ADMINISTRATIVE INSTRUCTION 15
OSD
RECORDS AND INFORMATION MANAGEMENT PROGRAM
Originating Component: Office of the Director of Administration and Management
Effective: November 27, 2023
Releasability: Cleared for public release. Available on the Directives Division Website
at https://www.esd.whs.mil/DD/.
Reissues and Cancels: Administrative Instruction 15, “OSD Records and Information
Management Program,” May 3, 2013, as amended
Approved by: Regina M. Meiners, Director, Washington Headquarters Services
Purpose: In accordance with the authority in DoD Directive (DoDD) 5110.04 and DoD Instruction
(DoDI) 5025.01, this issuance:
• Implements policy, assigns responsibilities, and provides procedures for the OSD Records and
Information Management (RIM) Program in accordance with the policy in DoDI 5015.02; Chapters 29,
31, and 33 of Title 44, United States Code (U.S.C.); and Subchapter B of Chapter XII of Title 36, Code
of Federal Regulations (CFR).
• Assigns responsibilities and provides administrative procedures regarding the life-cycle management
of records and information program within the OSD Components, OSD RIM Program-serviced Defense
Agencies and DoD Field Activities (DAFAs) and DoD Advisory Committees, referred to collectively in
this issuance as the “Washington Headquarters Services (WHS)-serviced Components.”
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TABLE OF CONTENTS 2
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 4
1.1. Applicability. .................................................................................................................... 4
1.2. Policy. ............................................................................................................................... 4
1.3. Terminology Clarification. ............................................................................................... 5
SECTION 2: RESPONSIBILITIES ......................................................................................................... 6
2.1. Director, WHS. ................................................................................................................. 6
2.2. Director, ESD. ................................................................................................................... 6
2.3. Chief, RDD. ...................................................................................................................... 7
2.4. General Counsel of the Department of Defense (GC DoD). .......................................... 10
2.5. WHS-serviced Component Heads. ................................................................................. 10
SECTION 3: COMPLIANCE WITH RIM MANDATES.......................................................................... 15
3.1. WHS-serviced Component Heads. ................................................................................. 15
3.2. WHS-serviced Component CIOs and IT Service Providers. .......................................... 15
3.3. WHS-serviced Component Acquisition and Procurement Officers. .............................. 16
3.4. WHS-serviced Component RIM Personnel. ................................................................... 17
3.5. WHS-serviced Component Personnel............................................................................. 21
SECTION 4: MANAGEMENT OF OSD RECORDS AND INFORMATION POLICY .................................. 23
4.1. OSD and DoD Policy. ..................................................................................................... 23
4.2. OSD Records. ................................................................................................................. 23
4.3. File Plans. ........................................................................................................................ 24
4.4. Electronic Records, Including Mobile Data.................................................................... 24
SECTION 5: RIM POLICY FOR DOD ADVISORY COMMITTEES ....................................................... 26
5.1. Purpose. ........................................................................................................................... 26
5.2. DoD Advisory Committees............................................................................................. 27
5.3. Managing DoD Advisory Committee Records and Information. ................................... 28
SECTION 6: DISPOSITION OF RECORDS AND INFORMATION POLICY ............................................... 29
6.1. General. ........................................................................................................................... 29
6.2. Purpose of Disposition Schedules. .................................................................................. 29
6.3. Requests to Deviate From or Modify Disposition Schedules. ........................................ 30
SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS .................................................... 31
7.1. General. ........................................................................................................................... 31
7.2. Processing Moratoriums. ................................................................................................ 33
7.3. Responsive Records. ....................................................................................................... 36
SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION................................................... 37
8.1. General. ........................................................................................................................... 37
8.2. Protection of NSI and CUI. ............................................................................................. 37
8.3. Declassification of OSD Records and Information. ....................................................... 37
8.4. De-control of CUI. .......................................................................................................... 38
8.5. Protection of PII and PHI. ............................................................................................... 38
8.6. Privacy Impact Assessments ........................................................................................... 39
8.7. SORN. ............................................................................................................................. 39
SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS AND PROGRAMS ................... 41
9.1. Transfer of Functions and Programs. .............................................................................. 41
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TABLE OF CONTENTS 3
9.2. Transfer of Records to Other External Organizations. ................................................... 42
9.3. Disestablishment or Closure of OSD Functions and Programs. ..................................... 43
SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION ................................................................................................................................ 45
10.1. Non-Records Materials. ................................................................................................ 45
10.2. Processing Requests to Remove Non-Record Copies of OSD Records and Information
from Government Custody. .............................................................................................. 46
10.3. Review of Records Requested. ..................................................................................... 47
10.4. Removal of Non-Record Copies by Political Appointees. ........................................... 48
10.5. Donation of Non-Record Copies and Personal Files. ................................................... 48
10.6. Authorization to Transfer or Remove. .......................................................................... 49
SECTION 11: ELECTRONIC RECORDS MANAGEMENT ..................................................................... 51
11.1. Principles....................................................................................................................... 51
11.2. Maintenance and Retention of Records and Information on OSD Network Share
Drives. ............................................................................................................................... 52
11.3. E-mail and E-message Management. ............................................................................ 52
11.4. FIS. ................................................................................................................................ 53
11.5. Digitizing and Reviewing Records. .............................................................................. 54
SECTION 12: OSD RIM PROGRAM EVALUATION POLICY ............................................................. 55
12.1. General. ......................................................................................................................... 55
12.2. Applicability and Criteria. ............................................................................................ 55
12.3. Internal RIM Evaluations. ............................................................................................. 56
GLOSSARY ..................................................................................................................................... 57
G.1. Acronyms. ...................................................................................................................... 57
G.2. Definitions. ..................................................................................................................... 58
REFERENCES .................................................................................................................................. 72
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SECTION 1: GENERAL ISSUANCE INFORMATION 4
SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY.
This issuance applies to:
a. OSD and the OSD RIM Program-serviced DAFAs.
b. All advisory committees established and utilized by the DoD, including those advisory
committees exempted from Chapter 10 of Title 5, U.S. C. (also known and referred to in this
issuance as the “Federal Advisory Committee Act”).
c. OSD records and information created, received, collected, processed, maintained,
disseminated, disclosed, or disposed of by or for the OSD or OSD RIM Program-serviced
DAFAs, in any medium regardless of form, format, function, classification, or location. This
includes information systems managed by OSD employees, Service members, contractors, and
third parties on behalf of an OSD Component or OSD RIM Program-serviced DAFA.
1.2. POLICY.
In accordance with DoDI 5015.02:
a. And in compliance with Chapter 29 of Title 44, U.S.C., the WHS-serviced Components
will limit the creation of records to those essential for the efficient conduct of official business
and to preserve those of continuing value. All other records will be systematically eliminated.
b. Records will be managed in compliance with Chapters 21, 25, 29, 31, and 33 of Title 44,
U.S.C.; Part 102-193 of Title 41, CFR; and Subchapter B of Chapter XII of Title 36, CFR.
c. The information and intellectual capital contained in DoD records are managed as national
assets. Effective and efficient management of records provides the information foundation for:
(1) Decision making at all levels.
(2) Mission planning and operations.
(3) Personnel and veteran services.
(4) Legal inquiries.
(5) Business continuity.
(6) Preservation of U.S. history.
d. Electronic records are also maintained in accordance with Office of Management and
Budget (OMB) Circular No. A-130. These U.S. Government-wide requirements include:
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SECTION 1: GENERAL ISSUANCE INFORMATION 5
(1) Managing all permanent electronic records electronically to the fullest extent possible
for eventual transfer and accessioning to the National Archives and Records Administration
(NARA) in an electronic format.
(2) Managing all records created via e-mail accounts or e-messaging accounts
electronically and retaining them in appropriate electronic system(s) that support records
management, information management, and litigation requirements, including the capability to
identify, retrieve, and retain the records for as long as legally required.
(3) Ensuring the ability to access, retrieve, and manage electronic records throughout
their life cycle regardless of form or medium.
e. Federal records will be disposed of in a proper and timely manner in accordance with
retention schedules approved by the Archivist of the United States pursuant to Chapter 33 of
Title 44, U.S.C.
f. All personnel creating and receiving records and information within the WHS-serviced
Components will be trained as appropriate regarding their Federal records management
responsibilities.
g. Non-official e-messaging should not be used for the conduct of U.S. Government official
business. If personnel use a non-official e-messaging account, they must:
(1) Copy the message to their official e-messaging account when the record is first
transmitted; or
(2) Forward a complete copy of the record to their official e-messaging account within
20 days of the record’s original creation or transmission pursuant to Section 2911 of Title 44,
U.S.C.
1.3. TERMINOLOGY CLARIFICATION.
Throughout this issuance, the terms “must” and “will” denote a requirement with which
management will comply in all cases. “Should” indicates a presumptively mandatory
requirement except in circumstances where the requirement is not relevant or reason for not
satisfying the requirement can rationally be explained to the involved leadership. “May” or
“could” indicates best practices that may be adopted at the discretion of the involved leadership.
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SECTION 2: RESPONSIBILITIES 6
SECTION 2: RESPONSIBILITIES
2.1. DIRECTOR, WHS.
Under the authority, direction, and control of the Performance Improvement Officer/Director of
Administration and Management (PIO/DA&M), the Director, WHS, designates the Director,
Executive Services Directorate (ESD) to serve as the OSD Senior Agency Official for Records
Management (SAORM).
2.2. DIRECTOR, ESD.
Under the authority, direction, and control of the PIO/DA&M, through the Director, WHS, and
in their capacity as the OSD SAORM, the Director, ESD:
a. Has overall responsibility for the OSD RIM Program within the WHS-serviced
Components in accordance with Chapters 31 and 33 of Title 44, U.S.C.; Part 102-193 of Title 41,
CFR; Subchapter B of Chapter XII of Title 36, CFR; OMB Circular No. A-130; and
OMB/NARA Memorandums M-19-21 and M-23-07.
b. Cooperates with NARA in:
(1) Developing and applying standards, procedures, and techniques designed to improve
the management of records and information.
(2) Ensuring the maintenance, accessibility, and security of records of continuing value
as defined in the NARA Guide to the Inventory, Scheduling, and Disposition of Federal Records.
(3) Facilitating the identification, segregation, and disposal of all records of temporary
value and non-record information.
c. Designates the Chief, Records and Declassification Division (RDD) as the Federal
Records Officer for the WHS-serviced Components.
d. Advocates for the OSD RIM Program, ensuring the WHS-serviced Components are
documenting their activities and decisions.
e. Coordinates with the DoD Chief Information Officer (CIO) in their capacity as the DoD
SAORM, as well as the DoD Component SAORMs (as necessary) on DoD-wide or other
interdepartmental RIM policies or issues pertaining to information technology (IT) and
electronic records, in accordance with OMB Circular No. A-130 and DoDI 5015.02.
f. Advocates for RIM as an integral component of information governance and information
resource management.
g. Ensures the OSD RIM Program is adequately resourced to conduct its overall
responsibilities including:
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(1) Coordinating with related programs such as the DoD Risk Management Framework
Program, legal and electronic discovery, information collections, privacy, and the DoD Freedom
of Information Act Program, in accordance with OMB Circular No. A-130.
(2) Establishing internal policies regarding program objectives, responsibilities, and
authorities for the creation, maintenance, and disposition of agency records.
(3) Overseeing OSD’s transition to digital government, in accordance with OMB/NARA
Memorandums M-19-21 and M-23-07, OMB Circular No. A-130, and NARA bulletins.
(4) Submitting reports to NARA supporting records management inspections and other
oversight activities.
(5) Informing and training WHS-serviced Component personnel on their records
management responsibilities in accordance with NARA regulations and guidance.
h. Consults with the WHS-serviced Component CIOs, data officers, and senior Component
officials for privacy concerning information systems and components that cannot be
appropriately protected or secured. Ensures that such systems are given a high priority for
upgrade, replacement, or retirement.
i. Ensures the WHS-serviced Components’ records and information are treated as
information resources and national assets, in accordance with OMB Circular No. A-130 and
DoDI 5015.02, respectively.
j. Ensures the WHS-serviced Components’ ability to control disclosure of official
information, including assertion of privileges against disclosure, is not impaired through
unauthorized removal of non-record information.
2.3. CHIEF, RDD.
Under the authority, direction, and control of the PIO/DA&M, through the Director, WHS, via
the Director, ESD, and in their capacity as the OSD Records Administrator, the Chief, RDD:
a. Directs, administers, and oversees the OSD RIM Program.
b. Serves as the Federal Records Officer for the WHS-serviced Components, in accordance
with:
(1) Chapters 31 and 33 of Title 44, U.S.C.
(2) Parts 1220 through 1239 of Title 36, CFR.
(3) Part 102-193 of Title 41, CFR.
(4) The Federal Advisory Committee Act.
(5) OMB Circular No. A-130.
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(6) DoDI 5015.02.
(7) DoD Manual (DoDM) 5230.30.
(8) DoDI 8170.01.
(9) Administrative Instruction 50.
c. Oversees the implementation of this issuance as the Federal Records Officer for the WHS-
serviced Components.
d. Advises the OSD SAORM on records management issues that could have broad
implications across OSD, DoD, or between DoD Components and other government agencies.
e. Acts as the liaison official with NARA, other government agencies, private industry, and
private citizens on RIM matters involving the WHS-serviced Components.
f. In accordance with Parts 1220 through 1239 of Title 36, CFR; Part 102-193 of Title 41,
CFR; and Executive Order (E.O.) 13526, institutes and oversees a records management
evaluation program to:
(1) Ensure the WHS-serviced Components’ compliance with this issuance and the OSD
Records and Information Management Program Primer (also known and referred to in this
issuance as the “OSD Primer”).
(2) Provide for improvements and changes to existing procedures and records schedules
to reflect current mission and the WHS-serviced Components’ requirements.
(3) Coordinate with the Secretaries of the Military Departments and Chairman of the
Joint Chiefs of Staff on the development and submission of OSD and DoD-wide records
disposition schedules (RDSs) as appropriate.
g. Directs, administers, and provides oversight of the OSD RIM Program by ensuring the
WHS-serviced Components:
(1) Maintain accurate and complete documentation of Federal Government policies and
transactions.
(2) Implement a systematic process for the preservation and disposal of records.
(3) Ensure personnel (whether civilian, military, contractors, or volunteers) do not
remove records and copies of government–owned non-record information (hard copy or
electronic) from government custody that are not cleared for public use. See the OSD Primer
and Section 10 of this issuance for additional guidance on RIM policies and procedures for
removal of OSD records and information.
(4) Serve as the approval authority for the release and component to component of non-
record copies of OSD records and information for all OSD Presidential appointees (PAs),
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Presidentially appointed, Senate-confirmed (PAS) individuals, and senior officials designated as
CAPSTONE officials in accordance with Part 1222.24(a)(6) of Title 36, CFR, and NARA
General Records Schedule (GRS) 6.1.
(5) Initiate controls to protect DoD records and information from unauthorized
disclosure, including DoD assertion of privilege, spillage, or personally identifiable information
(PII) breaches.
(6) Provide guidance to their program offices on the creation, organization, maintenance,
use, and disposition of records and information they produce and receive.
(7) Ensure positive control over the organization, maintenance, use, designation, and
disposition of records and information, regardless of media (hard copy, electronic, audiovisual,
etc.).
(8) Coordinate with the OSD CIO and WHS-serviced Components CIOs or IT service
providers to ensure the implementation of capabilities to access, retrieve, and manage records
throughout their lifecycle, regardless of format or medium.
(9) Report to the Archivist of the United States any actual, impending, or threatened
unlawful removal, alteration, or destruction of Federal records.
h. Advises the WHS-serviced Components’ RIM personnel, IT service providers,
information system owners, and program managers on records management requirements and
functionality when creating new or updating existing records, as well as Federal information
systems (FISs), to ensure:
(1) The systems adequately document, secure, and access electronic records.
(2) Disposition instructions are established and implemented.
i. Develops and applies standards, procedures, and techniques for:
(1) Improving records management.
(2) Ensuring the maintenance and timely retirement of records of continuing value.
(3) Facilitating the segregation and disposal of all records of temporary value.
j. Provides WHS-serviced Component personnel with basic and content specific RIM
training, in accordance with Chapters 31 and 33 of Title 44, U.S.C.; Parts 1220 through 1239 of
Title 36, CFR; and NARA Bulletin 2017-01.
k. Advises and assists the WHS-serviced Components with the identification, segregation,
retention, and disposition of all records, including personal files, in accordance with Chapters 31
and 33 of Title 44, U.S.C. and Subchapter B of Chapter XII of Title 36, CFR.
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l. Coordinates, controls, and supervises access to OSD records essential for historical
research, following appropriate safeguards for information security and personal privacy, in
accordance with OMB Circular No. A-130, DoDM 5400.07, and DoD 5400.11-R.
m. Establishes and obtains the approval of the Archivist of the United States for RDSs by:
(1) Coordinating the review of the OSD RDS with the WHS-serviced Components to
ensure program, functional, and mission offices are identifying new subject matter or updating
and maintaining existing file numbers to reflect current business needs.
(2) Maintaining the OSD RDS at https://www.esd.whs.mil/RIM as NARA approves new
or revised disposition schedules applicable to the WHS-serviced Components or revises the GRS
citations.
n. Manages the transfer and retrieval of the WHS-serviced Components records and
information to the Federal records centers (FRCs) and accessions permanent records to the U.S.
National Archives.
o. Maintains a record of all current suspension actions to normal disposition instructions
such as records holds, freezes, moratoriums, litigation holds, or preservation notices.
2.4. GENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE (GC DOD).
The GC DoD will provide legal direction as needed to the WHS-serviced Components with
regards to:
a. Compliance with legal and regulatory requirements applicable to RIM activities.
b. Issuing and processing moratoriums such as litigation holds or preservation notices;
removal of personal and non-record copies of OSD records and information; and electronic
records management as described in this issuance.
2.5. WHS-SERVICED COMPONENT HEADS.
The WHS-serviced Component heads:
a. Establish and sufficiently resource a RIM program within their program offices in
accordance with Chapters 31 and 33 of Title 44, U.S.C.; Parts 1220 through 1239 of Title 36,
CFR; and Part 102–193 of Title 41, CFR.
b. Use standards, procedures, and techniques to ensure the most economical, efficient, and
reliable means for creation, retrieval, maintenance, preservation, and disposition of their records,
regardless of media.
c. Institute measures to ensure that records of continuing value are preserved and inactive
records receive appropriate disposition in accordance with the OSD RDS.
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d. Identify appropriate officials responsible for implementing mandatory regulatory RIM
compliance requirements as identified in Section 3 of this issuance.
e. Appoint personnel to serve in accountable records management roles within their
components, divisions, and offices as follows:
(1) OSD Component heads will appoint a Component records management officer
(CRMO); OSD RIM Program-serviced DAFA directors will appoint a DAFA records manager
(RM); and DoD Advisory Committee heads will appoint a DoD Advisory Committee RM.
These appointed individuals are referred to collectively in this issuance as the “WHS-serviced
Component CRMOs and RMs.”
(2) Appointments will be made in writing and a copy furnished to the OSD Records
Administrator. Appointment memorandums are updated upon the departure or change of the
individual(s).
(3) WHS-serviced Component CRMOs and RMs:
(a) Are responsible for coordinating and overseeing the implementation of the
records management requirements throughout their WHS-serviced Component and serve as the
accountable records custodian (RC) within their organization.
(b) Serve as their WHS-serviced Component’s primary point of contact for the OSD
RIM Program and the OSD Records Administrator.
(c) Maintain a list of personnel appointed to their reporting components, divisions,
and offices in accordance with Paragraph 2.5.e.(4).
(d) Coordinate with training coordinators to ensure all OSD employees, Service
members, and contract personnel assigned to their Component complete basic records
management training annually to maintain compliance with Chapters 31 and 33 of Title 44,
U.S.C.; Parts 1220 through 1239 of Title 36, CFR; Part 102–193 of Title 41 CFR;
DoDI 5015.02; and this issuance.
(4) All WHS-serviced Components’ reporting components, divisions, and offices will
appoint RMs, records liaisons (RLs), or RCs to oversee their implementation and maintenance of
the RIM Program.
(a) WHS-serviced Components’ reporting components, directorates, and divisions
levels will each assign an RM.
(b) WHS-serviced Components’ program, function, or mission offices will assign
RLs or RCs.
f. Implement records management functions and retention and disposition requirements into
information life-cycle processes and stages. This includes the design, development,
implementation, and decommissioning of FISs, to include storage solutions and cloud-based
services such as software as a service, platform as a service, and infrastructure as a service. (See
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SECTION 2: RESPONSIBILITIES 12
Section 6 of the OSD Primer for records management functions and retention and disposition
requirements).
g. Maintain OSD records and information posted to commercial and government-owned
social networking sites (SNSs) or web 2.0 technology in accordance with Title 36, CFR, and the
OSD RDS. Bring to the attention of the OSD Records Administrator any records and
information created or received during the conduct of business and maintained in these systems
that do not have an approved records disposition identified in the OSD RDS.
h. Plan and budget for the migration of records and their associated metadata maintained in
FISs or database to new storage media or persistent formats to avoid loss of record data due to
media decay or outdated technology.
i. Protect records and information against unauthorized removal or loss, and ensure all
personnel are informed of their records management responsibilities in accordance with Section
3106 of Title 44, U.S.C.; Part 1230 of Title 36, CFR; and DoDI 5015.02. See Section 5 of the
OSD Primer for unauthorized disposition reporting procedures.
j. Manage electronic records in accordance with NARA and DoD-wide requirements. This
includes:
(1) Managing all permanent records electronically to the fullest extent possible for
eventual transfer to and accessioning by NARA in an electronic format, in accordance with
OMB/NARA Memorandums M-19-21 and M-23-07.
(2) Managing all e-mail and e-message records electronically and retaining them in an
appropriate electronic system(s) that supports records management and litigation requirements,
including the capability to identify, retrieve, and retain the records for as long as they are needed.
(3) Maintaining an inventory of all information systems the WHS-serviced Component
has developed or acquired to support its programmatic responsibilities to meet the requirements
of Section 3505(c) of Title 44, U.S.C., and Part 1236.26 of Title 36, CFR.
(4) Identifying the appropriate RDS when requesting the approval of DoD information
collections in accordance with DoDM 8910.01.
k. In accordance with Section 552a of Title 5, U.S.C., also known and referred to in this
issuance as the “Privacy Act of 1974”; OMB Circular No. A-130; DoD 5400.11-R; and
DoDI 8510.01, ensure FISs containing PII are:
(1) Implementing appropriate privacy safeguards, including storage solutions and cloud-
based services such as software as a service, platform as a service, and infrastructure as a service.
(2) Retained in accordance with the OSD RDS. See Paragraph 11.4. of this issuance and
Section 8 of the OSD Primer for guidance on implementing appropriate privacy safeguards into
OSD records and information.
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SECTION 2: RESPONSIBILITIES 13
l. Ensure that WHS-serviced Component functions, programs, and organizations identify and
preserve essential documents and record information needed for continuity of operations in
accordance with DoDD 3020.26 and Annex F of Federal Emergency Management Agency’s
Federal Continuity Directive 1.
m. Maintain and dispose of classified records and information in accordance with the
applicable OSD RDS.
n. Annually remind and caution all employees:
(1) Not to transfer, destroy, remove, or release records in their custody, including e-mail
and e-messages, except as allowed pursuant to:
(a) This issuance.
(b) The OSD RDS.
(c) The Privacy Act of 1974, as amended.
(d) OMB Circular No. A-130.
(e) DoD 5400.11-R.
(f) The Federal Advisory Committee Act.
(g) E.O. 13526.
(h) Section 3106 of Title 44, U.S.C.
(i) Part 1230 of Title 36, CFR.
(j) DoDD 5400.07.
(k) DoDM 5400.07.
(2) To report to the OSD Records Administrator any actual, impending, or threatened
unlawful removal, alteration, or destruction of Federal records.
(3) To manage their personal files in accordance with Part 1222.18 of Title 36, CFR, the
Privacy Act of 1974, and Section 8 of this issuance.
o. Serve as the approval authority for the release, Component to Component, of non-record
copies of OSD records and information for all non-CAPSTONE officials in accordance with
Part 1222.24(a)(6) of Title 36, CFR (see Section 10 of this issuance for additional guidance).
Ensure the documentation created and received by employees, Service members, and contract
personnel departing or transferring from a WHS-serviced Component are preserved in
appropriate locations or transferred to appropriate RIM personnel. WHS-serviced Components
must use one of the following to report record accountability:
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(1) Secretary of Defense (SD) Form 821, “Separating Personnel Records Accountability
Checklist –Senior Officials Of OSD, The OSD Components, Defense Agencies and DoD Field
Activities.”
(2) SD Form 822, “Separating Personnel Records Accountability Checklist – OSD
Employees and Contractors.”
(3) SD Form 833, “Departing Employee Checklist Transfer of Records Between
DoD/OSD Components.”
(4) Other WHS-serviced Component approved forms to document that records have been
preserved.
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15
SECTION 3: COMPLIANCE WITH RIM MANDATES
3.1. WHS-SERVICED COMPONENT HEADS.
The WHS-serviced Component heads will ensure the implementation of the mandatory
regulatory compliance requirements as detailed in this section within their OSD Component,
DAFA, or DoD Advisory Committee.
3.2. WHS-SERVICED COMPONENT CIOS AND IT SERVICE PROVIDERS.
Pursuant to Part 1222.24 of Title 36, CFR, and Chapter 35 of Title 44, U.S.C., the WHS-serviced
Component CIOs and IT service providers:
a. In coordination with security managers and program managers, provide technical advice,
assistance, and access controls to the head of their organization and the OSD RIM Program to
support the inclusion of electronic records management functions into the design, development,
enhancement, and implementation of FISs in accordance with Parts 1220 through 1239 of
Title 36, CFR, and the OSD RDS.
b. Assist in the transfer of permanent electronic records to NARA in accordance with
Parts 1220 through 1239 of Title 36, CFR, and the OSD RDS.
c. In accordance with OMB Circular No. A-130:
(1) Coordinate with the OSD SAORM, the OSD Records Administrator, the senior
agency officials for privacy, and the appropriate WHS-serviced Component program manager
when information systems and components’ records, information, and data cannot be
appropriately protected or secured.
(2) Ensure that such systems are given a high priority for upgrade, replacement, or
retirement.
d. Protect OSD records, information, and information systems from unauthorized access,
use, disclosure, disruption, modification, or destruction to provide for their confidentiality,
integrity, and availability. Provide information on how shared drives are managed at the back
end and accessed on a case-by-case basis. See the OSD Primer for unauthorized disposition
reporting procedures.
e. Implement capabilities required to provide integrated network operations to enable
information access by any user across network and security domains. Network operations
include processes and mechanisms for enterprise management, content management (which
includes records management), and network defense pursuant to the DoD Architecture
Framework.
f. Serve as the cognizant authority for all Federal-level IT and information management
compliance and reporting pertaining to OSD enterprise IT efforts including, but not limited to,
SECTION 3: COMPLIANCE WITH RIM MANDATES
AI 15, November 27, 2023
16
responsibilities outlined in Chapters 31, 33, and 35 of Title 44, U.S.C., and Subtitle III of
Title 40, U.S.C. (also known as the “Clinger-Cohen Act of 1996”).
g. Implement and enforce applicable policies and procedures, including requirements for
archiving information maintained in persistent formats (including within cloud platforms),
particularly in the planning, design, and operation of information systems, in accordance with
Chapter 35 of Title 44, U.S.C. As part of the capital planning and systems development life-
cycle process, ensure DoD employees:
(1) Prepare information system inventories required for records management in
accordance with Chapters 21, 29, 31, 33, and 35 of Title 44, U.S.C.
(2) Plan and implement in the system records management controls, in accordance with
Chapters 21, 29, 31, 33, and 35 of Title 44, U.S.C., and Part 1236 of Title 36, CFR.
(3) Ensure all records in the system will be retrievable and usable for as long as needed
to conduct DoD business and in accordance with the OSD RDS, whereupon they will be
destroyed (temporary records) or transferred to NARA (permanent records). Where the records
will need to be retained beyond the planned life of an FIS, WHS-serviced Component heads and
their CIOs or IT service providers must plan and budget for the migration of records and their
associated metadata to new storage media or persistent formats to avoid loss due to media decay
or outdated technology.
3.3. WHS-SERVICED COMPONENT ACQUISITION AND PROCUREMENT
OFFICERS.
In accordance with Part 1222.32(a)(2) of Title 36, CFR, and Parts 201 to 253 of Title 48, CFR,
WHS-serviced Component acquisition and procurement officers will ensure the following
records management requirements are included in contracts for services and products. These
include, but are not limited to:
a. Records creation, retention, management, and disposition.
b. Privacy and security for protected health information (PHI), electronic protected health
information (ePHI), PII, controlled unclassified information (CUI), and other classes of protected
records and information.
c. The protection of intellectual property and national security information (NSI).
d. The preservation of records and information relevant to litigation or government
proceedings.
e. Ensuring records retention, controls, and clauses are written to contract vehicles and
vendors are complying with all applicable records management laws and regulations in
accordance with Chapters 29 and 31 of Title 44, U.S.C.; Public Law 113-187; Parts 1220
through 1239 of Title 36, CFR; DoDI 5015.02; E.O. 13526 (for classified records); Volumes 1
through 3 of DoDM 5200.01; DoDI 5200.48; and this issuance.
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SECTION 3: COMPLIANCE WITH RIM MANDATES 17
f. In all contract vehicles, direct that contractor personnel supporting their program offices
are to:
(1) Maintain records and information created and received during their day-to-day
responsibilities. Ensure that each record set is complete, and that sections or related papers are
retained or accounted for in both hard copy and electronic filing systems in accordance with the
OSD RDS.
(2) Maintain e-mail, e-messages, and attachments that document work-related activities
in accordance with the OSD RDS.
(3) Maintain personal files, non-record material, and contractor work-related records and
information separately from U.S. Government records.
(4) Implement the policies and procedures in E.O. 13526, DoDI 5200.48, Volume 3 of
DoDM 5200.01, DoDM 5230.30, the OSD RDS, and the OSD Primer.
(5) Comply with the procedures in the OSD Primer and Sections 8 and 10 of this
issuance when personnel are requesting to remove personal files.
3.4. WHS-SERVICED COMPONENT RIM PERSONNEL.
In accordance with Parts 1220.34(d) and 1222.24(a)(7) of Title 36, CFR, WHS-serviced
Component RIM personnel:
a. Complete the OSD Records Administrator-sponsored records management training within
3 months of their appointment. RIM personnel should also consider attending training at
professional RIM organizations and using RIM resources available on NARA’s website at
https://www.archives.gov.
b. Assist DoD employees with the identification, maintenance, and retention of all OSD
records, including those containing NSI, CUI, and PII, in accordance with the OSD Primer.
c. Develop and implement standard operating procedures documenting internal RIM roles
and responsibilities specific to the WHS-serviced Component.
d. Brief incoming personnel (including Service members and contractors) concerning their
duties and responsibilities when creating and maintaining OSD records and information. RIM
personnel are required to document briefings of incoming personnel via memorandum for the
record or the OSD Records Management Briefing acknowledgement memo. Briefing slides and
memorandum are available on the OSD RIM program SharePoint portal.
e. Brief departing personnel (including Service members and contractors) concerning their
responsibility to surrender all agency records to the appropriate personnel, including e-mail and
e-messages related to ongoing projects. RIM personnel are required to document briefings of
departing personnel via the SD Form 821 or SD Form 822. Briefing slides and memorandum are
available on the OSD RIM program SharePoint portal.
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SECTION 3: COMPLIANCE WITH RIM MANDATES 18
f. Ensure each reporting office within their WHS-serviced Component has an office file
plan. Annually review and approve the file plan for each office within their Component to
ensure that records are accurately identified.
(1) RLs and RCs will prepare and submit file plans to their WHS-serviced Component
CRMO or RM for approval. See Section 4 of the OSD Primer for additional guidance.
(2) When direct oversight is geographically or functionally impractical, the CRMO or
DAFA RM may delegate approval of file plans to designated directorate or division RMs, RLs,
and RCs within program offices.
g. Conduct records searches; implement moratoriums such as litigation holds, preservation
notices, or court orders; and ensure component offices are aware of their responsibilities to
safeguard records and information identified in existing moratoriums. See Section 7 of this
issuance for additional guidance.
h. Assist their WHS-serviced Component with the application of disposition procedures, to
include the destruction and retirement of their records.
i. Notify the OSD Records Administrator of any unauthorized destruction, damage,
alienation, or removal of official records. See Section 5 of the OSD Primer for unauthorized
disposition reporting procedures.
j. Ensure reporting components and offices are maintaining all records related to North
Atlantic Treaty Organization (NATO) COSMIC and ATOMAL marked records on loan from
their control points.
k. Receive and process requests to remove non-record copies submitted for approval by
employees, Service members, or CAPSTONE officials.
(1) Coordinate these requests with office of primary responsibility and component
security managers.
(2) Notify the OSD Records Administrator when CAPSTONE officials request to
remove non-record copies of DoD records and information.
(3) Ensure DoD employee requests to remove non-record copies of records and
information are documented using SD Form 821 or SD Form 822, as appropriate.
(4) Assist DoD employees with interagency requests to transfer e-mail or e-messaging
accounts or other DoD records and information, ensuring they are documented and approved
using SD Form 833.
l. Ensure the proper maintenance of records and non-record information generated by their
program offices by reminding DoD employees, Service members, and contractors of the
following:
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19
(1) Do not mix personal and non-records materials with Federal records, including e-
mail, e-messages, and DoD official SNS accounts.
(2) Dispose of records and information in accordance with the OSD RDS.
(3) Avoid the use of personal e-mail or e-messaging accounts, unauthorized internet
applications, or SNSs to conduct official agency business, except when authorized by
DoD 5500.07-R.
(4) Be responsible for the custody, maintenance, retirement, and disposition of current
records and FIS created and maintained under office cognizance.
(5) Manage visual information pursuant to DoDI 5040.07 and the OSD RDS.
m. Coordinate with WHS-serviced Component training coordinators to ensure all employees
and onsite contractors complete the OSD Annual Basic Records Management Training to
maintain compliance with DoDI 5015.02 and this issuance.
n. Conduct internal evaluations of their reporting office(s) records management programs at
least every 2 years or upon major reorganization to ensure compliance with this issuance.
(1) RIM personnel can use SD Form 823, “Division/Branch/Office Standardized
Recordkeeping Checklist,” or WHS Form 17, “OSD Records and Information Management
(RIM) Pre-Evaluation,” to assist.
(2) Evaluations must be documented in writing and include findings and
recommendations. Documentation of RIM evaluations will be maintained by the WHS-serviced
Component’s RIM personnel.
o. Coordinate with program managers and officers on the development of records schedules
for FIS. See Section 5 of the OSD Primer for procedural guidance on the development of
records schedules.
p. Coordinate with component privacy officers on the identification of applicable file
numbers for system of records notices (SORNs), privacy impact assessments (PIAs), or on the
development of records schedules for submission to the OSD Records Administrator.
q. Ensure RIM procedures for the maintenance of component records are included in the
development of standard operating procedures, internal issuances, and instructions that document
business processes or procedures. At a minimum, these instructions will identify:
(1) Offices and program(s) for which the component is responsible.
(2) Whether office and/or program(s) files are maintained in a central or decentralized
records file scheme.
(3) Records maintained to provide evidence of conformity, implementation of
programmatic responsibilities, operations, oversight, and execution of policy, regulations, and
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AI 15, November 27, 2023
SECTION 3: COMPLIANCE WITH RIM MANDATES 20
other business activities. For example, “supervisors’ personnel files” include but are not limited
to:
(a) Positions.
(b) Authorizations.
(c) Pending actions.
(d) Position descriptions.
(e) Training records.
(f) Individual development plans.
(g) Telework agreements.
(h) Award recommendations.
(i) Records on individual employees not duplicated in or not appropriate for the
official personnel file.
(4) Responsibilities of DoD employees and contractors for maintaining complete, legible
records and information that document work activities. For example, a contracting officer file
may include but is not limited to:
(a) Metrics.
(b) Memorandums.
(c) Meeting minutes.
(d) Corrective and preventive actions.
(e) Complaints and feedback.
(f) Modifications.
(g) Audit and assessment results.
(h) Document change requests.
(i) Standard operating procedures.
(j) Training records.
(k) Purchasing records related to government-funded equipment.
(5) Formats and location of records.
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SECTION 3: COMPLIANCE WITH RIM MANDATES 21
(a) How and where the records are maintained.
(b) Whether the records in hard copy or electronic format. If electronic, identify
location such as network share drives or FISs. This includes FISs maintained at contractor sites
or facilities.
(6) Identification of applicable records disposition authorities for all records described
within standard operating procedures, internal issuances, and instructions, regardless of format or
classification.
r. Have documented procedures, approved by WHS-serviced Component head or delegated
authority, to enable the migration of records and associated metadata to new storage media or
persistent formats so that records are retrievable and usable if needed to conduct agency business
and to meet NARA-approved dispositions.
s. Ensure OSD CAPSTONE officials are managing their records in accordance with NARA
disposition authority N1-330-11-010 (File Number 212-01). See Section 4 of the OSD Primer
for additional guidance.
(1) CAPSTONE officials’ titles may vary across WHS-serviced Components and
include, but are not limited to, the Secretary of Defense, Deputy Secretary of Defense, Principal
Staff Assistants, Assistant Secretaries of Defense, and OSD RIM Program-serviced DAFA
directors. See Section 4 of the OSD Primer for information about records of CAPSTONE
officials.
(2) All RIM personnel will review and update their WHS-serviced Component
CAPSTONE list upon arrival of new official(s) or annually, whichever is sooner, using the OSD
RIM SharePoint site.
3.5. WHS-SERVICED COMPONENT PERSONNEL.
a. In accordance with Parts 1220.34(d) and 1222.24(a)(7) of Title 36, CFR, DoD employees
and contractors of WHS-serviced Components will:
(1) Maintain records and information created and received during their day-to-day
responsibilities. Ensure that each record set is complete and that enclosures, attachments,
working files, documents, and related information (including audio and video records) are
retained or accounted for in either a hard copy or electronic filing systems in accordance with
this issuance and the OSD RDS.
(2) Preserve e-mail, e-messages, and attachments documenting work-related activities in
accordance with the OSD RDS.
(3) Maintain files and filing materials, regardless of format, regularly and carefully in a
manner that allows them to be safely stored and efficiently retrieved when necessary.
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SECTION 3: COMPLIANCE WITH RIM MANDATES 22
(4) Ensure personal files and non-record material are maintained separately from work-
related records and information.
(5) Implement records management instructions issued by the OSD Records
Administrator and WHS-serviced Component CRMOs and RMs, including guidelines on records
creation and procedures for capturing records and information.
(6) Follow the procedures in Section 9 of this issuance for the processing of non-record
material.
(7) Document the substance of meetings and conversations where decisions are made,
issues are resolved, or policy is established.
(8) Complete records management training within 60 days of employment and must
complete annual refresher training pursuant to Section 1220.34 of Title 36, CFR, and NARA
Bulletin 2017-01.
(9) Avoid the use of personal e-mail, personal e-messaging, and non-official accounts
(including SNS) to conduct official agency business, except when authorized by
DoD 5500.07- R.
b. Pursuant to Section 2911 of Title 44, U.S.C., OSD employees, contractors, and Service
members will not create or send work-related records and information using a non-official e-
messaging or social media accounts unless such officer or employee:
(1) Copies their official e-messaging account in the original creation or transmission of
the record.
(2) Forwards a complete copy of the record to an official e-messaging account of the
officer or employee no later than 20 days after the original creation or transmission of the record.
(a) Individuals must forward or copy complete messages to their official e-messaging
accounts.
(b) Coordinate with their IT service providers to ensure all records created on mobile
devices are transferred to appropriate locations for storage or preservation. For archival
purposes, actions such as screenshots, screen capture, and image capture do not provide an
adequate documentation to the complete message.
(3) Exceptions to Section 2911 of Title 44, U.S.C, must be approved by the WHS-
serviced Component head and meet all these conditions in accordance with DoDI 8170.01:
(a) Emergencies and other critical mission needs.
(b) When official communication capabilities are unavailable, impractical, or
unreliable.
(c) It is in the interest of DoD or other U.S. Government missions.
AI 15, November 27, 2023
SECTION 4: MANAGEMENT OF OSD RECORDS AND INFORMATION POLICY 23
SECTION 4: MANAGEMENT OF OSD RECORDS AND INFORMATION
POLICY
4.1. OSD AND DOD POLICY.
In accordance with the DoD Data Strategy, it is OSD and DoD policy that the records and
information created and received by OSD employees, contractors, and Service members are vital
to mission success. Managing information as a resource is as important as managing any other
vital resource.
a. Federal law, legislation, and DoD and OSD issuances require organizations to maintain
many different types of records. For example, an OSD Component or WHS-serviced
Component responsible for testing a weapons system can have volumes of records, including
personnel training folders, official office correspondence, policy letters, awards, messages,
reports, forms, publications, plans, budgets, orders, and contractual correspondence.
b. Every official action taken in OSD results in the creation of some type of record. Whether
received using e-mail or e-message, analyzed and summarized in a report, or aggregated in an
information system, the record created or received has a value. WHS-serviced Component
employees and contractors have a duty to:
(1) Capture what is needed to explain transactions, processes, functions, business
elements, etc., from start to finish.
(2) Capture information that provides evidence for accountability as to how the WHS-
serviced Component operated.
(3) Ensure the integrity of records and information created and received by assuring the
data:
(a) Has not been changed subsequently.
(b) Remains accurate and free from error or defect.
(c) Is consistent and uniform over its lifecycle.
(4) Certify authenticity of OSD records and information, ensuring they are an accurate
account of an activity, transaction, or decision.
4.2. OSD RECORDS.
The maintenance of OSD records and information depends on establishing continuous and
systematic control over the creation, maintenance, use, and disposition of agency records and
information, in accordance with Chapters 31 and 33 of Title 44, U.S.C., and Subchapter B of
Chapter XII of Title 36, CFR.
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SECTION 4: MANAGEMENT OF OSD RECORDS AND INFORMATION POLICY 24
a. The establishment and maintenance of proper filing, guide cards, and filing materials help
keep the files orderly and effectively manage information. This aids in retrieving the files,
charging them out, and transferring or destroying inactive files in accordance with approved
disposition schedules, regardless of media and format.
b. Procedural guidance on the maintenance of OSD records and information is captured in
Sections 4, 5, and 6 of the OSD Primer.
4.3. FILE PLANS.
Subpart B of Part 1222 of Title 36, CFR, requires all Federal agencies to provide for adequate
documentation of agency business. To meet this requirement, all program offices, divisions, and
directorates for the WHS-serviced Components will establish and maintain a file plan that:
a. Will be reviewed and approved by their CRMO, DAFA RM, or DoD Advisory Committee
RM annually to ensure compliance, consistency, and accuracy.
b. Meets the minimum requirements outlined in Paragraph 4.6. of the OSD Primer.
c. Identifies all records and information created and received by the WHS-serviced
Components’ program offices, divisions, and directorates.
4.4. ELECTRONIC RECORDS, INCLUDING MOBILE DATA.
a. DoD employees are responsible for complying with Part 1236 of Title 36, CFR, DoDI
5015.02, DoDM 8180.01, and this issuance regarding the management of records created or
received in electronic formats, FIS or via social media, electronic messaging applications,
including text messages, e-messaging accounts, messaging services provided on mobile devices,
third-party applications, encrypted communications, messaging applications, and direct messages
on social media platforms.
(1) Regardless of whether a mobile device is provided by a DoD IT service provider or
privately owned, text messages and other information created on that device are considered
records when relating to the conduct of government business. Accordingly, these messages and
information must be preserved in accordance with Federal law and DoD policy.
(2) To the fullest extent possible DoD employees should not store records on mobile
devices. WHS-serviced Component civilians and Service members will coordinate with their IT
service providers to ensure all records created on mobile devices are transferred to appropriate
locations for storage or preservation no later than 20 days after the creation or transmission of the
record.
(3) IT service providers for the WHS-serviced Components will establish a mechanism
with the capability to process and transfer records created via email, text, and social media to
appropriate locations for preservation, retention, and disposition.
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SECTION 4: MANAGEMENT OF OSD RECORDS AND INFORMATION POLICY 25
(4) Records created via a text message or an e-messaging account of a CAPSTONE
official will be retained in accordance with the current version of the OSD CAPSTONE
disposition schedule and Part 1236 of Title 36, CFR. Accounts of Non-CAPSTONE officials
will be retained pursuant to GRS 5.2. Item 010. Such records are normally required for only a
short time (generally less than 180 days) and are not required to meet legal or fiscal obligations
or to initiate, sustain, evaluate, or provide evidence of decision-making.
b. See the OSD Primer and Section 11 of this issuance for additional guidance on
maintenance and retention of electronic records.
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SECTION 5: RIM POLICY FOR DOD ADVISORY COMMITTEES 26
SECTION 5: RIM POLICY FOR DOD ADVISORY COMMITTEES
5.1. PURPOSE.
a. Generally, advisory committees are a collection of individuals from DoD Components,
non-DoD Federal agencies, or public, private, or commercial entities who bring unique
knowledge and skills that augment the knowledge and skills of a DoD Component or program
office, make recommendations, or provide key information and materials. DoD Advisory
Committees do not perform inherently governmental functions such as deciding DoD policy or
implementing DoD policy.
b. DoD Advisory Committees may:
(1) Evaluate the performance of and review, monitor, and assess a specific program(s).
(2) Serve as an advocate for an identified subject, function, the sponsoring DoD activity,
DoD Component, Congress, or the President of the United States.
(3) Gather input from or serve as a liaison with relevant constituencies.
(4) Provide feedback from the public to the sponsoring DoD Component or program
office.
(5) Provide technical expertise and act as an independent and unbiased sounding board to
the sponsoring DoD Component or program office.
(6) Assist the sponsoring DoD Component or program office staff to determine
important activities.
(7) Provide independent advice and recommendations to DoD leadership.
c. DoD Advisory Committees include but are not limited to:
(1) DoD- or OSD-wide Federal advisory committees, whether statutory or discretionary,
established pursuant to the Federal Advisory Committee Act.
(2) OSD Component or OSD RIM Program-serviced DAFA committees, special study
groups, task forces, boards, commissions, councils, and similar groups established to provide
advice, ideas, options, and opinions to the Federal Government, established pursuant to their
general Title 10, U.S.C., authorities or as directed by Congress or Federal law and not subject to
the Federal Advisory Committee Act.
(3) Internal, multi-functional, and cross-component advisory committees established
under the authority of the Secretary of Defense, Deputy Secretary of Defense, OSD Principal
Staff Assistants, or the Assistant Secretaries of Defense.
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SECTION 5: RIM POLICY FOR DOD ADVISORY COMMITTEES 27
(4) Interagency advisory committees established by the President of the United States,
Congress, or the Secretary of Defense.
(5) A DoD Component whose head is designated as the DoD Executive Agent for a DoD
Advisory Committee pursuant to DoDD 5101.01.
5.2. DOD ADVISORY COMMITTEES.
DoD Advisory Committees may be tasked with addressing specific issues related to DoD
capabilities or multitude of subjects.
a. DoD Advisory Committees create and collect records and information from across the
DoD and OSD, other Federal agencies, or non-governmental organizations such as think tanks or
colleges and universities. This collection of information is used to review, analyze, and provide
advice and recommendations on DoD or OSD policy or procedures on a variety of subjects,
including but not limited to reorganization, base realignments, or recommending new actions.
The records and information gathered by these advisory committees represent unique collections
that are not available elsewhere within the DoD or OSD.
b. The DoD Advisory Committee heads will assign an RM to coordinate with the OSD
Records Administrator and maintain all committee records, regardless of format, in accordance
with this issuance and the OSD Primer, as applicable. See Section 3 of this issuance for RIM
personnel responsibilities.
c. Employees and contractors will manage and archive records of these advisory committees
in accordance with this issuance, the OSD Primer, GRS 6.2, or NARA-approved disposition
schedule via the OSD Records Administrator no later than 120 days before termination. These
records include but are not limited to:
(1) Memorandums, organizational charts, and directives establishing, changing,
continuing, or dissolving the committee.
(2) Agenda, meeting minutes, briefing books, appointment letters, rosters, and
membership balance plans.
(3) Copies of interim, final reports, studies, pamphlets, posters, and other publications
produced by the advisory committee.
(4) Substantive drafts of the final report and research materials.
(5) Questionnaires, surveys, and other raw data accumulated in connection with the
study or work of the advisory committee.
(6) Documentation of subcommittees, working groups, or other subgroups that support
the reports and recommendations of the full or parent advisory committee.
(7) Other related records documenting the accomplishments of the advisory committee.
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SECTION 5: RIM POLICY FOR DOD ADVISORY COMMITTEES 28
d. DoD Advisory Committees operational for more than 1 year will be subject to RIM
evaluations. See the OSD Primer and Section 12 of this issuance for procedural guidance.
5.3. MANAGING DOD ADVISORY COMMITTEE RECORDS AND INFORMATION.
See Section 10 of the OSD Primer for procedures regarding the management of DoD Advisory
Committees records and the roles and responsibilities of committee heads and members.
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SECTION 6: DISPOSITION OF RECORDS AND INFORMATION POLICY 29
SECTION 6: DISPOSITION OF RECORDS AND INFORMATION POLICY
6.1. GENERAL.
a. Section 3303 of Title 44, U.S.C., requires all Federal agencies to submit disposition
schedules to address the retention and disposal of records and information created and received.
Disposition schedules also describe the subject matter and value of the records and once
approved by the Archivist of the United States, are published in the OSD RDS available at
https://www.esd.whs.mil/RIM.
b. Pursuant to Section 3303a of Title 44, U.S.C., all approved disposition schedules are
mandatory, regardless of form, format, function, classification, or location. The WHS-serviced
Components will execute the disposition schedules and ensure the records and information are
properly disposed of in accordance with approved disposition schedules. For example:
(1) Records monitoring expenditures under approved budget allocations are retained for
3 years after execution of the funds. The mandatory retention is 3 years, regardless of whether
these records are retained in hard copy or persistent electronic formats or on Secret Internet
Protocol Router Network (SIPRNET) or Joint Worldwide Intelligence Communications System
(JWICS) networks.
(2) RIM personnel will, with their program offices, coordinate the review of WHS-
serviced Component-specific disposition schedules annually. The purpose of this review is to
identify new program records and information systems to be scheduled and to identify changes in
recordkeeping practices that require records schedule revision. Disposition schedules that are 10
years or older must be certified current or updated. Section 5 of the OSD Primer establishes
procedures for modifying existing schedules.
c. OSD records, information, and FISs without an approved disposition schedule are
considered unscheduled records. OSD records and information cannot be destroyed without an
approved disposition schedule. Section 5 of the OSD Primer establishes procedures for
submitting new disposition schedules.
6.2. PURPOSE OF DISPOSITION SCHEDULES.
Disposition schedules identify the content and provide instructions on the lifecycle, retention,
and disposition of records and information and are intended to ensure:
a. OSD records are retained in a manner consist with their legal, fiscal, and administrative
operational value to the office of primary responsibility.
b. The records are being properly managed and maintained in both electronic and physical
formats.
c. Records and information of historical value are preserved and archived.
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SECTION 6: DISPOSITION OF RECORDS AND INFORMATION POLICY 30
d. Redundant, trivial, and obsolete records are disposed of in a timely manner.
e. RIM controls are incorporated in the design, funding, and operation of OSD internal and
enterprise FISs or the content is integrated into a recordkeeping system that is external to the FIS
pursuant to Part 1236 of Title 36, CFR.
6.3. REQUESTS TO DEVIATE FROM OR MODIFY DISPOSITION SCHEDULES.
The WHS-serviced Components are not authorized to deviate from authorized disposition
schedules without permission of the OSD Records Administrator. Requests to deviate or modify
disposition schedule(s) are submitted to the OSD RIM Program for approval by the OSD
Records Administrator. Depending on the extent of the requested deviation(s) or
modification(s), the OSD Records Administrator may submit the request to NARA for approval.
See Section 5 of the OSD Primer for guidance on modifying RDS.
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 31
SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS
7.1. GENERAL.
a. Protecting OSD records and information does not stop at implementing appropriate
controls within your components, directorates, and reporting offices. WHS-serviced
Components, OSD employees, contractors, and Service members also have the responsibilities to
preserve, search, and produce records and information when directed by general counsel (GC),
attorneys, or RIM personnel. When directed, WHS-serviced Components must take steps to
preserve potentially relevant evidence in any form when a party reasonably anticipates litigation
of a matter or as directed. The consequences of a failure to preserve may vary depending on the
circumstances, but may include:
(1) Regulatory fines and penalties.
(2) Civil litigation consequences, such as increased litigation costs, fines, adverse
inference instructions, default judgment, and civil contempt.
(3) Vicarious liability for responsible senior management.
(4) Criminal liability for organizations and individuals.
(5) Termination.
b. Record disposition authority moratoriums, defined in the Glossary and referred to as
“moratoriums” in this issuance, ensure that records relating to the litigation are not destroyed and
are available for the discovery process before and during litigation. Agency GC or attorneys are
generally responsible for issuing litigation holds to:
(1) Individual WHS-serviced Component(s).
(2) OSD- or DoD-wide.
(3) Military Departments or other DoD agencies.
(4) Individual Federal employees.
c. Moratoriums may also be issued via the OSD Records Administrator, OSD Component
attorneys, DAFA GC, Congress, or the Office of the President.
d. The moratoriums can generally be separated into four types:
(1) Search and Production Request.
(a) A search and production request notifies the WHS-serviced Component(s)
concerned to identify and locate records or subject matter pertinent to the moratorium.
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 32
(b) When notified, the WHS-serviced Component(s) concerned are required to search
for information related to the litigation hold regardless of format and location.
(c) The WHS-serviced Component(s) are to ensure that records relevant to the search
remain unaltered and unadulterated.
(d) These moratoriums will provide details on search criteria, subject matter, formats,
and instructions for producing relevant information to a point of contact.
(2) Search and Hold Request.
(a) Search and hold requests can involve the examination of all types of hard copy
and electronic records and information, including DoD employee e-mail and e-messaging
accounts.
(b) Examples of electronic records and information include text, images, calendar
files, databases, spreadsheets, audio files, animation, websites, e-mails, e-messages, voice mails,
chat, chat transcripts, and computer programs.
(c) The WHS-serviced Component(s) are to ensure that records relevant to the search
remain unaltered and unadulterated.
(d) These moratoriums will provide details on search criteria, subject matter, and
formats and will ask the recipients to hold the information in their possession, custody, or control
until further notice.
(3) Pending Litigation.
(a) The WHS-serviced Component(s) or individual employees or Service members
of a WHS-serviced Component(s) can be the subject of litigation. Whether an individual, group
of employees, or WHS-serviced Component, the parties identified pursuant to litigation may
receive documentation notifying them of a pending lawsuit and actions required to be taken from
the Department of Justice, GC DoD, OSD Component attorneys, or OSD RIM Program-serviced
DAFA GC.
(b) When notified, the individual, group of employees, or the WHS-serviced
Component may be required to search for, preserve, or produce information related to the
litigation regardless of format and location.
(c) The WHS-serviced Components have an obligation to identify and preserve
relevant electronic information and hard copy documents when a reasonable anticipation of
litigation arises or when they receive a litigation hold or preservation notice.
(4) Government Accountability Office or Inspector General Audits.
The Government Accountability Office and Office of Inspector General of the
Department of Defense may require access to records and documents related to the WHS-
serviced Component programs or functions as needed to conduct the audit or inspection. Upon
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 33
notification, the WHS-serviced Component will suspend disposition of records and information
to complete the audit or inspection.
e. Notifications may be sent using official correspondence, either by e-mail, e-message, or
official tasking system.
7.2. PROCESSING MORATORIUMS.
a. The Office of the GC DoD will:
(1) Notify the OSD Records Administrator of litigation holds relevant to the WHS-
serviced Components by sending a copy of the litigation hold to the OSD Records Administrator
organizational e-mail address.
(2) Identify a lead attorney to coordinate with the OSD Records Administrator.
(3) Request any WHS-serviced Components subject to a litigation hold identify a point
of contact to act as central point of contact for preservation issues and responses for their
respective Component.
(4) Notify the OSD Records Administrator when a litigation hold(s) is lifted or
terminated.
b. GC and attorneys assigned to the WHS-serviced Component will review records and
information for privilege before release outside of DoD. The review must ensure records that
may be classified, privileged, or otherwise protected from disclosure are treated appropriately.
c. The OSD Records Administrator will:
(1) Review litigation holds to determine affected WHS-serviced Component(s) and the
scope or date span of the request. If necessary, issue additional guidance on the preservation or
processing of records or materials implicated in the hold.
(2) As necessary:
(a) Coordinate with the WHS-serviced Component CIOs or IT service providers to
identify content and locations for electronic searches on the network, enterprise e-mail, e-
messaging accounts, or other IT systems as appropriate.
(b) Conduct a search of records of the affected WHS-serviced Component(s) held
within FRCs.
(c) Provide oversight, training, and guidance to WHS-serviced Component CRMOs
and RMs on implementing litigation holds, including issuing periodic reminders.
(d) Notify the RIM personnel, NARA, and other affected WHS-serviced
Components when a litigation hold has lifted or terminated.
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 34
d. WHS-serviced Component CIOs or IT service providers will:
(1) Coordinate with the assigned lead attorney to determine scope and search terms
requested in the litigation hold.
(2) Coordinate with their GC, attorney, or the assigned lead attorney for the legal
sufficiency review of search requests, including but not limited to:
(a) Ensuring notices are distributed and an appropriate level of detail provided to
identify potentially relevant information.
(b) Determining whether a separate litigation notice should be sent to information
system owners who may be maintaining information systems that house data that the records
management personnel do not control or to which they do not have access.
(c) Ensuring the preservation of records and documents (including e-mails, e-
messages, social media, and those in electronic formats) that may be relevant to the litigation or
potential litigation.
(3) Conduct searches of shared network drives, cloud service providers and FISs owned
by the affected WHS-serviced Component residing on the OSD.mil domains (including Non-
classified Internet Protocol Router Network (NIPRNET), SIPRNET, and JWICS as appropriate),
enterprise mail, mobile devices, or affected individual employee accounts.
(4) Ensure that records and information responsive to the litigation hold are maintained
in native formats until notified of production or cancellation of the litigation hold.
(5) Ensure that potential electronically stored information sources are properly
addressed, including online and offline devices, software, cloud-based electronically stored
information, and applications.
e. As the records and information owners, the WHS-serviced Components are responsible
for the accuracy, completeness, and timeliness of responses to the litigation hold, including the
location, preservation, review, and production tasking in response to litigation hold
memorandum direction. As such, each WHS-serviced Component will:
(1) Identify reporting offices and key custodians (e.g., former retired civilian, military, or
U.S. Government contractor personnel) who may possess potentially relevant electronically
stored information or documents other tangible things related to the litigation.
(2) Ensure that processes are in place to effectively search for, locate, preserve, review,
and produce records and information. These plans must account for records and information not
located on the OSD.mil domain including, but not limited to:
(a) Information systems.
(b) E-mail or e-messages with attachments.
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 35
(c) All other types of electronic files (e.g., text messages or files generated on a
mobile device).
(d) All holdings of hard copy materials not directly supported by the WHS-serviced
Component CIO or IT service providers.
(3) Designate personnel to act as a hub for coordination with GC and the OSD Records
Administrator to execute litigation hold requirements.
(4) Comply with Paragraphs 7.2.f. and 7.2.g. if a litigation hold is received directly by
the WHS-serviced Component.
(5) Notify affected subordinate components, program offices, and personnel of litigation
holds.
(6) Be responsible for notifying subordinate component activities that a litigation hold
exists or has been lifted.
f. Designated WHS-serviced Component points of contact will:
(1) Acknowledge receipt of litigation hold memorandum to the assigned lead attorney.
(2) Suspend the retention period(s) of all affected relevant records and information and
retain them until notified that the litigation or disputes are resolved.
(3) Provide the assigned lead attorney with the names of the offices and individuals who
coordinated conducted the search and an inventory list of records and information affected
responsive to the categories listed in by the litigation hold or preservation notice. The inventory
list will contain the number of records identified and an estimate of the number of documents or
volume of data.
(4) Provide the requestor assigned lead attorney with copies of the records and
information in question, as appropriate and authorized for release.
g. A moratorium can be addressed to an employee. When coordinating with the WHS-
serviced Components, this employee should be considered a key custodian.
(1) When notified, WHS-serviced Component employees, including Service members or
contractors, will:
(a) Suspend routine destruction of records as identified in the litigation hold or
preservation notice.
(b) Discontinue WHS-serviced Component reporting office practices for destruction
of records.
(c) Preserve records in their original electronic or hard copy formats.
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SECTION 7: RECORD DISPOSITION AUTHORITY MORATORIUMS 36
(d) Preserve new responsive records generated or received after notification of
moratorium.
(e) Follow instructions specified by the moratorium.
(f) Consult with the designated contact point of contact person with questions.
(g) Inform their WHS-serviced Component CRMO or RM, as appropriate, including
any received moratoriums and actions taken in response.
(2) All departing employees in receipt of a moratorium(s) are under an obligation to
inform their assigned RIM personnel and their supervisor about impending departure to provide
time to arrange for preservation of potential evidence.
7.3. RESPONSIVE RECORDS.
When an individual, the WHS-serviced Component, or their reporting office has responsive
records, they must execute the instructions provided in the records litigation hold or freeze
preservation notification. If instructions are not provided, the affected parties will coordinate
with RIM personnel to:
a. Create a “Records Moratorium” folder on the shared drive and name the folder with the
subject of the moratorium. Identify appropriate personnel with “need to know” and coordinate
with their IT service provider to restrict or limit access to these folders.
b. Search records storage locations, including but not limited to file cabinets, safes, cloud
computing solutions, network shared drives, personal drives, FISs, mobile devices, and
applicable e-mail or e-messaging accounts for documents responsive to the moratorium.
c. If the responsive records are in hard copy, the affected parties must scan records in
accordance with current NARA standards and retain images in designated folders on the shared
drive to ensure they are appropriately preserved. RIM personnel will ensure retention of the
paper versions until the litigation hold or preservation notice is rescinded.
d. To the extent practicable, or as directed by the assigned attorney, convert responsive e-
mail, e-messages, and electronic records to a portable document format (PDF) and copy them to
the designated folders on the shared drive to ensure they are appropriately preserved.
Instructions for converting e-mail and e-messages to PDF or other sustainable formats are
available on the OSD RIM website.
e. Place appropriate access restrictions to prevent the deletion or alteration of records.
f. The WHS-serviced Component will provide the name of offices, locations, and personnel
who conducted the search and identify whether any responsive records or non-responsive records
were found, in a memorandum for the record, in accordance with the Federal Rules of Civil
Procedure.
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SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION 37
SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION
8.1. GENERAL.
Classification formalizes the process of defining what information is classified, defining, and
implementing different levels of protection based on the expected damage to national security
the information would cause if compromised.
a. In accordance with E.O. 13526, classification may be applied only to records and
information owned by, produced by or for, or under the control of the U.S. Government, to
include products created by government contractors.
b. Information may be considered for classification only if its unauthorized disclosure could
reasonably be expected to cause identifiable or describable damage to the national security and it
concerns one of the categories specified in Section 1.4 of E.O. 13526.
8.2. PROTECTION OF NSI AND CUI.
a. All WHS-serviced Components must ensure NSI and CUI are protected in accordance
with DoDI 5200.01, DoDI 5200.48, and Volumes 1 through 3 of DoDM 5200.01.
b. For NATO security documents, the DoD plays a vital role within NATO and member
organizations on intergovernmental military alliance issues.
(1) DoDD 5100.55 outlines the WHS-serviced Components’ responsibilities for
formulating policy and issuing guidance, criteria, instructions, and procedures required for
ensuring compliance with and implementation of NATO security policy.
(2) United States Security Authority for NATO Affairs Instruction 1-07 identifies
procedures for protection and disposition of NATO classified and unclassified records and
information created and maintained by the WHS-serviced Components.
8.3. DECLASSIFICATION OF OSD RECORDS AND INFORMATION.
a. Pursuant to DoDI 5200.01, declassification of information will receive the same level of
attention as the classification of information so that information remains classified only if
required by national security considerations.
b. Only classified records and information identified as permanent pursuant to the OSD RDS
are eligible for declassification review in accordance with Section 3.3 of E.O. 13526, Volume 3
of DoDM 5200.01, and DoDM 5230.30.
c. Before being transferred to NARA, all classified NSI will receive a Kyl-Lott review,
pursuant to Public Law 105-261. Only personnel certified pursuant to Chapter 23 of Title 42,
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SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION 38
U.S.C., also known and referred to in this issuance as the “Atomic Energy Act of 1954, as
amended,” are authorized to conduct Kyl-Lott reviews.
d. If an original classification authority (OCA) identifies a series of OSD records and
information that requires an encompassing exemption from declassification, the OCA may
submit for a “File Series Exemption” in accordance with Section 3.3 of E.O. 13526. The OCA
will provide:
(1) A detailed description of the information (including applicable OSD RDS file
numbers), either by reference to information in specific records or in the form of a classification
guide, to the OSD Records Administrator for review and concurrence.
(2) An explanation of why the information should be exempt from automatic
declassification, public release and must remain classified for a longer period.
(3) A specific date or a specific and independently verifiable event when the
exempted file series can be reviewed for declassification.
e. Requests for file series exemption will be submitted in writing to the Office of the Under
Secretary of Defense for Intelligence and Security and the OSD Records Administrator for
concurrence.
(1) Upon concurrence, the Office of the Under Secretary of Defense for Intelligence and
Security will coordinate submission to the Secretary of Defense for signature and submission to
the Interagency Security Classification Appeals Panel requesting the file series exemption, in
accordance with Volume 1 of DoDM 5200.01.
(2) Series are not considered exempt from declassification until approved by the
Interagency Security Classification Appeals Panel.
f. NSI and CUI records and information identified as temporary records pursuant to the OSD
RDS will be destroyed in accordance with their applicable file number.
8.4. DE-CONTROL OF CUI.
Neither the OSD RIM Program nor the OSD Declassification Program is authorized to de-
control CUI. In accordance with DoDI 5200.48, the office of primary responsibility or the
controlling DoD office will include dissemination statements on OSD records and information to
facilitate control, secondary sharing, de-control, and release.
8.5. PROTECTION OF PII AND PHI.
The WHS-serviced Components will ensure FISs, applications, databases, cloud computing
solutions, and emerging technologies authorized for deployment on the DoD information
network (DODIN) that contain, manage, and retain PII, PHI, and ePHI are compliant, as
applicable, with:
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SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION 39
a. The Privacy Act of 1974.
b. DoDIs 5400.11, 6025.18, and 8580.1.
c. DoD 5400.11-R.
d. Volume 2 of DoDM 5400.11.
e. DoDM 6025.18.
f. Applicable editions of National Institute of Standards and Technology publications for
relating to privacy and PII records.
8.6. PRIVACY IMPACT ASSESSMENTS
a. A PIA is designed to accomplish three goals:
(1) Ensure conformance with applicable legal, regulatory, and policy requirements for
privacy.
(2) Determine the risks and effects.
(3) Evaluate protections and alternative processes to mitigate potential privacy risks.
b. PIAs will be prepared using Department of Defense (DD) Form 2930, “Privacy Impact
Assessment (PIA),” and in accordance with DoDI 5400.16.
c. WHS-serviced Component CRMOs and RMs will ensure the RDS cited by the program
manager or designee are correct and updated as appropriate.
(1) If a records disposition authority does not exist or needs to be updated, the WHS-
serviced Component CRMO or RM will submit a Standard Form (SF)-115, “Request for Records
Disposition Authority” to the OSD Records Administrator. See Section 5 of the OSD Primer for
guidance on developing and submitting an SF-115.
(2) Upon verification or submission of an SF-115, the WHS-serviced Component
CRMO or RM is authorized to sign the PIA.
(3) Records disposition information on the PIA and SORN, including the applicable
retention period, should be consistent with the records disposition authority cited on the PIA and
must match the applicable SORN.
8.7. SORN.
a. In accordance with DoDI 5400.11 and the procedures in DoD 5400.11-R, each WHS-
serviced Component maintaining records and information about individuals will ensure that this
data is protected from unauthorized collection, use, dissemination, or disclosure of PII. Records
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SECTION 8: PROTECTION OF OSD RECORDS AND INFORMATION 40
containing PII records will be maintained pursuant to DoDI 5400.11 and the Privacy Act of
1974.
b. A SORN is required when all the following apply:
(1) The records are maintained by a Federal agency.
(2) The records contain information about an individual.
(3) The records are retrieved by a personal identifier.
c. WHS-serviced Component CRMOs and RMs will assist the program manager or designee
with identifying the correct records disposition authority applicable to the group(s) of records
identified in the SORN. If a records disposition authority does not exist or needs to be updated
to meet mission or operational needs, the WHS-serviced Component CRMOs and RMs will
submit an SF-115 to the OSD Records Administrator. Records disposition information on the
PIA and SORN, including the applicable retention period, should be consistent.
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SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS AND PROGRAMS 41
SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS
AND
PROGRAMS
9.1. TRANSFER OF FUNCTIONS AND PROGRAMS.
a. In accordance with Title 10, U.S.C., the Secretary of Defense is authorized to reassign
functions and programs as necessary to meet operational requirements or to implement actions
authorized by the President or Congress.
b. Each WHS-serviced Component must ensure records and information necessary for
Component operations and records of permanent historical value are identified and documented,
regardless of format.
(1) At a minimum, each reporting office within the WHS-serviced Components must:
(a) Identify the office(s), functions, or programs to be transferred.
(b) List the file numbers, subject matter, quantity, media or format, classification,
and location of the records they will retain.
(c) Identify any records to be transferred along with the function to another office.
(2) The SD Form 832 may be used to facilitate this process and document records
required to be retained.
(3) The SF 135, “Records Transmittal and Receipt,” should be used to document hard
copy records being transferred to another WHS-serviced Component or closed records no longer
required for current business or historical value. The latter may be archived offsite via the OSD
Records Administrator.
c. DoD Advisory Committees disestablished by order of the President of the United States,
Congress, the Secretary of Defense, Deputy Secretary of Defense, Principal Staff Assistants, or
the Assistant Secretaries of Defense will transfer their records to the OSD Records Administrator
in accordance with Section 7 of the OSD Primer.
d. The head of the reporting office and the assigned RIM personnel are responsible for
maintaining custody of and accountability for OSD records and information until they are
transferred to the gaining WHS-serviced Component, FRC, or the OSD Records Administrator.
When transferring records and information, RIM personnel must:
(1) Transfer copies of all inventory documentation to the WHS-serviced Component
CRMO or RM for the gaining WHS-serviced Component.
(2) Coordinate with security managers before transferring classified records and
information.
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SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS AND PROGRAMS 42
(3) Notify the gaining WHS-serviced Components of any record freezes, preservation
orders, or moratoriums.
(4) Ensure that personal materials (non-work-related) are separated from official records,
working papers, and drafts.
(5) Oversee the packaging and transfer of hard copy records to gaining WHS-serviced
Components or to the Washington National Records Center.
(6) Coordinate with IT service providers to identify network space(s) for WHS-serviced
Component records, including identifying restrictions on access such as those containing PII or
national security classifications, to the gaining WHS-serviced Component.
(7) Ensure all permanent records of disestablished WHS-serviced Components or
records eligible for retirement are properly prepared and transferred to the OSD Records
Administrator via the WHS-serviced Component CRMO or RM.
(8) Dispose of personnel records in accordance with Chapter 7 of the Office of Personnel
Management’s Guide to Personnel Recordkeeping and the OSD RDS.
(9) Report any actual, impending, or threatened unlawful removal, alteration, or
destruction of records and information to the OSD Records Administrator (see Paragraph 5.8 of
the OSD Primer for reporting instructions). In the event of unlawful removal or inappropriate
destruction of records containing PII, report the violation in accordance with Volume 2 of
DoDM 5400.11.
(10) Notify the OSD Records Administrator of all programs, functions, and related
records, information systems, and SNS accounts being transferred or disestablished and provide
a copy of the SD Form 832, SF-135, or other documentation used to detail those records.
e. In the case of classified records transferred in conjunction with a transfer of functions, and
not merely for storage purposes, the receiving WHS-serviced Component(s) will be deemed to
be the originating agency pursuant to E.O. 13526.
f. Classified records received by DoD Advisory Committees established pursuant to the
Federal Advisory Committee Act will be transferred to the OSD Declassification Program
(WHS/RDD) for automatic declassification review in accordance with the procedures identified
in Section 7 of the OSD Primer.
9.2. TRANSFER OF RECORDS TO OTHER EXTERNAL ORGANIZATIONS.
a. Transfers of OSD functions and programs, regardless of classification, to non-DoD
Components because of a transfer of functions, programs, or similar reasons will be coordinated
with the OSD Records Administrator and documented using the SF 135 or SD Form 832, “OSD
Records Inventory Form.” See Section 7 of the OSD Primer for documenting transfers of
records.
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SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS AND PROGRAMS 43
b. Distribution of the SF-135 is as follows.
(1) The original is forwarded to the receiving organization.
(2) A copy is provided to the OSD Records Administrator.
9.3. DISESTABLISHMENT OR CLOSURE OF OSD FUNCTIONS AND PROGRAMS.
a. Hardcopy, electronic records, databases, and FISs cannot be destroyed or decommissioned
if the records are within their established retention periods. For example, MYPAY maintains the
master pay record data for civilian and Service members. The established retention for the
master pay records is 99 years. If the Office of the Under Secretary of Defense
(Comptroller)/Chief Financial Officer, Department of Defense, decommissioned MYPAY before
all the records within it has reached the end of their retention, that office would be responsible
for ensuring the records within MYPAY remain accessible, readable, and secure for the
remainder of the retention period.
b. The WHS-serviced Component heads are advised to provide guidance in preparing and
transferring of hard copy records to program offices with the capability to retain them or to FRCs
via the OSD Records Administrator.
(1) Retention of FISs must be coordinated with IT service providers with responsibility
delegated to a reporting office for oversight.
(2) The WHS-serviced Component heads must consider records needed for operational
and mission, human resources, and legal requirements.
c. RIM personnel should coordinate with their action officer or program manager to
inventory shared drives and hard copy records to determine their status, disposition, and
classification. Other issues that may need to be addressed are:
(1) Naming conventions.
(2) Version control.
(3) Unprotected folders containing PII.
(4) Access controls.
(5) The destruction of personal, reference, and non-record materials.
d. IT service providers must assist with transferring the disestablished WHS-serviced
Components’ electronic records and FISs to the gaining office or Component identified
locations, and ensure they remain:
(1) Reliable. Records present a full and accurate representation of the transactions,
activities, or facts.
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SECTION 9: TRANSFER OR DECOMMISSIONING OF OSD FUNCTIONS AND PROGRAMS 44
(2) Authentic. Records are protected against unauthorized addition, deletion, alteration,
use, and concealment.
(3) Complete. Records are complete and unaltered.
(4) Usable. Records can be located, retrieved, presented, and interpreted.
(5) Accurate in content. The information within the record itself is preserved.
(6) Accurate in context. Any related records that show organizational, functional, and
operational circumstances about the record are properly cross-referenced.
(7) Accurate in structure. Controls are in place to ensure the maintenance of the physical
and logical format of the records and the relationships between the data elements.
(8) Retained. Records are retained in a usable format until their authorized disposition
date.
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SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 45
SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF
OSD RECORDS AND INFORMATION
10.1. NON-RECORDS MATERIALS.
a. Non-record materials are U.S. Government-owned materials (regardless of format)
excluded from the legal definition of records in accordance with Section 3301 of Title 44, U.S.C.
They include but are not limited to:
(1) Extra copies of documents preserved only for convenience of reference.
(2) Stocks of publications and of processed documents. However, each agency needs to
create and maintain record sets of processed documents and of publications, including annual
and special reports, special studies, brochures, pamphlets, books, handbooks, manuals, posters,
and maps.
(3) Library and museum material made or acquired and preserved solely for reference or
exhibition purposes.
(4) Information copies of correspondence, directives, forms, and other documents upon
which no administrative action is recorded or taken.
(5) Routing slips and transmittal sheets adding no information to that contained in the
transmitted material.
(6) Tickler, follow up, or suspense copies of correspondence, provided they are extra
copies of the originals.
(7) Duplicate copies of documents maintained in the same file.
(8) Extra copies of printed or processed materials for which complete record sets exist,
such as current and superseded manuals maintained outside the office responsible for
maintaining the record set.
(9) Catalogs, trade journals, and other publications that are received from other U.S.
Government agencies, commercial firms, or private institutions and that require no action and are
not part of a case on which action is taken.
(10) Physical exhibits, artifacts, and other material objects lacking evidential value.
b. Non-record materials may be removed from U.S. Government custody only with the
agency’s approval.
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SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 46
10.2. PROCESSING REQUESTS TO REMOVE NON-RECORD COPIES OF OSD
RECORDS AND INFORMATION FROM GOVERNMENT CUSTODY.
a. In accordance with Chapters 31 and 33 of Title 44, U.S.C., and Parts 1220 through 1239
of Title 36, CFR, records and information created and received by OSD employees in the
conduct of government operations are the property of the Federal Government.
b. DoDI 5015.02 requires all WHS-serviced Components to implement measures to maintain
accountability of the records and information, including copies, the Components create and
receive. This includes but is not limited to:
(1) Copying or removing records from government custody, except as authorized by this
issuance, DoDIs 5200.01 and 5200.48, Volumes 1 through 3 of DoDM 5200.01, and the OSD
RDS.
(2) Ensuring OSD employees, Service members, and contractors are aware they are not
authorized to remove original hard copy records.
(3) Reminding OSD employees, Service members, and contractors that unclassified
records and information are not automatically releasable. The classification “Unclassified” is not
the same as being cleared for public release.
c. DoD e-mail, e-messages, SNSs, web 2.0 technology, or social media accounts are
provided for the conduct of government business and DoD operations and:
(1) Are not considered personal files.
(2) Are not authorized for transfer or removal without review and approval. This
includes but is not limited to complete copies of e-mail inboxes, sent e-mails, outboxes, e-
messages, e-messaging accounts, or Microsoft Outlook personal storage table (.PST) files.
(3) Users are prohibited from using non-approved third-party e-mail systems, e-
messaging applications, storage servers, file-sharing services, SNSs, web 2.0 technology, or
social media applications to conduct government business. This includes but is not limited to
Google Drive, Yahoo mail, iCloud, Whatsapp, or SnapChat.
(4) OSD employees may request to transfer non-record copies of OSD records and
information (including e-mails or e-messages) when transferring to new DoD duty stations or
assignments, if it does not:
(a) Diminish the official record or impact the WHS-serviced Component’s ability to
conduct business.
(b) Contain PII not related to the requestor.
(c) Contain NSI, CUI, or unclassified information that may, individually or
combined, lead to the compromise of classified information or disclosure of operations or
security.
AI 15, November 27, 2023
SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 47
(d) Contain subject matter pertinent to current and pending litigation or moratoriums.
(e) When reviewing transfer requests, the OSD Components and OSD RIM Program-
serviced DAFAs must ensure the requestor has been deemed to have a mission-related purpose
or lawful government purpose for the transaction of the gaining office or components’ activity,
mission, function, or operations.
d. Members and personnel of DoD Advisory Committees are not authorized to remove or
transfer records and information created or received by the committee.
e. See Paragraph 10.6. of this issuance for the removal or transfer authorization and approval
process.
10.3. REVIEW OF RECORDS REQUESTED.
a. During their tenure in office, many government officials, employees, and Cabinet officials
accumulate substantial collections of personal files and non-record copies of official documents
(including electronic files, e-messages, and e-mail) created solely for convenience of reference.
See Glossary for definition of non-record material.
b. OSD Components and OSD RIM Program-serviced DAFAs must review the requested
non-record materials to determine releasability.
(1) OSD Components and OSD RIM Program-serviced DAFAs will conduct a review in
accordance with DoDI 5200.48 and Volumes 1 through 3 of DoDM 5200.01 to ensure protected
records and information is not released without authorization.
(2) The non-record copies will be reviewed to identify CUI or unclassified information
that may, individually or combined, lead to the compromise of classified information or
disclosure of operations or security. Non-record copies that cannot be decontrolled pursuant to
DoDI 5200.48 or redacted must not be authorized for release or transfer.
(3) Personal files and non-record copies will be reviewed by the office of primary
responsibility of the requested materials for foreseeable harm to DoD in compliance with the
Department of Justice Office of Information Policy’s Foreseeable Harm Standard or superseding
guidance.
(4) Additional guidance for transfers or removal of OSD records and information is
provided in Section 9 of the OSD Primer.
c. When reviewing transfer requests, the OSD Components and OSD RIM Program-serviced
DAFAs must ensure the requestor has been deemed to have a mission-related purpose or lawful
government purpose for the transaction of the gaining office or components’ activity, mission,
function, or operations.
AI 15, November 27, 2023
SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 48
10.4. REMOVAL OF NON-RECORD COPIES BY POLITICAL APPOINTEES.
a. OSD PAs and PAS officials will:
(1) Sign a non-disclosure agreement provided by the OSD Records Administrator for the
removal of approved non-record copies.
(2) Agree not to release or publish the information orally or in writing (hard copy or
electronically) without written DoD approval.
(3) Complete the SD Form 821 for the removal of non-record material. The SD
Form 821 and materials will be submitted to the OSD Records Administrator for review and
approval via their WHS-serviced Component CRMO or RM.
b. The OSD SAORM serves as the appellate authority to any denials or redactions that may
be contested.
c. See Paragraph 10.6. for approval authorities.
10.5. DONATION OF NON-RECORD COPIES AND PERSONAL FILES.
a. Only Cabinet-level officials may donate unclassified non-record material to a Presidential
Library, U.S. National Archives, Library of Congress, or to a private institution (college, library,
historical society, etc.) in accordance with Part 1226.26 of Title 36, CFR.
b. Any transfer of non-record copies of official documents to any government or private
institution must be affected in writing by a deed of gift or other form of legal conveyance.
(1) The written instrument must clearly explain the terms under which the institution
accepts the papers and the protection they will be afforded while in its care, to include mandatory
restrictions on access.
(2) These restrictions pertain to any of the following:
(a) Potential violations of personal privacy.
(b) Protection of DoD information of public business, as well as nonpublic and
privileged, information exempted from release in the collection.
(c) Materials or information that might prove prejudicial to the conduct of U.S.
foreign relations.
(d) Material relating to law enforcement investigations.
(3) Any such conveyance must be reviewed by the GC DoD and the OSD Records
Administrator before the donor signs it.
c. It is the responsibility of the donor and their immediate staff to:
AI 15, November 27, 2023
SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 49
(1) Coordinate with the GC DoD and the OSD Records Administrator regarding the
donation.
(2) Complete the SD Form 821. The SD Form 821 will be submitted to the OSD
Records Administrator via their WHS-serviced Component CRMO or DAFA RM.
(3) Provide to the OSD Records Administrator:
(a) The name and address of the proposed recipient of the records.
(b) A list containing:
1. Identification of the documents or files.
2. The inclusive dates.
3. The volume and media of the materials to be donated.
d. Access to personal files and non-record material donated by an official to an institution
for historical preservation will be in accordance with the instrument of gift signed by the official
and the institution.
e. Access to Federal records by former officials which they originated, reviewed, signed, or
received while serving as PAs can be granted in accordance with Administrative Instruction 50.
10.6. AUTHORIZATION TO TRANSFER OR REMOVE.
a. Transfers or removal requests for records and information between OSD and DoD
Components by non-CAPSTONE officials will be approved by an authorizing official from the
gaining and losing OSD Components or WHS-serviced Components or the Federal records
officer for the DoD Component.
(1) Requests to transfer records will be documented on the SD Form 833.
(2) Requests to remove personal files and non-record materials will be documented on
the SD Form 822. Upon approval, Non-CAPSTONE officials will sign a non-disclosure
agreement provided by their CRMO or DAFA RM for the removal of approved non-record
copies.
b. In accordance with Paragraph 10.1. of this issuance, the procedures contained in Section 9
of the OSD Primer, and the OSD RDS, authorizations for removal or transfers are the sole
discretion of the gaining and losing OSD Component heads or OSD RIM Program-serviced
DAFAs directors or their authorized delegates.
c. The OSD Records Administrator serves as the approval authority for OSD CAPSTONE
officials. The OSD SAORM serves as the appellate authority to any denials or redactions that
may be contested concerning the review of unclassified non-record information or materials for
the purposes of removal from DoD custody.
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SECTION 10: REMOVAL OF PERSONAL AND NON-RECORD COPIES OF OSD RECORDS AND
INFORMATION 50
d. DoD Advisory Committee members, Service members, employees, and contractors or
staff of DoD Advisory Committees are not authorized to transfer or remove the records and
information created or received while assigned or employed by the committee.
AI 15, November 27, 2023
SECTION 11: ELECTRONIC RECORDS MANAGEMENT 51
SECTION 11: ELECTRONIC RECORDS MANAGEMENT
11.1. PRINCIPLES.
a. The WHS-serviced Components will implement appropriate measures and standards to
ensure that OSD records and information remain authentic, secure, and confidential, regardless
of format, classification, or location.
b. The WHS-serviced Components will ensure all records and information created, received,
and stored in FISs, cloud computing platforms, and the DODIN (including all classified
networks, e-mail, e-messages, or future technologies) adhere to these principles:
(1) The records and information are:
(a) Reliable. Present a full and accurate representation of the transactions, activities,
or facts.
(b) Authentic. Protected against unauthorized addition, deletion, alteration, use, and
concealment.
(c) Complete and unaltered.
(d) Usable. Records and information can be located, retrieved, presented, and
interpreted.
(e) Accurate in content. Preservation of the information within the record itself.
(f) Accurate in context. Cross-references to related records show the organizational,
functional, and operational circumstances about the record.
(g) Accurate in structure. Controls are in place to ensure the maintenance of the
physical and logical format of the records and the relationships between the data elements.
(2) The records and information are retained until their authorized disposition date.
(3) FISs, cloud computing platforms, and the DODIN implement appropriate physical
and logical methods to protect records and information from accidental or intentional alteration
or destruction.
(4) WHS-serviced Component employees:
(a) Maintain and safeguard records and information containing NSI or PII by only
accessing and using information that is minimally necessary to perform their job duties.
(b) Are informed of applicable legal mandates and industry standards for protecting
information and use the information with consideration and ethical regard for others.
AI 15, November 27, 2023
SECTION 11: ELECTRONIC RECORDS MANAGEMENT 52
11.2. MAINTENANCE AND RETENTION OF RECORDS AND INFORMATION ON
OSD NETWORK SHARE DRIVES.
The WHS-serviced Components may maintain their records on DoD-provided network share
drives. Network share drives do not provide the functionality of an electronic recordkeeping
system. Through a combination of manual and automated policies and procedures, a network
share drive may act as a recordkeeping system. The WHS-serviced Component establishing
share drives as a recordkeeping system will:
a. Establish formal procedures that address retention and disposition of records stored on
network share drives.
b. Develop a clear and understandable naming convention for records and information. It is
highly recommended the WHS-serviced Components use established acronyms and terminology
developed in the DoD Dictionary of Military and Associated Terms. Additionally, Appendix B
of the OSD Primer provides examples of standardized naming conventions.
c. Develop and implement RIM structure in accordance with Sections 6 and 7 of the OSD
Primer.
11.3. E-MAIL AND E-MESSAGE MANAGEMENT.
It is OSD RIM policy, pursuant to Section 2912 of Title 44, U.S.C. and Part 1236.22 of Title 36,
CFR and regardless of classification, that the IT service providers for the WHS-serviced
Component will implement the approved NARA disposition authority using the current version
of the OSD CAPSTONE disposition schedule for e-mail, text and e-messaging accounts
established within the DODIN domains. The OSD CAPSTONE disposition schedule provides
the approved disposition authority for the retention and disposition of e-mail and e-messaging
accounts.
a. The OSD RIM Program is responsible for:
(1) Defining the scope of CAPSTONE positions with OSD Components and OSD RIM
Program-serviced DAFAs.
(2) Coordinating updates to the OSD List of CAPSTONE Officials with the OSD
Components and OSD RIM Program-serviced DAFAs to submit updates to NARA pursuant to
GRS 6.1.
(3) Archiving of OSD records and information in accordance with the current version of
the OSD CAPSTONE disposition schedule.
b. E-mail and e-messaging accounts for CAPSTONE equivalents at DoD Advisory
Committees (e.g., Advisory Committee management officer, Designated Federal officer, or
Advisory Committee organization mailboxes) are archived to NARA pursuant to GRS 6.2.
AI 15, November 27, 2023
SECTION 11: ELECTRONIC RECORDS MANAGEMENT 53
c. Employees, Service members, and contract personnel at WHS-serviced Components will
maintain e-mail, text, and e-message records created and received in accordance with this
issuance, the OSD Primer, and the OSD RDS.
d. Records created via a text message or an e-messaging account of a CAPSTONE official
will be retained in accordance with the current version of the OSD CAPSTONE disposition
schedule and Part 1236 of Title 36, CFR. Accounts of Non-CAPSTONE officials will be
retained pursuant to GRS 5.2. Item 010 except as noted in Paragraph 4.4. of this issuance.
e. IT service providers for the WHS-serviced Components will establish a mechanism to
retain and disposition e-mail, text messages, and e-messaging accounts of CAPSTONE officials
pursuant to Part 1236 of Title 36, CFR, and the current version of the OSD CAPSTONE
disposition schedule.
(1) This mechanism will include records management functionality and archival
requirements pursuant to Part 1236 of Title 36, CFR, OMB Circular A-130, and DoDI 5015.02.
(2) WHS-serviced Components’ IT service providers will also ensure OSD personnel are
not using personal e-mail, e-messaging accounts, unauthorized internet applications, or social
media to conduct official agency business pursuant to DoDI 8510.01.
11.4. FIS.
a. WHS-serviced Components’ IT service providers will ensure RIM controls and
recordkeeping functionality for retention, disposition, and migration are built into:
(1) FIS, applications, databases, cloud computing solutions, and emerging technologies
authorized for deployment on the DODIN.
(2) Applicable editions of National Institute of Standards and Technology publications.
b. In accordance with DoD 5010.12-M, the WHS-serviced Components will ensure records
management requirements are included in the contracts for goods or services and integrate
records management obligations into their existing procurement processes. NARA has provided
basic language that can be added to contracts at https://www.archives.gov/records-
mgmt/policy/records-mgmt-language; however, WHS-serviced Components may include OSD-
specific terms and conditions into contracts.
c. When a WHS-serviced Component stores and manages an FIS on behalf of one or more
DoD Components, the information system owner and the program manager of the DoD
Component’s FIS will coordinate with the OSD Records Administrator on proposing a joint,
OSD, or DoD-wide RDS for submission to NARA for its approval.
d. For FISs scheduled for upgrade or replacement, the WHS-serviced Components will
ensure the records, information, and data maintained in it are transferred or transitioned to the
new FIS in its totality and pursuant to its approved disposition authority. Otherwise, the legacy
AI 15, November 27, 2023
SECTION 11: ELECTRONIC RECORDS MANAGEMENT 54
system will retain a copy to ensure the records, information, and data are accessible until the end
of its mandatory disposition period.
e. For FISs scheduled for decommissioning or retirement, the WHS-serviced Components
will ensure the records, information, and data are retained until the end of its mandatory
disposition period or the records are transferred to the ownership of the National Archives.
f. Additional information on RIM controls can be found in Section 6 of the OSD Primer.
11.5. DIGITIZING AND REVIEWING RECORDS.
a. Part 1236 of Title 36, CFR, covers the standards and procedures the WHS-serviced
Components must apply when digitizing (scanning) records of either permanent or temporary
value. Such records include hard copy documents, prints, bound volumes, photographic prints,
and mixed-media records.
b. Before digitizing any records, the WHS-serviced Component will:
(1) Prepare draft project plans as required for the organization (not individual offices),
digitizing 150 cubic feet or more to identify scope, organization background, host environment,
digitization requirements, and procedures for scanning records, retention, and disposition. For
additional information, see Section 6 and Appendix D of the OSD Primer.
(2) Before submitting to the OSD RIM Program, the WHS-serviced Components will
coordinate the project plans with their internal attorneys or GC, or Office of GC DoD and
Component security office, for review and concurrence.
(3) For WHS-serviced Components’ digitalization projects of under 150 cubic feet,
offices must coordinate with their RIM personnel and document that scans meet the requirements
of Part 1236 of Title 36, CFR. WHS-serviced Components’ digitalization projects will be
approved by the WHS-serviced Component head.
c. RIM personnel will retain approved project plans. Project plans and documentation for all
digitization projects are subject to OSD RIM Program inspection, regardless of classification.
Failure to meet standards can result in rescanning records. Destruction of original records before
verification of meeting scanning standards will result in an unauthorized destruction of records
pursuant to Section 1228 of Title 36, CFR.
d. The WHS-serviced Components are not authorized to destroy original sources (hard copy
or print photos) for records without validation of meeting standards cited in Part 1236 of
Title 36, CFR. Offices may use Appendix D of the OSD Primer as a draft project plan template.
Sections 4 and 5 of the project plan, as shown in Appendix D of the OSD Primer, provides
quality control criteria necessary to validate compliance with Part 1236 of Title 36, CFR.
AI 15, Publication Month Day, Year
SECTION 12: OSD RIM PROGRAM EVALUATION POLICY 55
SECTION 12: OSD RIM PROGRAM EVALUATION POLICY
12.1. GENERAL.
Pursuant to Part 1220.34(j) of Title 36, CFR, OMB Circular A-130, and DoDI 5015.02, the OSD
Records Administrator is charged with conducting formal evaluations to measure the
effectiveness of records management programs and practices, and to ensure compliance with
NARA and DoD regulations.
a. The purpose of these evaluations is to:
(1) Provide the OSD Records Administrator and WHS-serviced Component heads with
an assessment of compliance with OSD RIM processes, procedures, and policies and specific
records management topics.
(2) Identify material weakness within the WHS-serviced Components or with OSD RIM
policies and procedures.
b. Evaluations are conducted through on-site meetings, using teleconferences or web
conferences, surveys, and authorized web collaboration tools or any combination as necessary.
12.2. APPLICABILITY AND CRITERIA.
All WHS-serviced Components are subject to evaluation and assessment pursuant to Part
1220.34(j) of Title 36. The WHS-serviced Components will be evaluated on their compliance
with this issuance, the OSD Primer, the OSD RDS, and RIM requirements as issued by OMB,
NARA, or the Government Accountability Office.
a. All records and information will be made available for evaluation, regardless of form,
format, location, or classification. The OSD RIM Program will provide appropriate
documentation for access to NSI. This includes records and information created, maintained,
and received within DoD classified networks, FISs, websites and social media, cloud services
platforms, and emerging technologies.
b. Upon request, the WHS-serviced Components will provide the OSD RIM Program with
documentation including, but not limited to:
(1) RIM standard operating procedures.
(2) Training programs.
(3) WHS-serviced Component RIM personnel roles in the design and development of
information systems.
(4) Internal assessments.
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SECTION 12: OSD RIM PROGRAM EVALUATION POLICY 56
(5) Copies of SF-135s.
(6) FIS migration plans.
(7) File plans.
(8) Intro and exit briefing materials.
c. Within 60 days of completion of evaluation, the OSD RIM Program will provide a written
report and identifying status (compliance or non-compliance), results, findings, and
recommendations for the WHS-serviced Components evaluated.
d. WHS-serviced Components found non-compliant will develop a plan of actions and
milestones (POAM) and submit it to the OSD Records Administrator for approval. The WHS-
serviced Components will submit quarterly status reports to the OSD Records Administrator
until all findings and recommendations are closed. The OSD RIM Program will conduct a
follow up evaluation 6 months after approval of the POAM.
12.3. INTERNAL RIM EVALUATIONS.
In accordance with DoDI 5015.02 and this issuance, the WHS-serviced Components will
conduct internal RIM evaluations.
a. Section 10 of the OSD Primer provides criteria and procedures for execution of internal
RIM evaluations.
b. Internal RIM evaluations will be in writing and identify recommendations, findings, and
remediation.
c. RIM personnel for the WHS-serviced Components evaluated will develop a POAM to
resolve all recommendations and findings. The WHS-serviced Component head will sign the
POAM.
AI 15, November 27, 2023
GLOSSARY 57
GLOSSARY
G.1. ACRONYMS.
A
CRONYM
M
EANING
ATOMAL
NATO security category
CFR
Code of Federal Regulations
CIO
chief information officer
COSMIC
NATO security category
CRMO
Component records management officer
CUI
controlled unclassified information
DAFA
Defense Agency and DoD Field Activity
DD
Department of Defense (form)
DoDD
DoD directive
DoDI
DoD instruction
DODIN
DoD information network
DoDM
DoD manual
E.O.
Executive order
ePHI
electronic protected health information
ESD
Executive Services Directorate
FIS
Federal information system
FRC
Federal records center
GC
general counsel
GC DoD
General Counsel of the Department of Defense
GRS
General Records Schedule
HIPAA
Health Insurance Portability and Accountability Act
IT
information technology
JWICS
Joint Worldwide Intelligence Communications System
NARA
National Archives and Records Administration
NATO
North Atlantic Treaty Organization
NIPRNET
Non-classified Internet Protocol Router Network
NSI
national security information
OCA
original classification authority
OMB
Office of Management and Budget
AI 15, November 27, 2023
GLOSSARY 58
A
CRONYM
M
EANING
PA
Presidential appointee
PAS
Presidentially appointed, Senate-confirmed
PDF
portable document format
PHI
protected health information
PIA
privacy impact assessment
PII
personally identifiable information
PIO/DA&M
Performance Improvement Office/Director of Administration and
Management
POAM
plan of actions and milestones
.PST
personal storage table
RC
records custodian
RDD
Records and Declassification Division
RDS
records disposition schedule
RIM
records and information management
RL
records liaison
RM
records manager
SAORM
Senior Agency Official for Records Management
SD
Secretary of Defense (form)
SF
standard form
SIPRNET
Secret Internet Protocol Router Network
SNS
social networking site
SORN
system of records notice
U.S.C.
United States Code
WHS
Washington Headquarters Services
G.2. DEFINITIONS.
Unless otherwise noted, these terms and their definitions are for the purpose of this issuance.
T
ERM
D
EFINITION
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 physical custody of permanent
records from an agency to the National Archives.
AI 15, November 27, 2023
GLOSSARY 59
T
ERM
D
EFINITION
agency
Defined in Section 551 of Title 5, U.S.C.
ATOMAL
The NATO classification given to U.S. Restricted Data or
Formerly Restricted Data, or United Kingdom atomic nuclear-
energy information released to NATO.
audiovisual files
Files in pictorial or aural form, regardless of format. This
includes still photos, graphic arts such as posters and original
art, motion pictures, video recordings, audio or sound
recordings, microform, and related records.
authenticity of OSD records
and information
The quality of being genuine, not a counterfeit, and free from
tampering. This is typically inferred from internal and
external evidence, including its physical characteristics,
structure, content, and context.
CAPSTONE
NARA approach to managing Federal record e-mails, instant
messages, text messages, and chat messages that serve a
similar purpose as email to facilitate communication and
information sharing.
closed file or records
File unit or series containing documents on which action has
been completed and to which additional documents are not
likely to be added.
cloud computing
Defined in National Institute of Standards and Technology
Special Publication 800-145.
contracting agency
Defined in Part 60-1.3 of Title 41, CFR.
contract
A mutually binding legal relationship obligating the seller to
furnish the supplies or services (including construction) and
the buyer to pay for them. It includes all types of
commitments that obligate the U.S. Government to an
expenditure of appropriated funds and that, except as
otherwise authorized, are in writing. In addition to bilateral
instruments, contracts include (but are not limited to) awards
and notices of awards; job orders or task letters issued under
basic ordering agreements; letter contracts; orders, such as
purchase orders, under which the contract becomes effective
by written acceptance or performance; and bilateral contract
modifications. Contracts do not include grants and
cooperative agreements covered by Chapter 63 of Title 31,
U.S.C.
AI 15, November 27, 2023
GLOSSARY 60
T
ERM
D
EFINITION
contract personnel
A contractor’s employees or other personnel (including
officers, agents, and subcontractors) provided by the
contractor to render services under this contract.
convenience file
A file containing duplicates of records kept near the point of
use for ease of reference.
COSMIC
The NATO classification for Top Secret information.
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, file copy, 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.”
CRMO
The official who:
Coordinates the records management activities of an OSD
Component, including headquarters or in regional offices.
Serves as the primary Component official who coordinates
records management matters with the Federal records officer
and any other local oversight agencies.
Coordinates changes to the records schedule with the
Federal records officer and local program managers
overseeing an organization’s records from their creation and
preservation through to disposal.
Typical responsibilities include:
Establishing new records management systems.
Developing, maintaining, verifying, and evaluating
existing systems.
Overseeing the switch from paper to electronic record-
keeping.
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.”
AI 15, November 27, 2023
GLOSSARY 61
T
ERM
D
EFINITION
DAFA RM or DoD
Advisory Committee RM
The official who:
Coordinates the records management activities of an OSD
RIM Program-serviced DAFA or DoD Advisory Committee,
including headquarters or in regional offices.
Serves as the primary WHS-serviced Component official
who coordinates records management matters with the Federal
records officer and any other local oversight agencies.
Coordinates changes to the records schedule with the
Federal records officer and local program managers
overseeing an organization’s records from their creation and
preservation through to disposal.
Typical responsibilities include:
Establishing new records management systems.
Developing, maintaining, verifying, and evaluating
existing systems.
Overseeing the switch from paper to electronic record-
keeping.
department
One of the executive departments listed in Section 101 of Title
5, U.S.C.
DoD Advisory Committee
A group of people appointed for a specific function pursuant
to the authorities of the President of the United States, as
directed by Congress, Federal law, or the Title 10, U.S.C.,
authorities of the Secretary of Defense, Deputy Secretary of
Defense, Under Secretaries of Defense, Assistant Secretaries
of Defense, Assistants to the Secretary of Defense, Secretary
of Defense, and DAFA directors. These groups augment the
knowledge and skills of a DoD Component or program office;
provide recommendations or key information and materials;
and may be referred to as Federal Advisory Committees,
committees, special study groups, task forces, boards,
commissions, councils, and similar groups established to
provide advice, ideas, options, and opinions to the Federal
Government. Such groups may or may not be subject to the
Federal Advisory Committee Act.
AI 15, November 27, 2023
GLOSSARY 62
T
ERM
D
EFINITION
DoD Advisory Committee
head
An individual or individual(s) assigned overall responsibility
for the establishment, oversight, or execution of a committee,
special study group, task force, board, commission, council,
and similar groups, whether or not it is subject to the Federal
Advisory Committee Act. This includes but is not limited to
the Designated Federal Officer for an advisory committee
subject to the Federal Advisory Committee Act or, if the group
is not subject to the Federal Advisory Committee Act, the
individual(s) designated pursuant to the authorities granted by
the Secretary of Defense, Deputy Secretary, Under
Secretaries, Assistant Secretaries, or DAFA heads pursuant to
their general Title 10, U.S.C., authorities, or as directed by
Congress or Federal law.
DoD Component
Unless otherwise noted, includes the OSD; Military
Departments, including the Coast Guard when assigned to the
Department of the Navy; DAFAs; Combatant Commands;
WHS; the Uniformed Services University of the Health
Sciences; and all non-appropriated fund instrumentalities.
electronic records
Any information that is recorded in a form that only a
computer can process and that satisfies the definition of a
Federal record under the Federal Records Act.
The term includes both record content and associated metadata
that the agency determines is required to meet agency business
needs.
e-messages
Short for electronic messages; refers to e-mail and other e-
messaging systems that are used for purposes of
communicating between individuals.
e-messaging accounts
Accounts that allow users to send communications in real-time
or for later viewing. They are used to send messages from one
account to another account or from one account to many
accounts. Many e-messaging systems also support the use of
attachments. They can reside on agency networks and
devices, on personal devices, or be hosted by third party
providers.
AI 15, November 27, 2023
GLOSSARY 63
T
ERM
D
EFINITION
employee
For purposes of determining the individuals subject to Section
207 of Title 18, U.S.C., any officer or employee of the
executive branch or any independent agency that is not a part
of the legislative or judicial branches. The term does not
include the President or the Vice President, an enlisted Service
member, or an officer or employee of the District of
Columbia. The term includes an individual appointed as an
employee or detailed to the Federal Government under
Chapter 62 of Title 42, U.S.C., also known as the
“Intergovernmental Personnel Act,” or specifically subject to
Section 207 of Title 18, U.S.C., under the terms of another
statute. It encompasses senior employees, very senior
employees, special U.S. Government employees, and
employees serving without compensation.
ePHI
Individually identifiable health information that is created,
received, maintained, or transmitted in electronic form by a
covered entity or business associate. It does not include
individually identifiable health information in paper or oral
form.
essential or vital records
Records that are needed to meet operational responsibilities
under national security emergencies or other emergencies or
disaster conditions (i.e., emergency operating records) or to
protect the legal and financial rights of the U.S. Government
and those affected by U.S. Government activities, such as
legal and financial rights records.
evidential value
The usefulness of records in documenting the organization,
functions, and activities of the agency creating or receiving
them. See “historical value.”
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Federal records officer
An individual who serves as the official responsible for
overseeing their agency’s records management program. A
Federal records officer:
Ensures that their agency has an up-to-date records
management directive.
Creates and maintains a network of RLs responsible for
overseeing the program in headquarters and field offices in
cooperation with the Federal records officer.
Serves as the primary agency official who coordinates
records management matters with NARA and other oversight
agencies.
Coordinates the development of a records schedule with
NARA, IT, program, and agency officials. The records
schedule identifies records as either temporary or permanent.
All records schedules must be approved by NARA.
file numbers
The OSD alpha-numeric coding for identification of subject
matter and related content.
An index or file plan to associate concepts with specific
numbers, which are then applied to the materials being filed.
file series exemption
Exemptions from automatic declassification that are intended
for records that, during their review by the agency, have been
determined to require further classification beyond the 25-year
mark.
FIS
An information system used or operated by an executive
agency, by a contractor of an executive agency, or by another
organization on behalf of an executive agency.
FRC
A facility, sometimes specially designed and constructed, for
the low-cost, efficient storage and furnishing of reference
service on semi-current records pending 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.
government control
The ability of the originating government agency to regulate
access to documentary materials, especially classified
information.
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D
EFINITION
GRS
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 by the GRS. Exceptions may be granted only by the
Archivist of the United States. The GRS does not apply to an
agency’s program records.
hard copy records
Records consisting primarily of written words on paper or
other hard copy surfaces.
historical value
The usefulness of records for historical research concerning
the agency of origin.
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
A discrete set of information resources organized for the
collection, processing, maintenance, use, sharing,
dissemination, or disposition of information.
IT service provider
Defined in DoDI 5015.02 as “IT service.”
Kyl-Lott review
An evaluation of all permanent classified records and
information eligible for declassification to potentially identify
and protect from declassification and release all marked and
unmarked Restricted Data, Formerly Restricted Data, and
Trans-classified Foreign Nuclear Information.
life cycle of records
The concept that records pass through three stages: creation
and receipt, maintenance and use, and disposition. Records
should be managed properly during all three phases of the life
cycle.
litigation hold
A temporary suspension of the agency’s document retention
destruction policies for the paper documents and electronically
stored information that may be (or are reasonably anticipated
to be) relevant to a lawsuit. Also known as a “legal hold,”
“preservation order,” “records freeze,” or “hold order.”
metadata
Defined in National Institute of Standards and Technology
Special Publication 800-53 Revision 5.
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D
EFINITION
non-record materials
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
“records”). An agency’s records management program also
needs to include managing non-record materials. There are
three specific categories of materials excluded from the
statutory definition of records:
Library and museum material (but only if such material is
made or acquired and preserved solely for reference or
exhibition purposes), including physical exhibits, artifacts, and
other material objects lacking evidential value.
Extra copies of documents, but only if the sole reason such
copies are preserved is for convenience of reference.
Stocks of publications and of processed documents.
Stocks do not include serial or record sets of agency
publications and processed documents, including annual
reports, brochures, pamphlets, books, handbooks, posters, and
maps.
NSI
Information that has been determined pursuant to E.O. 13526,
or by the Atomic Energy Act of 1954, as amended, to require
protection against unauthorized disclosure and is marked to
indicate its classified status.
OSD CAPSTONE officials
Officials (e.g., personnel identified in the United States
Government Policy and Supporting Positions, commonly
known as “the Plum Book”) generally responsible for agency-,
program policy-, or mission-related actions designated
pursuant to NARA GRS 6.1.
OSD RIM Program-
serviced DAFAs
Defined in Section 2 of the OSD Primer.
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.
persistent format
An encoding format used to preserve digital data because it is
expected to remain usable, reliable, and accessible over a long
period of time. Also referred to as “sustainable format.”
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D
EFINITION
personal files
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 files are required to be filed
separately from official records of the office.
PHI
Pursuant to Public Law 104-191, also known and referred to in
this issuance as the “Health Insurance Portability and
Accountability Act (HIPAA)”, information considered to be
individually identifiable information relating to the past,
present, or future health status of an individual that is created,
collected, or transmitted, or maintained by a HIPAA-covered
entity in relation to the provision of healthcare, payment for
healthcare services, or use in healthcare operations (e.g., PHI
healthcare business uses).
Under HIPAA, PHI includes health information such as
diagnoses, treatment information, medical test results, and
prescription information; and national identification numbers
and demographic information such as birth dates, gender,
ethnicity, and contact and emergency contact information.
PII
Information that can be used to distinguish or trace an
individual’s identity, either alone or when combined with
other personal or identifying information that is linked or
linkable to a specific individual. For purposes of this
issuance, the term “PII” is personal information in any
identifiable form.
positive control
Policies and procedures that control the creation, transmission,
receipt, and maintenance and disposition of records to ensure
that records creators are authorized and identified and that
records are protected against unauthorized addition, deletion,
and alteration (e.g., via hacking, use, and concealment).
prime contractor
Defined in Section 8701 of Title 41, U.S.C.
Principal Staff Assistant
Defined in Paragraph c. of Enclosure 2 of DoDD 5100.01.
program offices
Organizations within an OSD Component or DAFA that
develop, implement, and manage appropriate policies and
procedures regarding specified functions. Program offices
also perform oversight and periodic review of operating
offices to ensure their compliance with Federal law,
regulations, and DoD issuances.
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D
EFINITION
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.”
RC or RL
Interchangeable title used for individuals designed to work
directly with OSD employees, Service members, and contract
personnel to implement OSD RIM guidance, develop standard
operating procedures, or implement guidance created or
received from the OSD Components and OSD RIM Program-
serviced DAFAs as applicable.
RDS
The administrative document used by OSD 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 OSD records that already have accumulated and
that will accumulate in the future. Sometimes called a
“records control schedule,” “records retention schedule,” or a
“records schedule.”
reasonable anticipation of
litigation
A legal standard state in which an organization is on notice of
a credible probability that it will become involved in litigation
or it seriously contemplates initiating litigation or takes
specific actions to commence litigation.
record disposition authority
moratorium
A temporary suspension of OSD record retention policies for
documents that may be relevant to a lawsuit or that are
reasonably anticipated to be relevant. Also known as a
“litigation hold,” “preservation order, notice,” or “records
freeze.”
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 U.S. Government or
because of the informational value of data in them. This does
not include library and museum material made or acquired and
preserved solely for reference or exhibition purposes, or
duplicate copies of records preserved only for convenience.
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D
EFINITION
records management
Defined in Section 2901 of Title 44, U.S.C.
reference files
Also known as “technical reference files,” “reference copies,”
or “information copies,” reference files may appear in these
forms:
A copy of a record kept for easy access to the information
it contains, as opposed to its intrinsic or evidential value.
A copy of a record distributed to make recipients aware of
the content but not directing the recipient to take any action on
the matter.
A specific copy used as a benchmark for purposes of
checking the quality of other copies.
responsive records
Documents or electronic records determined to be within the
scope of a Freedom of Information Act request or litigation.
reporting office
A business unit with the responsibility for maintaining the
authoritative version of a specific series of records that support
the functions and operations of such unit.
retention
The period that a specific series of records or collection(s) of
data or information is to be kept. Also referred to as a
“retention period.”
retention schedule
A document that identifies and describes an organization's
records, usually at the series level, and provides instructions
for the disposition of records throughout their life cycle. Also
referred to as an RDS, “records schedule,” “records retention
schedule,” or “transfer schedule.” The schedule may take the
form of:
An SF-115 that has been approved by NARA to authorize
the disposition of Federal records;
A GRS issued by NARA; or
A printed agency manual or directive containing the
records descriptions and disposition instructions approved by
NARA on one or more SF-115(s) or issued by NARA in the
GRS.
retirement
The movement of inactive files having a permanent or long-
term value to an FRC for storage, servicing, and ultimate
disposition. See “transfer or transferring” or “accession.”
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EFINITION
RIM
The field of management responsible for establishing and
implementing policies, systems, and procedures to capture,
create, access, distribute, use, store, secure, retrieve, and
ensure disposition of an organization’s records and
information.
RM
An individual overseeing the records management compliance
of reporting components, directorates, and divisions within a
WHS-serviced Component. Typical responsibilities include
establishing new records management systems; developing,
maintaining, verifying, and evaluating existing systems; and
overseeing the switch from paper to electronic record-
keeping.
RMs coordinate with office RC and RLs on the oversight,
implementation, and management of records and information
created in accordance with their programmatic responsibilities.
subcontractor
Defined in Part 60-1.3 of Title 41, CFR.
temporary records
Records determined by NARA to be disposable or
nonpermanent. NARA approves such records for destruction
or occasionally for donation to an eligible person or
organization.
transfer or transferring
Moving records into the physical custody of a NARA FRC.
The transferring agency retains the legal custody of transferred
records until final disposition.
unauthorized disposal
The improper removal of records without NARA approval or
the willful or accidental destruction of records without regard
to a NARA-approved records schedule. Unauthorized
disposition of Federal records is against the law and
punishable by up to $250,000 in fines and imprisonment
pursuant to Section 3106 of Title 44, U.S.C., and Section 2071
of Title 18, U.S.C.
unscheduled records
Records whose final disposition has not been approved by
NARA. Unscheduled records may not be destroyed or
deleted.
vicarious liability
Liability that a supervisory party (e.g., an employer) bears for
the actionable conduct of a subordinate or associate (e.g., an
employee) based on the relationship between the two parties.
WHS-serviced Component
CRMOs and RMs
CRMOs appointed by OSD Component heads; DAFA RMs
appointed by OSD RIM Program-serviced DAFA directors;
and DoD Advisory Committee RMs appointed by their
committee heads.
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D
EFINITION
WHS-serviced Components
The OSD Components, OSD RIM Program-serviced DAFAs,
and DoD Advisory Committees.
working files
Documents such as rough notes, calculations, or drafts
assembled or created and used to prepare or analyze other
documents. Also called “working papers.”
AI 15, November 27, 2023
REFERENCES 72
REFERENCES
Administrative Instruction 50, “Historical Research in the Files of the Office of the Secretary of
Defense,” May 20, 2015, as amended
Code of Federal Regulations, Title 36, Chapter XII, Subchapter B
Code of Federal Regulations, Title 41
Code of Federal Regulations, Title 48
Department of Justice, Office of Information Policy, “OIP Guidance: Applying a Presumption
of Openness and the Foreseeable Harm Standard,” current edition
1
Deputy Secretary of Defense, “DoD Data Strategy,” September 30, 2020
2
DoD Architecture Framework, current version
3
DoD 5010.12-M, “Procedures for the Acquisition and Management of Technical Data,”
May 14, 1993, as amended
DoD 5400.11-R, “Department of Defense Privacy Program,” May 14, 2007
DoD 5500.07-R, “Joint Ethics Regulation (JER),” August 30, 1993, as amended
DoD Directive 3020.26, “DoD Continuity Policy,” February 14, 2018
DoD Directive 5100.01, “Functions of the Department of Defense and its Major Components,”
December 21, 2010, as amended
DoD Directive 5100.55, “United States Security Authority for North Atlantic Treaty
Organization Affairs (USSAN),” February 27, 2006
DoD Directive 5101.01, “DoD Executive Agent”, February 7, 2022
DoD Directive 5110.04, “Washington Headquarters Services (WHS),” March 27, 2013
DoD Directive 5400.07, “DoD Freedom of Information Act (FOIA) Program,” April 5, 2019
DoD Instruction 5015.02, “DoD Records Management Program,” February 24, 2015,
as amended
DoD Instruction 5025.01, “DoD Issuances Program,” August 1, 2016, as amended
DoD Instruction 5040.07, “Visual Information (VI) Productions,” February 21, 2013,
as amended
DoD Instruction 5200.01, “DoD Information Security Program and Protection of Sensitive
Compartmented Information (SCI),” April 21, 2016, as amended
DoD Instruction 5200.48 “Controlled Unclassified Information (CUI),” March 6, 2020
DoD Instruction 5400.11, “DoD Privacy and Civil Liberties Programs,” January 29, 2019,
as amended
1
Available at https://www.justice.gov/oip/oip-guidance-applying-presumption-openness-and-foreseeable-harm-
standard
2
Available at https://media.defense.gov/2020/Oct/08/2002514180/-1/-1/0/DOD-DATA-STRATEGY.PDF
3
Available at https://dodcio.defense.gov/Library/DoD-Architecture-Framework/
AI 15, November 27, 2023
REFERENCES 73
DoD Instruction 5400.16, “DoD Privacy Impact Assessment (PIA) Guidance,” July 14, 2015,
as amended
DoD Instruction 6025.18, “Health Insurance Portability and Accountability Act (HIPAA)
Privacy Rule Compliance in DoD Health Care Programs,” March 13, 2019
DoD Instruction 8170.01, “Online Information Management and Electronic Messaging,”
January 2, 2019, as amended
DoD Instruction 8510.01, “Risk Management Framework for DoD Systems,” July 19, 2022
DoD Instruction 8580.1, “Information Assurance (IA) in the Defense Acquisition System,”
July 9, 2004
DoD Manual 5200.01, Volume 1, “DoD Information Security Program: Overview,
Classification, and Declassification,” February 24, 2012, as amended
DoD Manual 5200.01, Volume 2, “DoD Information Security Program: Marking of
Information,” February 24, 2012, as amended
DoD Manual 5200.01, Volume 3, “DoD Information Security Program: Protection of Classified
Information,” February 24, 2012, as amended
DoD Manual 5230.30, “DoD Mandatory Declassification Review (MDR) Program,”
December 22, 2011, as amended
DoD Manual 5400.07, “DoD Freedom of Information Act (FOIA) Program,” January 25, 2017
DoD Manual 5400.11, Volume 2, “DoD Privacy and Civil Liberties Programs: Breach
Preparedness and Response Plan,” May 6, 2021
DoD Manual 6025.18, “Implementation of the Health Insurance Portability and Accountability
Act (HIPAA) Privacy Rule in DoD Health Care Programs,” March 13, 2019
DoD Manual 8910.01, “DoD Information Collections Manual,” June 30, 2014, as amended
Executive Order 13526, “Classified National Security Information,” December 29, 2009
Federal Emergency Management Agency Federal Continuity Directive 1, “Federal Executive
Branch National Continuity Program and Requirements,” January 17, 2017
General Records Schedule 6.1, “Email and Other Electronic Messages Managed under a
Capstone Approach,” January 2023
General Records Schedule 6.2, “Federal Advisory Committee Records,” August 2015
National Archives and Records Administration Bulletin 2017-01, “Agency Records Management
Training Requirements,” November 29, 2016
National Archives and Records Administration Guide to the Inventory, Scheduling, and
Disposition of Federal Records
4
National Institute of Standards and Technology Special Publication 800-53, Revision 5,
“Security and Privacy Controls for Information Systems and Organizations,”
September 2020, as amended
4
Available at https://www.archives.gov/records-
mgmt/scheduling/values?_ga=2.147446260.231599913.1643731363-1717185861.1605815776
AI 15, November 27, 2023
REFERENCES 74
National Institute of Standards and Technology Special Publication 800-145, “The NIST
Definition of Cloud Computing,” September 2011
Office of the Chairman of the Joint Chiefs of Staff, “DoD Dictionary of Military and Associated
Terms,” current edition
Office of Management and Budget Circular A-130, “Managing Information as a Strategic
Resource,” July 28, 2016
Office of Management and Budget and National Archives and Records Administration
Memorandum M-19-21, “Transition to Electronic Records,” June 28, 2019
Office of Management and Budget and National Archives and Records Administration
Memorandum M-23-07. “Update to Transition to Electronic Records,” December 23, 2022
Office of Personnel Management Operating Manual, “The Guide to Personnel Recordkeeping,”
June 1, 2011, as amended
Office of the Secretary of Defense, “Records and Information Management Program Primer,”
current edition
5
Office of the Secretary of Defense Records Disposition Schedule, current edition
Public Law 104-191, “Health Insurance Portability and Accountability Act of 1996,”
August 21, 1996
Public Law 105-261, “Strom Thurmond National Defense Authorization Act for Fiscal Year
1999,” October 17, 1998
Public Law 113-187, “Presidential and Federal Records Act Amendments of 2014,”
November 26, 2014
Senate Committee on Homeland Security and Governmental Affairs and House Committee on
Government Reform, “United States Government Policy and Supporting Positions (Plum
Book),” current edition
United States Code, Title 5
United States Code, Title 10
United States Code, Title 18
United States Code, Title 31, Chapter 63
United States Code, Title 40, Subtitle III (also known as the “Clinger-Cohen Act of 1996”)
United States Code, Title 41, Section 8701
United States Code, Title 42
United States Code, Title 44
United States Security Authority for North Atlantic Treaty Organization Affairs Instruction 1-07,
"Implementation of the North Atlantic Treaty Organization Security Requirements,"
April 5, 2007
United States Supreme Court, “Federal Rules of Civil Procedure,” current edition
5
Available on the RDD Website.
