER/DEPARTING PERSONNEL. Employees that are leaving their current position,
either transferring within DLA or departing DLA must transfer the records they create or
maintain to their supervisor or a dedicated shared network drive to ensure there is no knowledge
loss to the agency. Records belong to the government and not to the individual that created them.
2. SUPERVISOR RESPONSIBILITY. The supervisor is responsible to ensure that the records
are transferred in accordance with this manual to ensure that there is no loss of continuity in
records or knowledge loss to the agency.
3. INSTRUCTIONS FOR HANDLING OF DEPARTING PERSONNEL OFFICIAL
RECORDS.
a. The DLA Components must ensure departing or transferring employees:
(1) Delete all personal files on the personal computer (PC) used (e-mail, spreadsheets,
documents, etc.) that do not meet the official definition of a record.
(2) Complete DLA Form 1937 Records Management Checklist for Employee
Transfer/Departure” (See DLAM 5015.01, Volume 1, Appendix to Enclosure 6) to account for
all program records created, received, and maintained during their employment, to include e-
mail, record information on collaborative websites or social media networks, and all record
information from their office PC or laptop by printing and filing, sending to a Records
Management Application (RMA), or moving to a designated area on the network. If the
employee occasionally worked from home, the residential PC should also be considered for
review.
(3) Provide access to program records by providing password and location of the records
on the network.
(4) Provide a list of any convenience copies of records they wish to remove to the
immediate supervisor, the CRO, and/or the Security Manager for their review and approval.
Removal of complete collections of DLA e-mails is not authorized.
4. REMOVAL OF NON-RECORDS.
a. Completion of DLA Form 1937 Records Management Checklist for Employee
Transfer/Departure,” is required to document the removal of non-record information and to
ensure information is transferred appropriately as identified in subparagraph 1.a.(2) and (3) of
this enclosure. Approval for removal of non-record material may be considered if:
(1) It does not diminish the records of the DLA.
ENCLOSURE 6
64
(2) It does not violate confidentiality required by national security, privacy, or other
restrictions on disclosure.
(3) It does not exceed normal administrative resources of the DLA.
(4) It does not affect the DLA’s ability to invoke legal privileges.
b. The DLA Records Officer or the DLA General Counsel may provide additional policy and
procedures to DLA Components.
ENCLOSURE 6
65
APPENDIX TO ENCLOSURE 6
Records Management Checklist for Employee Transfer/Departure
ENCLOSURE 7
66
ENCLOSURE 7
DISPOSITION OF PERSONAL FILES AND NON-RECORD MATERIALS
1. RECORD AND NON-RECORD MATERIALS OF GOVERNMENT OFFICIALS. Some
Senior Level Government officials and some employees during their tenure in office accumulate
substantial collections of personal files and copies of official documents (includes electronic files
and e-mail) created solely for convenience of reference (non-record material). When an official
or employee departs, non-record materials are to be reviewed by the employee, the CRO, or the
DLA Records Officer, prior to their removal from DoD custody. To prevent violations of
References (d), (e) and (f) officials, DLA employees (civilian and military), and contractors in
the DLA Components must be able to distinguish between Federal records, non-records, and
personal files.
2. DISTINGUISHING PERSONAL FILES AND NON-RECORD MATERIAL. There is a
difference between personal files and non-record materials. The distinction is sometimes unclear,
especially when non-record materials become part of a collection referred to as an official’s
“personal files”. The discussion below provides additional information for distinguishing
between personal files and non-record materials.
3. PERSONAL FILES. Personal files are not subject to Reference (d) and the DLA Records
Disposition Schedule, which pertain to the maintenance and disposal of Federal records.
a. Personal files can be any information or documentary materials that are unrelated to the
conduct of agency business and concern only to an individual’s personal affairs, (e.g., files
relating to political activities, personal and family matters, or social or civic activities) or
indirectly related to agency business but outside the scope of the definition of Federal records
(i.e., not used to conduct Government business). Personal files are excluded from the definition
of Federal records and are not owned by the Government.
b. Examples of personal files are:
(1) Business or professional files accumulated by an official before joining Government
service that are not used subsequently in the transaction of any Government business.
(2) Materials relating solely to an individual’s private affairs, such as outside business
pursuits, professional affiliations, personal social events, volunteer or community service
records, or private political associations that do not relate to agency business.
(3) Diaries, journals, personal correspondence, personal calendars and appointment
schedules, or other personal notes that are not prepared or used for or circulated or
ENCLOSURE 7
67
communicated in the course of transacting Government business. This is the most difficult to
distinguish from Federal records because of its work-related content.
c. Subparagraphs 3.c.(1) through 3.c.(4) of this enclosure pertain to the maintenance,
marking, and handling of personal files:
(1) Personal files shall be established by the employee at the start of their tenure, clearly
designated as such and shall, at all times, be maintained separately from the office’s official
records.
(2) If information about private matters and agency business appears in the same
document, it shall be copied or extracted at the time of receipt, with the personal information
deleted, and incorporated into the office’s official records.
(3) Materials labeled “personal”, “confidential”, or “private”, or similarly designated, and
used in the transaction of public business are Federal records subject to the provisions of
pertinent laws and regulations. The use of such a label is not sufficient to determine the status of
documentary materials in a Federal office. DLA email accounts are not considered personal files.
(4) Files that are strictly personal may be removed at the discretion of their creators,
unless they contain classified information.
4. NON-RECORD MATERIALS. Non-record materials are Government-owned documentary
materials that do not meet the conditions of records status or are specifically excluded from the
statutory definition of a Federal record.
a. Extra Copies of Federal Records. Non-record materials are extra copies of Federal records
accumulated for the SOLE PURPOSE of ease of reference. Copies of official documents, to
include e-mail, shall not be made SOLELY for the purpose of removal or donation (at the end of
an official’s or the employee’s tenure); doing so may be a violation of References (d) and (e).
Memorandums that contain an original ink signature or documentation that contain substantive
annotations (see subparagraph 4.c (4) of this enclosure) are Federal records. Record sets of
publications, posters, and maps that serve as evidence of agency activities and have value for the
information they contain are also preserved as Federal Records.
b. Non-record Material Must be Managed. Offices must manage non-record material.
(1) Non-record materials shall be:
(a) Physically segregated from records. Electronic non-record materials must be
readily identifiable as such.
(b) Purged or destroyed in accordance with the DLA Records Disposition Schedule, if
identified, or when no longer needed for reference.
ENCLOSURE 7
68
(2) If a clear determination cannot be made on the status of the document or information,
the materials need to be treated as Federal records. DLA Headquarters and Component
Organizations should consult with the DLA Records Officer for guidance.
c. Removal of Non-Record Material. Non-record materials may be removed from
Government control, in limited circumstances, provided the following conditions are met:
(1) Unclassified. Departing officials and employees only may remove extra copies of
record materials as defined in paragraph 4.a. of this enclosure, if the conditions of paragraph 4.d
and section 5 of this enclosure are met. Removal of non-record materials shall be coordinated
with the CRO for their organization and Security Manager.
(2) Classified. Information classified under the provisions of Reference (m) is not
personal property and shall not be removed from the Government’s control (see Glossary),
except for the removal of custody taken in accordance with the requirements of the National
Industrial Security Program established under Executive Order 12829 (Reference (u)), or a
successor order. Declassified non-record materials may be removed after coordination and
approval as described in subparagraph 4.c.(1) and section 5 of this enclosure.
(3) PA and FOIA. Information restricted from release under the Privacy Act or subject to
withholding under one of the nine FOIA exemptions shall not be removed from Government
custody, except as permitted under those statutes and their associated issuances. Contact your
local PA / or FOIA Officer for further details.
(4) Working Files. Working files such as preliminary drafts and rough notes and other
similar materials are classified as Federal records when they are circulated for official purposes
such as approval, comment, action, recommendation and when they contain unique information,
such as substantive annotations or comments that add to a proper understanding of the agency’s
decision-making process or how its mission is accomplished and may not be removed from
Government custody.
(5) E-mail. The removal of the non-record copy of e-mails will not affect the
Government’s ability to invoke certain legal privileges under FOIA and PA. E-mail is provided
to conduct Government business and the first priority is to ensure that official record e-mail is
accessible to the organization upon departure of the employee(s).
d. Unclassified does NOT equal public use. Unclassified non-record materials requested for
removal by a departing official or employee for the purpose of personal use must be cleared for
public release prior to removal. Clearance for public use is recommended for non-record
materials selected for donation, but instructions can be written in the deed of gift. Classified non-
record materials cannot be removed or donated pursuant to References (e) and (m).
e. Transfer of non-record copies of official documents. Any transfer of non-record to any
Government or private institution must be in writing by a deed of gift or other form of legal
conveyance. The written instrument must clearly explain the terms under which the institution
accepts the papers and the protection they shall be afforded while in its care, to include
ENCLOSURE 7
69
mandatory restrictions on access. These restrictions pertain to any of the following: potential
violations of personal privacy; protection of national security information; statements made by or
to the donor in confidence; materials or information that might prove prejudicial to the conduct
of the foreign relations of the United States; and material relating to law enforcement
investigations. Any such conveyance shall be reviewed by the General Counsel and the DLA
Records Officer before the donor signs it.
f. Donor Responsibility. It is the responsibility of the donor and their immediate staff to
ensure donated materials is screened to contain no official agency record copies or other material
that cannot be removed from the Government’s control. The donor is responsible for compliance
with all security regulations governing classified information and ensuring that such information
is removed and maintained by the office of record, until it is eligible for destruction in
accordance with the DLA Records Disposition Schedule.
g. Departing/Transferring Personnel. Non-record copies provided to departing employees to
utilize in another DLA Organization Component, DoD office or Government agency is to be
considered a personal use release and therefore a public release unless the recipient DLA
Organizational Component, DoD Component or agency accepts them as its record or non-record
information under its control. See paragraph 11.b of Enclosure 5 of this manual for interagency
transfer procedures. Employees are not allowed to remove official files when they are reassigned
or moved to another DLA Component.
5. ACCESS TO DONATED PERSONAL FILES, NON-RECORD MATERIALS, AND
FEDERAL RECORDS. Access to personal files and non-record material donated by an official
to an institution for historical preservation shall be in accordance with the instrument of gift
signed by the official and the institution, and with Reference (m).
ENCLOSURE 8
70
ENCLOSURE 8
RECORDS MANAGEMENT EVALUATIONS
1. GENERAL. The NARA is the regulatory oversight agency for all Federal records. Federal
Agencies are required to establish and maintain an active RM program to control the creation,
maintenance and use and disposition of its records (44 U.S.C. 3102). Agencies must submit
annual reports to NARA on the status of their agency RM program.
2. SENIOR AGENCY OFFICER (SAO). Office of Management and Budget Directive M-12-18,
dated August 24, 2012 required that a SAO be designated for each Department and/or Agency.
The DoD identified four SAOs: one for each of the military services and one for all other
Components under DoD. The SAO is responsible for coordinating with the Agency Records
Officer to ensure the agency’s compliance with RM statutes and regulations. DLA must submit
an annual report on the status of the Agency RM program to the SAO.
3. RECORDS ASSETS. Records are assets of the agency that must be accounted for and
protected. They must be inventoried, maintained and destroyed or transferred to NARA in
accordance with Reference (c).
4. ASSISTANCE VISITS. Organizational CRO and/or the DLA Records Officer shall provide
assistance visits when requested by DLA Organizational Components to provide RM guidance in
establishing or improving their programs.
5. EVALUATION REQUIREMENTS. Agencies are responsible to conduct formal evaluation to
measure the effectiveness of RM programs and practices, and to ensure that they comply with
NARA Regulations per 36 CFR 1220.34. In order to meet inspection requirements the following
evaluation criteria will be assessed; however, it may not be inclusive and may be modified as
required.
a. Frequency of Evaluation. Evaluations will be conducted to ensure RM is established
within Components and that adequate and proper documentation of agency programs have
developed recordkeeping requirements.
(1) The DLA Records Officer will conduct evaluations a minimum of every 3 years,
alternating between components.
(2) CROs will conduct evaluations of all offices within their component that create and
maintain administrative and functional records at least once every two years and submit an
evaluation summary report to the Component Director and a copy to the DLA Records Officer.
Evaluations may be scheduled and conducted at any time during the calendar year.
ENCLOSURE 8
71
b. Administrative Review.
(1) Has a CRO been designated and identified to Component personnel?
(2) Is the CRO position full-time with a RM Position Description?
(a) If assigned collaterally, are CRO RM duties included in the position description?
Percent of time allotted for RM? Hours per week allotted to RM?
(3) Does the CRO or DLA Records Officer conduct periodic assistance visits to
subordinate offices? Date of Last Visit?
(4) Are there designated Records Coordinators for the business units/program offices
within the component?
(5) Do departing/transferring personnel complete DLA Form 1937 (RM Checklist for
Departing Personnel) to ensure their records are properly turned over?
(6) Has any reorganization or consolidation or similar action that would impact records
occurred within the past year?
c. RM Training.
(1) Has the CRO taken NARA training within a year of being designated? If less than
1 year, have they been briefed regarding their record responsibilities?
(2) Have Records Coordinators received RM training by the CRO or other RM
training?
(3) Are Senior Leaders and Managers briefed concerning ongoing or significant
records issues?
(4) Have all personnel completed basic RM annual training (including NAF and
Contract employees)?
d. File Plans and Records Creation.
(1) Is DLA Form 1689 File Plan created and does it reflect all files/records (paper,
electronic, audiovisual, etc.)? Is it reviewed and updated annually by the business unit and/or
individual maintaining records?
(2) Has the DLA Form 1689 File Plan been reviewed and approved by the local CRO? Is
it maintained with the files so all personnel can use it?
ENCLOSURE 8
72
(3) Are procedures in place to identify new record series (consolidation, reorganization,
new programs)?
(4) Are recommended new records/series, disposition and justifications forwarded to the
DLA Records Officer for review?
e. Records Maintenance.
(1) Are active and inactive paper/hardcopy files stored in an area safe from
environmental dangers (water, fire, insects, etc.) with appropriate temperature and humidity
controls?
(2) Are active and inactive audiovisual records and records on electronic storage devices
(CDs, DVDs, external hard drives, etc.,) stored physically apart from paper files with appropriate
temperature and humidity controls? Are they periodically reviewed for technical obsolescence,
and if needed, migrated to new storage media?
(3) Is there a cross-reference for copies kept in other media (for coordinated disposition)?
f. Hardcopy Recordkeeping.
(1) Are accurate and complete records filed on a daily or routine basis?
(2) Before filing, are duplicate copies of correspondence and reports (other than that for
cross-reference) and non-record material (envelopes, routing slips, cover sheets) removed from
the record?
(3) Are all file folders/binders labeled with record series, CUTOFF, and required
disposition instructions?
(4) Are file guides utilized?
(5) Are charge-out cards (or similar tracking device) used whenever documents or files
are removed from official file stations or RHAs?
g. Electronic Records and E-Mail Management.
(1) Are electronic records maintained on a Shared network drive?
(2) Are electronic records maintained on a Shared network drive or eWP being managed
in accordance with RM rules (labeled with record series/disposition)?
(3) Are records stored on shared network drives or eWP appropriately identified,
accessible to users, and included on the DLA 1689 File Plan for that office?
(4) Are personnel filing Email records appropriately (shared network drive or printing)?
ENCLOSURE 8
73
(5) Are electronic copies of e-mails purged after a hard record copy has been filed or an
electronic version saved?
h. Electronic Information System (EIS) / Web-Based Information.
(1) Are EIS (i.e., access databases or other databases unique to your office) identified
with a record series and scheduled, with current copies on file with the DLA Records Officer?
(2) If records are created or maintained on web-based information systems (portals, e-
rooms, wikis, blogs, etc.,) are they identified as such and dispositioned according to approved
retention schedules?
i. Records Disposition.
(1) Do Record Coordinators/File Custodians follow approved disposition instructions and
take prompt action to:
(a) Execute file Cutoffs?
(b) Create new folders, as required, for new calendar or fiscal year after the cutoff?
(c) Retire inactive (hardcopy) records to agency storage areas?
(d) Retire inactive records to FRCs?
(e) Transfer permanent retired records to the National Archives?
(f) Destroy records that have reached their disposition?
(2) Are electronic records maintained on Shared network drives being managed and
disposed of IAW the DLA Records Disposition Schedule?
(3) Is an SF-135 and box list (if applicable) prepared for records eligible to be retired to a
FRC?
(4) Is a SF-135 maintained for records that are transferred to the FRC for 6 years past
destruction of associated records?
(5) Are records shipped to the FRC/WNRC in accordance with the DLA Procedures
Guide (review a sampling of SF-135s)?
j. Non-Record & Personal Papers.
ENCLOSURE 8
74
(1) Is non-record material separated from record material and reviewed and if applicable
disposed on at least an annual basis (to include hardcopy and information stored electronically on
Shared Network drives and eWP)?
(2) Is there a business rule for the component that identifies non-record and other content
will be reviewed for relevancy and disposed of if no longer needed for reference? (Please
provide a copy)?
(3) Are personal papers maintained separately from official records?
k. Storage Requirements (Internal Record Holding Areas (RHA)).
(1) Are approved record boxes and containers used for paper and magnetic material
storage?
(2) Is there humidity and environmental controls?
(3) What is the maximum capacity of records stored in the RHA? Use cubic feet (CF)
(4) What is the volume in CF currently being stored in the local RHA?
(5) Does the RHA meet NARA storage facility requirements?
(6) Are records stored in the RHA being managed and destroyed IAW the DLA Records
Disposition Scheduled?
l. Security.
(1) Are offices that maintain classified records trained in RM procedures?
(2) Are offices that maintain classified information keeping the records IAW the DLA
records disposition schedule?
(3) Are offices that maintain classified information storing records IAW Reference (ff)?
(4) Are files containing PII/PA maintained in labeled cabinets that are locked (or
password protected for electronic records) and only accessible by authorized personnel?
(5) Do the CRO and RC know the procedures for reporting accidental loss or willful and
unlawful destruction, damage, removal or alienation of federal records as identified in the DLA
Procedures Guide and 36 CFR 1230?
m. Results of Last Records Evaluation. Shall include the date of the last inspection and the
rating received on that inspection.
(1) No discrepancies noted – no corrective action required.
ENCLOSURE 8
75
(2) Discrepancies noted and:
(a) Have been corrected
(b) Corrective Action Plan developed? (provide copy to CRO)
n. Overall Evaluation.
(1) Satisfactory - Files are organized and in compliance with current Federal regulations,
DoD and DLA RM policy and procedures except for minor discrepancies as noted.
(2) Progressing Towards Satisfactory – Minor discrepancies noted – see notes
Additional work required before records are in compliance with federal regulations, DoD and
DLA RM policy and procedures. Corrective action plan required.
(3) Unsatisfactory – Several major discrepancies noted – see notes – overall RM program
is below acceptable standards. Corrective action plan required.
o. Scoring Chart. The scoring chart is part of the instructions attached to the actual checklist
which can be accessed on the DLA RM eWP page.
76 GLOSSARY
GLOSSARY
PART I. ABBREVIATIONS AND ACRONYMS
A listing of abbreviations and acronyms is mandatory for Instructions over two pages.
ARCIS Archives and Records Centers information Systems
CD Compact Disk
CIO Chief Information Officer
CF Cubic Feet or Foot
CFA Current Files Area
CFR Code of Federal Regulations
COFF Cut Off
COOP Continuity of Operation Plan
CUI Controlled Unclassified Information
CY Calendar Year
DLA Defense Logistics Agency
DoD Department of Defense
DVD Digital Video Disk
DLAM Defense Logistics Agency Management
EIS Electronic Information System
EOA Enterprise Organizational Alignment
ERA Electronic Records Archives
FOIA Freedom of Information Act
FOUO For Official Use Only
FRC Federal Records Center
FY Fiscal Year
FTP File Transfer Protocol
GAO General Accounting Office
GRS General Records Schedule
IT Information Technology
IAW In Accordance With
IP Internet Protocol
LMS Learning Management System
NARA National Archives and Records Administration
NATO North Atlantic Treaty Organization
NIST National Intelligence Support Team
GLOSSARY
77
OSD Office of the Secretary of Defense
OF Official Form
OPR Office of Primary Responsibility
PA Privacy Act
PC Personal Computer
PDF Portable Document Format
PERM Permanent
PLFA Primary Level Field Activity
RC Records Coordinator
RM Records Management
SF Standard Form
SAO Senior Agency Officer
TEMP Temporary
U.S.C. United States Code
WNRC Washington National Records Center
PART II. DEFINITIONS
These terms and definitions are for the purpose of this Manual.
Access. The availability of or the permission to consult records, archives, or manuscripts. The
ability and opportunity to obtain classified or administratively controlled information or records.
Accession. The transfer of the legal and the physical custody of permanent records from an
agency to the National Archives.
Accession Number. The NARA or Archives and Records Centers Information System
(ARCIS) assigned tracking number for the transfer of agency records to the National Archives or
FRC (see Retirement and Transfer Number).
Active Records. See current records.
Archival Value. The determination by appraisal that records are worthy of permanent
preservation by the Archivist of the United States. See historical value.
Audiovisual Files. Files in pictorial or aural form, regardless of format. Included are still photos,
graphic arts such as posters and original art, motion pictures, video recordings, audio or sound
recordings, microform and related records.
GLOSSARY
78
Block. A chronological grouping of records consisting of one or more segments of records that
belong to the same series and are dealt with as a unit for efficient transfer, especially the transfer
of permanent records to the NARA. For example, a transfer of records in 5-year blocks.
Bucket or Aggregate Schedule. A type of flexible schedule. Flexible scheduling using “big
buckets” or large aggregations is an application of disposition instructions against a body of
records grouped at a level of aggregation greater than the traditional file series or electronic
system that can be along a specific program area, functional line, or business process.
Business Unit. A logical element or segment of a company (such as accounting, production,
marketing) representing a specific business function, and a definite place on the organizational
chart, under the domain of a manager. Also called department, division, or a functional area.
Case File. Files, regardless of media, containing material on a specific action, event, person,
place, project, or other subjects. Sometimes referred to as a “project file” or a “transaction file.”
Also a collection of such folders or other file units.
Case Working Files. Support files, such as worksheets, questionnaires, rough notes, calculations,
are generally kept for a shorter period of time than the papers that serve to document the project.
See Working Files.
Central Files. The files of several offices or organizational units physically or functionally
centralized and supervised in one location.
CFA. The area where current records are physically maintained, usually in a location that
provides convenient access for reference and retrieval.
Chronological Reading File. See reading file.
Classified Information. Information that has been determined pursuant to Reference (e) or any
predecessor order to require protection against unauthorized disclosure and is marked to indicate
its classified status when in documentary form.
Closed File. A file unit or series containing documents on which action has been completed and
to which additional documents are not likely to be added. A file unit or series to which access is
limited or denied. See cut off.
Cut Off. Termination of files at specific intervals to permit transfer, retirement, or disposal in
periodic (quarterly, semiannual, or annual) blocks. Sometimes called “file break.” See also
block.
Cloud Computing. A technology that allows convenient, on-demand network access to a shared
pool of configurable computing resources (e.g., networks, servers, storage, applications, and
services) that can be rapidly provisioned and released with minimal management effort or
service provider interaction. Depending upon user needs, and other considerations, cloud
computing services are typically deployed using one of the following four models as defined in
“The NIST Definition of Cloud Computing” (Reference (aa)):
GLOSSARY
79
Private Cloud. The cloud infrastructure is provisioned for exclusive use by a single
organization comprising multiple consumers (e.g., business units). It may be owned, managed,
and operated by the organization, a third party, or some combination of them, and it may exist on
or off premises.
Community Cloud. The cloud infrastructure is provisioned for exclusive use by a specific
community of consumers from organizations that have shared concerns (e.g., mission, security
requirements, policy, and compliance considerations). It may be owned, managed, and operated
by one or more of the organizations in the community, a third party, or some combination of
them, and it may exist on or off premises.
Public Cloud. The cloud infrastructure is provisioned for open use by the general public. It
may be owned, managed, and operated by a business, academic, or government organization, or
some combination of them. It exists on the premises of the cloud provider.
Hybrid Cloud. The cloud infrastructure is a composition of two or more distinct cloud
infrastructures (private, community, or public) that remain unique entities, but are bound
together by standardized or proprietary technology that enables data and application portability
(e.g., cloud bursting for load balancing between clouds).
Controlled Unclassified Information. Program established by Executive Order 13556 that
standardizes and simplifies the way the Executive branch handles unclassified information that
requires safeguarding or dissemination controls, pursuant to and consistent with applicable law,
regulations, and government-wide policies. NARA is designated as the Controlled Unclassified
Information (CUI) Executive Agent
Convenience File. Non-record copies of correspondence, completed forms, publications, and
other information maintained for ease of access and reference. Sometimes referred to as
“working files.”
Copy. A reproduction of the contents of an original document, prepared simultaneously or
separately, and usually identified by function or by method of creation. Copies identified by
function may include action copy, comeback copy, file or record copy information or reference
copy, official copy, and tickler copy. For electronic records, the action or result of reading data
from a source, leaving the source data unchanged, and writing the same data elsewhere on a
medium that may differ from the source. See non-record material and records.
Cross-reference. A procedure used to show the location of a document that may be filed, because
of content, under more than one subject.
Current Records. Records necessary to conduct the current business of an office and therefore
generally maintained in office space and equipment. Also called “active records.”
Custody. The guardianship of records that in a strict sense includes both physical possession
(protective responsibility) and legal title (legal responsibility). For example, OSD records
transferred to an FRC are in the PHYSICAL POSSESSION of that facility but legal title to them
remains with the OSD and access may be granted only with the approval of the originating
Agency; when accessioned by the National Archives, legal title, and physical possession then
GLOSSARY
80
pass to the Archivist of the United States, who may grant access without reference to the
originating agency.
Discontinuance. The placing of an organization in an inactive or surplus status. It includes
inactivation, disbandment, discontinuance, or reduction to zero in strength.
Disposal. Physical destruction of temporary records. See also disposition.
Disposal Authority. The legal authorization for the disposition of records obtained from the
Archivist of the United States empowering an agency to transfer permanent records to the NARA
and to carry out the disposal of temporary records. Also called “disposition authority.”
Disposition. Those actions taken regarding Federal records after they are no longer needed in
office space to conduct current agency business. Records disposition is any activity that includes:
Disposal of temporary records by destruction or donation;
Transfer of records to Federal agency storage facilities or FRCs;
Transfer to the Archives of the United States, records determined to have sufficient historical
or other value to warrant continued preservation; or
Transfer of records from one Federal agency to any other Federal agency.
Disposition Instruction. An instruction for the cut off, transfer, retirement, or destruction of
documents.
Disposition Program. Practices designed to achieve efficient and economical disposition of
records. The program involves developing standards, procedures, and techniques for managing
the longevity of records. Includes controls over office filing equipment, scheduling records for
disposition and administering their storage, documenting agency benefits accruing from the
program, and undertaking surveys and audits of disposal operations.
Disposition Schedule. A document governing the continuing mandatory disposition of a record
series of an organization or agency. Also known as a “records schedule,” “records control
schedule,” “retention schedule,” or “records retention schedule.” The DLA Records Disposition
Schedule contains the only authorized disposition schedule for DLA. See also general record
schedule.
DLA Records Schedule. A list for systematic disposition of DLA records, including their
retention, transfer, retirement, or destruction, performed in accordance with approved disposition
authority from the United States Archivist.
Disposition Standard. The time period for the cut-off transfer to a records center, destruction, or
transfer to the NARA of a file series.
DLA Component. Any organizational entity of the Defense Logistics Agency such as the DLA
Headquarters’ D/J Codes and Organizational Offices, PLFAs and, DLA Field Activities.
GLOSSARY
81
DLA Functional File System. A system of files based on the major functions by which the
records shall be retrieved. With Program Records or mission-related files, these functions mirror
the office organization and reflect the nature of the work being done there. The DLA uses a
functional file system
Electronic Information System. A system that contains and provides access to computerized
Federal records and other information usually dedicated to a business process and/or specific
function(s).
Electronic Records. Records stored in a form that only a computer can process and satisfies the
definition of a Federal record, also referred to as machine-readable records or automatic data
processing records.
E-mail System. A computer application used to create, receive, and transmit messages, and other
documents. Excluded from this definition are file transfer utilities (software that transmits files
between users but does not retain transmission data), data systems used to collect and process
data that have been organized into data files or databases on either personal computers or
mainframe computers, and word processing documents not transmitted with the message.
Evidential Value. The worth or benefit of a record in documenting the organization’s, functions,
and activities of the Agency creating or receiving them. See historical value.
Federal Records. See record.
File. An accumulation of records or non-record materials arranged according to an approved
plan. Used primarily to reference current records in an office. A unit, such as a folder,
microform, or electronic medium, containing records, non-records, or personal files. In electronic
records, an organized collection of related data, usually arranged into logical records stored
together and treated as a unit. The unit is larger than a data record but smaller than a data system
and is sometimes known as a “data set.” Referred to collectively as “files.”
File Inventory. A survey of agency records used to develop a disposition schedule. Includes a
descriptive listing of each record series of a system, together with an indication of where it is
located and other pertinent data.
File Plan. A list of records maintained by an organization. A file plan may list records series, file
arrangement and organization, specific records, and/or locations of records. DLA file plans list
records by records series number and are filled out on DLA Form 1689.
Finding Aids. Indexes or other lists designed to make it easier to locate relevant files.
For Official Use Only (FOUO). "Unclassified information that may be exempt from mandatory
release to the public under the Freedom of Information Act (FOIA)." The policy is implemented
by DoD Regulation 5400.7-R and DODM 5200.01 Vol 4.
Federal Record Center (FRC). A facility, sometimes specially designed and constructed, for the
low-cost, efficient storage and furnishing of reference service on semi-current records pending
GLOSSARY
82
their ultimate disposition. Generally, this term refers to the FRCs maintained by NARA, but
provisions exist, providing stringent criteria are met, to permit individual Federal agencies to
create their own records centers or to contract this service out to civilian enterprises.
Frozen Records. Those temporary records that cannot be destroyed on schedule because special
circumstances, such as a preservation or court order, require a temporary extension of the
approved retention period.
Government Control. The ability of the originating government agency to regulate access to
documentary materials, especially classified information.
General Record Schedule. A schedule issued by the Archivist of the United States governing the
disposition of specified recurring series common to several or all agencies of the Federal
Government. These series include civilian personnel and payroll records, procurement, budget,
travel, electronic, audiovisual and administrative management records. When records described
in the GRS are used by any Federal agency, their disposition is governed thereby. Exceptions
may be granted only by the Archivist of the United States. The GRS DOES NOT apply to an
agency’s program records. “Program records” are those peculiar to an agency’s mission or not
“common to several or all Agencies of the Federal Government.”
Historical Value. The usefulness of records for historical research concerning the agency of
origin.
Holding Area. Agency space assigned for the temporary storage of active or semi-active records
and for records with relatively short retention periods. Also known as a “staging area.”
Housekeeping Records. Records of an organization that relate to budget, fiscal, personnel,
supply, and similar administrative or support operations normally common to most agencies, as
distinguished from records that relate to an agency’s primary functions. (See GRS.)
Inactive Records. Records that are no longer required in the conduct of current business and
therefore can be transferred to an FRC or destroyed, per approved disposition schedule.
Information System. The organized collection, processing, transmission, and dissemination of
information in accordance with defined procedures, whether automated (EIS) or manual.
Legal Value. The use of records containing evidence of legally enforceable rights or obligations
of Government or private persons.
Life Cycle of Records. The concept that records pass through three stages: creation/receipt,
maintenance and use, and disposition. Records need to be managed properly during all three
phases of the life cycle.
Metadata. Data describing the structure, data elements, interrelationships, and other
characteristics of an electronic record. Usually described as data about the data.
GLOSSARY
83
Microform. Any form containing greatly reduced images, or micro-images, usually on
microfilm. Roll microforms include microfilm on reels, cartridges, and cassettes. Flat
microfilms include microfilm jackets, aperture cards, and micro-cards, or micro-opaque.
National Archives and Records Administration. The independent agency that oversees
management of Federal government records including presidential libraries and historic
collections.
Non-Record Material. U.S. Government-owned documentary materials that do not meet the
conditions of records status or that are specifically excluded from the statutory definition of
records (see Record). An agency’s RM program also needs to include managing non-record
materials. There are two specific categories of materials excluded from the statutory definition of
records:
Library and museum material made or acquired and preserved solely for reference or
exhibition purposes.
Duplicate copies of records preserved only for convenience.
Official Records. See records.
Permanent Records. Records appraised by the Archivist of the United States as having enduring
value because they document the organization and functions of the agency that created or
received them or they contain significant information on persons, things, problems, and
conditions with which the agency deals.
Personal Files (also referred to as personal papers). Documentary materials belonging to an
individual that are not used to conduct agency business. Personal files are excluded from the
definition of Federal records and are not owned by the Government. Personal papers are
required to be filed separately from official records of the office.
Program Records. Records created or received and maintained by an agency in the conduct of the
substantive mission functions (as opposed to administrative or housekeeping functions).
Sometimes called “operational records.”
Reading File. A file containing copies of documents, usually outgoing correspondence only
which is arranged in chronological order --sometimes referred to as a “chron file,” or
“chronological reading file.”
Record Copy. The official, file, or coordination copy created by an action office, complete with
coordination, enclosures, or related background papers that form a complete file or history of that
action. Multiple copies of the same document(s) containing duplicative information may be
considered a record copy within the organization depending on how they are used to conduct
Government business.
Record Group. A body of organizationally related records established by NARA to keep track of
agency records during and after the scheduling process, including those transferred to FRC’s or
the National Archives. The record group for DLA is 361.
GLOSSARY
84
Records. Includes all recorded information, regardless of form or characteristics, made or
received by a Federal agency under Federal law or in connection with the transaction of public
business and preserved or appropriate for preservation by that agency or its legitimate successor
as evidence of the organization, functions, policies, decisions, procedures, operations, or other
activities of the United States Government or because of the informational value of data in them.
Recorded Information Defined.— For purposes of the above paragraph, the term ´recorded´
information includes all traditional forms of records, regardless of physical form or
characteristics, including information created, manipulated, communicated, or stored in digital or
electronic form.
Determination of the Definition.—The Archivist’s determination whether recorded
information, regardless of whether it exists in physical, digital, or electronic form, is a record as
defined in subsection (a) shall be binding on all Federal agencies.
Records Center. See FRC.
Records Center Container. A corrugated cardboard box designed to hold one cubic foot of
records, either legal or letter size, and used chiefly in records centers. These are the only
containers authorized for shipment of DoD records to an FRC.
Records Control Schedule. A listing prepared by each DLA office identifying the records series,
filing arrangement, and ultimate disposition of all files maintained.
Record Series. A group of files or documents maintained together because they relate to a
particular subject, function, result from the same activity, document a specific type of
transaction, take a particular physical form, or have some other relationship arising out of their
creation, receipt, maintenance, or use.
Records Disposition Schedule. Sometimes called a Records Control Schedule, Records Retention
Schedule or a Records Schedule. The administrative document used by DLA to obtain legal
disposal authority for categories of its records. When authorized by the Archivist of the United
States, these schedules grant continuing authority to dispose of identifiable categories of DLA
records that already have accumulated and that will accumulate in the future.
Records Management. The planning, controlling, directing, organizing, training, promoting, and
other managerial activities involved with respect to records creation, records maintenance and
use, and disposition in order to achieve adequate and proper documentation of the policies and
transactions of the Federal Government and effective and economical management of agency
operations.
Records Officer. The person responsible for or engaged in a RM program. Sometimes called
“records manager” or “records administrator.”
Reference Copies. A collection of extra copies of official records on a specific action used for
ready reference.
GLOSSARY
85
Retention Period. The time period that a specific series of records is to be kept. Also called
“retention standard.”
Retirement. The movement of inactive files having a permanent or long-term value to an FRC
for storage, servicing, and ultimate disposition. See transfer.
Screening. The examination of records to apply access restrictions and to determine the presence
of extraneous material (extra copies, classified cover sheets, mail control forms, envelopes,
routing slips (except those with remarks of significant value), blank forms, etc.) before filing,
transfer, or retirement.
Series. File units or documents arranged in accordance with an approved filing system. Also
called “record series.”
Structured Data. Any data that has an enforced composition to the atomic data types. The data is
managed by technology, which allows for querying and reporting. A database is structured data.
Sustainable Format. Means the ability to access an electronic record throughout its life cycle,
regardless of the technology used when it was created. A sustainable format increases the
likelihood of a record being accessible in the future.
System of Records. A group of records under the control of a DoD Component from which
personal information about an individual is retrieved by the name of the individual, or by some
other identifying number, symbol, or other identifying particular assigned, that is unique to the
individual.
Technical Reference Files. Extra copies of articles, periodicals, reports, studies, vendor catalogs,
and similar materials that are needed for reference and information but are properly a part of the
office’s records.
Temporary Records. A record that is eligible for destruction once it has met its retention period.
Temporary records may have retention periods as short as a few months, or longer than a
century.
Transfer. The movement of records out of office space to a depository but not necessarily an
FRC. (See retirement.)
Transfer number. The control number given to any DLA functional element retiring records to an
FRC. This number consists of the Record Group number, fiscal year in which the number was
issued, and a four-digit sequential control number, also referred to as accession number. The
transfer number is the basic reference for any records shipment and must be used when retrieving
papers from any FRC. Transfer numbers are issued by ARCIS and controlled by CROs.
Transitory Record. Records of short-term interest (180 days or less), including in electronic form
(e.g., e-mail messages), which have minimal or no documentary or evidential value. The format
or media of the record does not dictate its record value.
GLOSSARY
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Unscheduled Records. Records whose final disposition has not been approved by the Archivist
of the United States.
Unstructured Data. Any data stored in an unstructured format at the atomic level. Refers to
computerized information which does not have a data structure that is easily readable by a
machine and requires human intervention to make the data machine readable. Examples of
unstructured data are e-mails, spreadsheets, or word processing documents.
Vital Records. Documents essential to the continued functioning or reconstitution of an
organization during and after an emergency and also those documents essential to protecting the
rights and interests of that organization and the individuals directly affected by its activities.
Sometimes called “vital files” or “essential records.” Includes both emergency-operating and
right-and-interests records that are duplicates or extra copies of originals stored off-site.
Web Site. A collection of interconnected web pages consisting of a homepage, images, videos, or
other digital assets that are addressed relative to a common Uniform Resources Locator, often
consisting of only the domain name, or the IP address, and the root path ('/') in an Internet
Protocol-based network. They are generally located on the same server, and prepared and
maintained as a collection of information by a person, group, or organization.
Working Files. Documents such as rough notes, calculations, or drafts assembled or created and
used in the preparation or analysis of other documents. In electronic records, temporary files in
auxiliary storage. May also include non-record material and technical reference files.
