ER 25-60-1 - USACE Records Management Program

DEPARTMENT OF THE ARMY ER 25-60-1

U.S. Army Corps of Engineers

CECI Washington, DC 20314-1000

Regulation

No. 25-60-1 30 June 2015

Information Management: Records Management

RECORDS MANAGEMENT PROGRAM

TABLE OF CONTENTS

PARAGRAPH PAGE

1. Purpose .................................................................................................................... 1

2. Applicability ............................................................................................................ 1

3. Distribution Statement ............................................................................................. 1

4. References ............................................................................................................... 1

5. Availability .............................................................................................................. 2

6. Policy ...................................................................................................................... 2

7. Responsibilities ........................................................................................................ 4

8. Recordkeeping Requirements and Procedures .......................................................... 9

9. Office Records Lists (ORLs) Development .............................................................10

10. Records Retention and Disposition..........................................................................11

11. Records Determination Under the USACE Records Program ..................................13

12. Unauthorized (Unlawful and Accidental) Destruction,

Damage or Removal of Federal Records ...........................................................16

13. Electronic Recordkeeping .......................................................................................17

14. Planning New or Enhanced Systems .......................................................................17

15. Managing Records on Electronic Media ..................................................................19

16. Statutory Authority .................................................................................................20

17. Judicial Use of Electronic Records ..........................................................................20

18. Use of CD-ROMs ...................................................................................................21

19. Imaged (Digital and Micrographic) Record Systems ...............................................22

20. Filing Procedures ....................................................................................................22

21. Applying Disposition Instructions ...........................................................................25

22. Records Retirement and Transfer ............................................................................27

23. Federal and Army Records Center ..........................................................................32

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APPENDIXES

Appendix A - References ................................................................................................. A-1

Appendix B - Definitions ................................................................................................. B-1

Appendix C - 11 Functional Record Series ....................................................................... C-1

Appendix D - Retention Standards ................................................................................... D-1

Appendix E - Prescribed and Referenced Forms ............................................................... E-1

Appendix F - Recordkeeping Requirements of this Regulation ......................................... F-1

Appendix G - Federal Records Centers and Major Storage Areas ..................................... G-1

DEPARTMENT OF THE ARMY ER 25-60-1

U.S. Army Corps of Engineers

CECI Washington, DC 20314-1000

Regulation

No. 25-60-1 30 June 2015

Information Management: Records Management

RECORDS MANAGEMENT PROGRAM

1. Purpose. This regulation establishes policies, responsibilities, and mandated procedures for

managing the U.S. Army Corps of Engineers (USACE) records management program. Policies

and procedures will ensure that records are properly managed from creation and receipt through

final disposition according to Federal law and regulations and Department of Defense (DoD) and

Army recordkeeping requirements. The USACE records management program supports and

documents USACE mission accomplishments, day‐to‐day business needs and interaction with

the public. Records ensure continuity and consistency in administration, assist officials and their

successors in making informed decisions and provide information required by Congress and

agencies that perform oversight functions. Records are retained to meet legal requirements and

protect the rights and interests of the government and people who are affected by government

actions and decisions. Records preserve the nation’s history for future generations.

Applicability. This regulation applies to all Headquarters USACE staff elements and USACE

Divisions, Districts, Centers and Field Operating Activities (FOA).

3. Distribution Statement. Approved for public release; distribution is unlimited.

References.

a. Federal Records Act of 1950, as amended, Title 44 U.S.C Chapters 21, 25, 29, 31 and 33.

b. Title 36, Code of Federal Regulations, Chapter XII, “National Archives, and Records

Administration,” Subchapter B, "Records Management."

c. Department of Defense (DoD) Directive 5015.2, Department of Defense Records

Management Program, http://www.dtic.mil/whs/directives/corres/pdf/501502p.pdf.

d. DoD 5015.2-STD, Electronic Records Management Software Applications Design Criteria

Standard, http://www.dtic.mil/whs/directives/corres/pdf/501502std.pdf.

e. Army Regulation (AR) 25-1, Army Information Technology,

http://www.apd.army.mil/pdffiles/r25_1.pdf.

f. AR 25-2, Information Assurance, http://www.apd.army.mil/pdffiles/r25_2.pdf.

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g. AR 340-21, The Army Privacy Program.

h. AR 25-30, Army Publishing Program, http://www.apd.army.mil/pdffiles/r25_30.pdf.

i. AR 25-400-2, The Army Records Information Management System (ARIMS),

http://www.apd.army.mil/pdffiles/r25_400_2.pdf.

j. AR 380-5, Department of the Army Information Security Program,

http://www.apd.army.mil/pdffiles/r340_21.pdf.

k. AR 550-51, International Agreements.

l. Department of the Army (DA) Pamphlet 25-1-2, Information Technology Contingency

Planning, http://www.apd.army.mil/pdffiles/p25_1_2.pdf.

m. DA Pamphlet 25-403, Guide to Recordkeeping in the Army,

http://www.apd.army.mil/pdffiles/p25_403.pdf.

n. Office of Management and Budget (OMB) Circular A-130, Management of Federal

Information Management Resources,

http://www.whitehouse.gov/omb/circulars_a130_a130trans4/.

o. OMB Directive M-12-18, Managing Government Records Directive,

http://www.whitehouse.gov/sites/default/files/omb/memoranda/2012/m-12-18.pdf.

p. Policy Memorandum, CECI-Z, subject: Electronic Document Records Management

System (EDRMS), 13 August 2014.

Availability. Access this regulation on the official USACE publications web page at

http://www.publications.usace.army.mil.

6. Policy.

a. USACE shall maintain and manage information from creation or receipt through final

disposition, according to Federal law and regulations, and Army recordkeeping requirements.

b. All USACE employees who use USACE electronic systems including email, or who

generate or receive paper documents, are RECORDS CUSTODIANS, and are responsible for

managing the information they generate and receive in accordance with this regulation.

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c. The USACE Records Management Program will include:

(1) USACE Records Program Manager appointed by the USACE Chief Information Officer

(CIO) who will manage the USACE Records Program.

(2) Records Administrator appointed by the Director, Army Corps of Engineers Enterprise

Information Technology (ACE-IT), to assist the Records Program Manager.

(3) A Records Manager at HQUSACE and every USACE Division, District, Center, and

FOA provided by ACE-IT.

(4) Records Coordinator at every office within HQUSACE and each Division, District,

Center, and FOA, appointed by the Office Supervisor. All appointments will be in writing and

forwarded by email to the local Records Manager.

d. The USACE EDRMS is the official USACE electronic recordkeeping system (see

references 4a and 4d above)

e. Mission-essential records must be available when needed, in usable formats, and created,

maintained, used and disposed of at the least possible cost.

f. Records needs to protect the rights and interests of USACE and the Army and its current

and former members and that are of permanent value will be preserved as provided herein.

g. The ACE-IT will journal USACE General Officers (GO) and Senior Executive Service

(SES) email accounts in compliance with Army policy. Journaled mailboxes are considered

Army electronic records and will be retained for a period of up to 10 years (as determined by

Army Records Management and Declassification Agency (RMDA)), and can be retrieved at any

time, IF authorized.

h. Records custodians will not create or send a record using a non-official electronic

messaging account unless the custodian: 44 U.S.C. Section 2911.

(1) Copies the custodian’s official electronic messaging account in the original creation or

transmission of the record; or

(2) Forward a complete copy of the record to the custodian’s official electronic messaging

account not later than 20 days after the original creation or transmission of the record.

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(3) The intentional violation of this provision, as determined by the appropriate supervisor,

will be a basis for disciplinary action

i. All records related to matters involved in administrative holds or legal proceedings will be

retained until officially notified to resume with normal disposition.

j. When laptops and personal computers (PCs) are excessed or reassigned, ACE-IT will

ensure that the supervisor/owner responsible for the laptop or PC saves the records from that

device that are necessary to support the office’s mission or that are subject to a records hold, and

that the supervisor/owner provides a written statement to document that the necessary records

have been saved. Laptops and PCs to be excessed or reassigned that include the records hold

warning sticker will be coordinated with the records hold point of contact.

7. Responsibilities.

a. The Chief Information Officer is responsible for the management of the USACE Records

Management Program.

b. Commanders, Directors and Chiefs of Separate Offices, in addition to Records Custodian

responsibilities, will --

(1) Supervise and manage recordkeeping systems within their organization.

(2) Ensure that organization records management practices are carried out in accordance with

this regulation.

(3) Ensure that contingency operations records procedures are carried out in accordance with

DA PAM 25-403, chap 12, para 1-7(g).

(4) Ensure that each office within the organization appoints a records coordinator

(5) Prepare written contingency plans that —

(a) Provide for the withdrawal or destruction of records in hostile or unstable areas for those

having elements in overseas areas.

(b) Provide procedures for addressing threats or attacks on information systems (IS) used to

maintain and store record information. (See DA PAM 25-1-2; chap 3, for elements of

information technology (IT) contingency plans.)

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(6) Ensure that all employees are aware of the provisions of the law relating to unauthorized

destruction of Federal records.

c. Records Program Manager will:

(1) Manage, oversee and direct the USACE records management program.

(2) Prepare policy and guidance as needed to advance the records management program.

(3) Advise Records Administrator(s), Records Managers, and Records Coordinators on

program compliance and recordkeeping best practices. Participate in training curriculum

development and training sessions.

(4) Provide program status reports to the CIO when requested.

(5) Register as an RA in ARIMS (see website at https://www.arims.army.mil for registration

instructions).

(6) Issue records freezes when appropriate or when directed by the White House, DoD, Army

or the USACE CIO.

(7) Obtain National Archives and Records Administration (NARA) Certificate of Federal

Records Management Training. New incumbents must possess the certificate within one year of

assuming the position.

(8) Oversee the maintenance and update of this regulation as needed.

(9) Direct and conduct records management and recordkeeping inspections throughout

USACE as needed.

d. Records Administrator(s) and the Enterprise Records Management Team, ACE-IT, will:

(1) Assist in managing, overseeing, and directing records manager operations for USACE,

and coordinate with Division records managers on management of Division programs.

(2) Assist the Records Program Manager in preparing policy, guidance and advising Records

Managers and Records Coordinators on program compliance and recordkeeping best practices.

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(3) Maintain a list and copy of appointment memos of all USACE records program

managers, records administrators, records managers and records custodians. Submit a copy of

written appointment memos via email to usarmy.belvoir.hqda-oaa-aha.mail.rmda-

records@mail.mil or mail to the U.S. Army Records Management and Declassification Agency,

ATTN: AAHS-RDR_R, 7701 Telegraph Road, Room 102, Alexandria, VA 22314-3860.

(4) Register as a RA in ARIMS (see website at https://www.arims.army.mil for registration

instructions).

(5) Provide records management training to Records Managers, Record Coordinators, and

End Users when there are major policy changes to record policy assist in curriculum

development.

(6) Direct and conduct recordkeeping inspections throughout USACE as needed.

e. Records Managers will:

(1) Manage, oversee, and direct the installation records management program and its

subprograms.

(2) Register as a RM in ARIMS (see website at https://www.arims.army.mil for registration

instructions).

(3) Maintain a list of all Records Coordinators and a copy of each Records Coordinator’s

appointment memo, within their District. Provide a list of Records Coordinators to the Records

Administrator.

(4) Establish processes for the collection and transfer of command records to Regional

Federal Records Centers.

(5) Approve office records lists (ORLs) in ARIMS.

(6) Manage and provide staff direction for the operation of the records holding area (RHA) to

include:

(a) Ensuring that RHA managers (RHAMs) are designated for all established and approved

RHAs and that they are registered as an RHAM in ARIMS. (See website at

https://www.arims.army.mil for registration instructions.)

(b) Ensuring that records are properly arranged and packed before movement from the RHA

to an FRC.

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with the FRC and local NARA offices.

(d) Ensure availability of annual refresher records management training for records

coordinators and initial records management training to newly designated records coordinators.

(e) Maintain liaison with and provide advice and assistance to security managers in

developing and executing a program to reduce classified records holdings to the absolute

minimum required.

(f) Provide records management training to newly hired employees and records refresher

training as needed.

f. Office Supervisors, in addition to Records Custodian responsibilities, will:

(1) Appoint Records Coordinator(s) in writing to provide records management assistance

within their office. Office Supervisors may appoint additional Records Coordinators to sub-

offices.

(2) Provide a copy of the appointment document to the Records Manager.

(3) Ensure that custodians within the supervisor’s office understand and comply with the

recordkeeping requirements in this regulation and that they receive the necessary training.

(4) Ensure that departing employees review their electronically stored information (ESI) and

paper documents before they depart and that records are saved to the appropriate system (filing

cabinets for paper records and all electronic records in the EDRMS).

(5) Respond to record holds by querying employees and notifying the issuing POC as to

whether their office has responsive records and who within their office has responsive records.

(6) Can register in ARIMS as Action Officer (AO) and assist Records Coordinator in

selecting the correct record numbers, based on the mission for the ORL.

g. Records Coordinators will:

(1) Serve as the records management subject matter experts in their office, managing the

program accordingly.

(2) Register in ARIMS as RC.

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(3) Create the ORL in ARIMS annually based on functional area and input from records

custodian(s).

(4) Enter approved ORLs into EDRMS.

(5) Assist the RM with records management inspections.

(6) Consult the RM for assistance and guidance on records management issues.

(7) Ensure that all records destroyed in the current files area are destroyed by cross-cut

shredding. No records will be disposed of in trashcans.

(8) Organize, pack, and prepare the SF 135, Records Transmittal List, to transfer/retire

records to a regional FRC.

(9) Take records refresher training annually.

(10) Forward appointment letter to RM.

h. Records Custodians will:

(1) Create records needed to do the business of their agency, record decisions and actions

taken to document activities for which they are responsible. Determine if the document they

generate or receive is a record.

(2) Maintain records so that information can be found when needed, preferably in the

Electronic Document Records Management System (EDRMS). Note: This means setting up

good directions, 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.

(3) Carry out the disposition of records under their control in accordance with ARIMS and

Federal regulations.

(4) Respond to record holds by notifying the Records Hold POC (legal) as to whether the

custodian has responsive records and preserve documents subject to the records hold, in

accordance with the Records Hold directions.

(5) Comply with the requirements in Paragraph 12 concerning the unauthorized (unlawful

and accidental) destruction, damage, or removal of Federal records.

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(6) Before departing any USACE office, review all records and data, and save and transfer to

appropriate records system (EDRMS) or SharePoint site. Preserve and notify records hold POC

(legal) if they have records responsive and subject to a records old.

8. Record Keeping Requirements and Procedures.

a. Proponents (offices responsible for the records) will coordinate any new, revised or

rescinded recordkeeping requirements, including recommended retention periods for the new or

revised requirements, with the Organization’s records manager. Records managers will use this

regulation to identify the Record Number (RN) of the subseries under which the records will be

kept and send requests for new, revised, or revised or rescinded types or records with proposed

disposition instructions, as needed, to the USACE Records Administrator. Requests will include

a complete description of the records to be created, identify any specific forms or documents to

be used and any automated information systems that may be used to produce or store the records.

b. Unscheduled Records: Records that do not have a disposition schedule approved by

NARA are unscheduled records. Records not identified or described in EDRMS or ARIMS

Army Consolidated Records Schedule (ACRS) should be brought to the attention of the

Organization’s records manager who will assist in the records identification process. New

records requirements or changes to existing dispositions will be submitted through records

channels for coordination with the proponent.

c. Unscheduled records will be retained in the current files area (CFA) as permanent records

until disposition instructions are approved by NARA. Once approved the applicable retention

period and disposition instruction will be applied to the records.

d. Contractor records: Records management oversight of contracts and contractor records is

necessary to ensure that all long-term recordkeeping needs are met according to the instructions

in the Army Consolidated Records Schedule (ACRS). Contractors will assign the appropriate

record identification and disposition instructions to all records delivered to the Government. In

addition, records and background electronic data specified for delivery to the contracting agency

must be accompanied by sufficient technical documentation to permit use of the records and

data.

(1) Contractors performing congressionally mandated program functions must create and

maintain records to document these programs. The contract must include requirements for the

delivery of all pertinent documentation of contractor program execution.

(2) Many other types of contracts involve the creation of background data that may have

value to the Government. Whenever appropriate, agency officials will require the delivery of

such background data in addition to the final product. For example —

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(a) Contracts to produce statistical analyses will specify the delivery of background data that

may have value to the contracting agency or to other agencies.

(b) Contracts to produce reports that represent Army policy will specify the delivery of

background data needed to verify assertions or justify conclusions.

contracting agency.

(d) A deferred ordering and delivery data clause should be included in the contract to acquire

any data and records that may have value to the Government but were not identified in advance.

9. Office Records Lists (ORL) Development.

a. ORLs are required and will be created annually in ARIMS to the greatest extent possible.

ORLs are primarily used to identify long-term and permanent records for retirement or transfer

and to ensure that the records listed identify and document the business of the office or unit. The

ORLs prepared in ARIMS are also used to generate ORLs in EDRMS.

Figure 9-1: ORL Sample

b. Organization records managers will review ORLs annually, for accuracy and completeness

and ensure that the ORLs adequately identify the organization’s records. The status column on

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ORLs prepared using the RM-Assist is provided as a convenience and should be used to notify

submitting offices or units of the progress or results of the review and if any changes are needed.

10. Records Retention and Disposition.

a. Record information will be categorized and arranged according to the EDRMS/Army

Consolidated Records Schedule (ACRS). Records document specific actions taken in support of

a primary function. Every Army element or office creates and maintains record information

(digital/electronic, paper, or other media records) in the process of performing administrative and

mission functions.

b. Each series is comprised of several general subseries which are identified by unique

record numbers (RNs) and titles, all of which are available in the EDRMS and can be found in

ARIMS ACRS. Additionally, the EDRMS contains approved disposition instructions for all

types of records and includes a search tool to locate the appropriate disposition for a specific type

of record.

Each subseries have 3 retention periods associated with it:

0-6 years: Short-term records having minimal value beyond the business process. Such

records will be maintained according to the business process, and until no longer needed, until

after a specified event occurs, or to meet a legal requirement. Records will not be maintained

longer than six years. Event records will not be maintained longer than six years after the

specified event.

6+ years: Long term records that have value beyond the business process, such as for

historical, legal, lessons learned, and research purposes, or involve individual rights and

interests. Such records will be maintained longer than 6 years and ultimately destroyed per the

specific disposition instructions.

Permanent: Permanent records which, in accordance with specific disposition instructions,

will ultimately be transferred to the National Archives and Records Administration (NARA) for

retention.

c. The retention and disposition of records are based on the period of time that an office

needs to keep them to meet business needs. Records should not be kept longer than authorized in

the disposition schedule. The retention and disposition instructions for retired records are

applied by the servicing RHA, Army Electronic Archive (AEA), or EDRMS. Once the

disposition for the long-term records is established, the precise holding period for those records

is calculated and applied to the records according to the instructions in the EDRMS RRS.

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d. Records services (storage, maintenance, reference, disposal, and transfer) for Army

records stored in the AEA or at a Federal Records Center (FRC) are centrally funded by HQDA.

USACE organizations will not be charged for the servicing of their records at these facilities.

The Archives and Records Center Information System (ARCIS) is the web-based management

system that is the standard means to transact all business with the FRCs.

e. Recordkeeping requirements during contingency operations (CONOPS) are governed by

the same laws and regulations as recordkeeping during peacetime or while in USACE.

(1) The nature of CONOPS makes good recordkeeping critical. Inadequate documentations

puts the Army at risk for losing important segments of its history, limits ability to formulate

lessons learned and could potentially lead to a failure on the part of the Army to protect the rights

and interests of those Soldiers and civilians deployed during CONOPS.

(2) Commanders are responsible will ensure that procedures and processes for collecting

records during CONOPS are established and carried out in accordance with DA PAM 25-403,

chap 12. Commanders of deployed units will designate a records coordinator (RC) as the unit

point of contact for the monthly collection and transfer of records created in their unit. As a

minimum, commanders will ensure that:

(a) Supporting plans are developed for maintaining and transferring operational records.

(b) Operational record collectors are appointed to carry out CONOPS recordkeeping

requirements.

contingency operations according to AR 220-15.

(d) CONOPS records are transferred each month according to the instructions in DA PAM

25-403, Ch 12.

(e) An electronic copy of the information on each server will be forwarded to the designated

RM as a part of the normal back-up procedure in the form of CD-ROMs, backup hard drives, etc.

(f) Operational records of subordinate activities assigned or attached to their commands

during the operation are included in the unit's monthly submissions.

f. The unclassified ARIMS website (https://www.arims.army.mil) and the classified

(ARIMS-C) website (http://www.arims.army.smil.mil) provide a variety of tools and services

designed to reduce the manual processes associated with traditional records management. The

system, based on the role of the user (action officer, records coordinator, RHA manager, records

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manager, or records administrator), provide, for example, identification of transfer records; on-

demand printing of folder labels, bulk archiving of electronic records; a master index of all

records maintained in RHAs worldwide and in the AEA; automatic assignment of disposition

and retention; and system-generated notices of destruction or retirement.

11. Records Determinations under the USACE Records Program.

a. A record is any information made or received by a Federal agency that documents a

Federal agency’s activities or is used to conduct agency business, and that is worth preserving as

evidence of an Agency’s organization, functions, policies, decisions, procedures, operations, or

other activities. Agency activities and the conduct of Agency business are considered a

transaction of public business. Information may also be a record because of its informational

value.

b. Federal Records Act (FRA) of 1950, as amended, Records Definition:

(1) IN GENERAL- As used in this chapter, the term `records'--

(a) includes all recorded information, regardless of form or characteristics, made or

received by a Federal agency under Federal law or in connection with the transaction of public

business and preserved or appropriate for preservation by that agency or its legitimate

successor as evidence of the organization, functions, policies, decisions, procedures,

operations, or other activities of the United States Government or because of the informational

value of data in them; and

(b) does not include:

(i) library and museum material made or acquired and preserved solely for reference or

exhibition purposes; or

(ii) duplicate copies of records preserved only for convenience.

(2) RECORDED INFORMATION DEFINED- For purposes of paragraph (1), the term

`recorded information' includes all traditional forms of records, regardless of physical form or

characteristics, including information created, manipulated, communicated, or stored in digital

or electronic form. 44 U.S.C. 3301 (2014)

c. Determining whether a particular document is a record does not depend on whether it is

an original or a copy. Duplicate copies of the same document may each have record status if

they serve a separate function and are controlled under different files or filing systems.

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d. Drafts and working papers created as part of an analysis or recommendations in

preparation of a final document are records if they document the decision making process. For

example, each Draft that reflects a significant change in how and why recommendations are

made to the decision maker, are records.

e. Types of documents that may be records include:

(1) All unclassified Army information, including For Official Use Only (FOUO), regardless

of medium that document actions taken by Agency personnel in performance of their official

duties.

(2) All classified Army records through SECRET. For records that are TOP SECRET, see

AR 380-5.

(3) E-mail is the electronic transfer of information typically in the form of electronic

messages, memoranda, and attached documents from one party to another party via an

intermediate telecommunications system. E-mail messages consist of the message header and

message contents. The header contains the mailing address, routing instructions, transmission

and receipt data, and other information the system needs to deliver the e-mail correctly. Most e-

mail systems allow the attachment of documents to messages, importing text from word

processing systems, forwarding messages, and distribution to individuals as well as groups and

use of public key infrastructure technology. Email may also contain telephone message

recordings from the VOIP (voice over internet protocol) telephone system.

(4) E-mail has become a major way of transacting Government business; however, e-mails

may be destroyed prematurely when they are not perceived as official records. E-mail messages

are official records when they are created or received in the transaction of public business and

retained or appropriate for retention as evidence of policies, actions, decisions, or transactions.

See paragraph 11.

(a) Examples of messages sent by e-mail that typically are records, include —

(1) Policies and directives.

(2) Correspondence or memoranda related to official business.

(3) Work schedules and assignments.

(4) Agendas and minutes of meetings.

(5) Drafts of documents that are circulated for comment or approval.

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(6) Any document that initiates, authorizes, or completes a business transaction.

(7) Final reports or recommendations.

(8) Information supporting or affecting decisions made in conduct of Government business.

(5) Some examples of messages that typically do not constitute records are —

a. Personal messages and announcements not related to official business.

b. Copies of documents distributed for convenience or reference.

c. Announcements of social events, such as luncheons, retirement parties, or holiday

celebrations.

(6) Official records communicated through e-mail systems must be identified, managed,

protected, and retained as long as needed for ongoing operations, audits, legal proceedings,

research, or any other known purpose IAW AR 25-400-2, this regulation, and the retention

schedules in EDRMS and on ARIMS ACRS.

f. Non-Record Materials include government-owned informational items not needed to

document, support or conduct USACE business activities and that do not meet the FRA record

definition. Non-Record Materials include personal records of an individual not subject to agency

creation or retention requirements, created and maintained primarily for the convenience an agency

employee, and not distributed to other agency employees for their official use, 32 C.F.R. Section

518.7(b), including:

(1) Papers accumulated before joining Government service;

(2) Materials relating solely to an individual’s professional affiliations and private

associations

(3) Books, diaries and personal notes brought into, created, or received in the office that are

not prepared or received in the process of transacting Government business.

(4) Extra copies of documents may be maintained specifically for personal reference when

warranted by the level and distinction of the position held by the originator, the significance of

the research, or the prestige of the researcher. These documents are considered non-record

material rather than personal papers and must be limited in volume.

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(5) Working papers maintained only for reference are non-record material and may be

disposed of when no longer needed. Extra copies of documents maintained for personal reference

are non-records. These copies must be kept to a limited volume.

g. Non-Record Materials also include:

(1) Record copies of international agreements covered under AR 550-51 (except those

maintained by the Office of the Judge Advocate General).

(2) Publications and blank forms stocked for filling requisitions.

(3) Reference materials and books in formally organized and officially designated libraries.

(4) Duplicate copies of records preserved only for convenience.

12. Unauthorized (Unlawful and Accidental) Destruction, Damage or Removal of Federal

Records.

a. In cases of accidental loss or destruction of Federal records by fire or other cause, the

records custodian will, with the assistance of the Organization’s records manager and IT Chief:

(1) Reconstruct as much of the lost or destroyed records as possible. A series can often be

reconstructed from other copies of the information maintained in other elements of the Army.

Reconstructed records should be documented with cross-referenced material to aid in identifying

their original content.

(2) Provide identification of the records if possible. A series can often be reconstructed

from other copies of the information maintained in other elements of the Army.

(3) Provide identification of the records that cannot be reconstructed to the Organization’s

records manager for recording on an SF 135 (Records Transmittal and Receipt) or equivalent at

the time that records of the same period are transferred to an RHA or EDRMS/AEA. An SF 135

or equivalent will be forwarded to the FRC by RHA or EDRMS/AEA personnel at the time the

records would have been retired if they still existed.

b. Unlawful destruction, damage, or removal of Federal records occurs when Federal

records are removed from the legal custody of Federal agencies or destroyed without regard to

the provisions of a records schedule. The willful and unlawful destruction, damage, or removal

of Federal records is a crime, and can subject the violator to a $2,000 fine, 3 years in prison, or

both. See 18 U.S.C. Section 2071. All employees will be made aware of the provisions of law

relating to unauthorized destruction of records and reporting requirements. When USACE

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becomes aware of an unauthorized (either unlawful or accidental) destruction, damage or

removal of Federal records, USACE through the Records Program Manager will report the

unauthorized destruction to NARA and take actions to recover the records. 44 U.S.C. Section

3106 and 36 CFR Part 1228.100.

13. Electronic Recordkeeping.

a. USACE records, regardless of medium, must follow the disposition instructions

identified in EDRMS/ARIMS RRS and comply with the security requirements of AR 25-2. Any

electronic information generated by or contained in an information system (IS) or other

information technology source, created or received during the conduct of business, must be

preserved according to those instructions (or if unscheduled, as established by the records

manager). This includes records contained in enterprise information systems (EISs), Division,

District, Center or FOA unique systems, e-mail systems, systems maintained in the office

environment, instant messaging, texting, and social media sites. The procedures for saving

electronic records should be determined as early as possible in the life cycle of a system.

b. Any copies of official records maintained on the user's system for reference purposes after

transfer of the official copy may not be kept longer than the retention period approved for the

record copy. Once moved to EDRMS or another official recordkeeping system, copies on the

user’s system may be deleted.

14. Planning New or Enhanced Information Systems.

a. Any functional proponent (office of record) planning a new automated information

system or enhancing (changing) an existing system, must ensure the retention of electronic

records and associated documentation, and ensure access to the records, for as long as the

USACE needs them as described in the records retention schedule. As with any medium

(electronic, paper, etc.), the originator of a record does not determine when to destroy the record.

This means that functional proponents (program and project managers) and information

managers must —

(1) Define electronic record information disposition instructions during the needs

justification phase of information system planning, milestone 0, and review in the revalidation

phase of each milestone in the life cycle management of the system.

(2) Evaluate potential systems to determine the record information required for business

purposes and validate the retention periods for that information according to the disposition

instructions identified in the EDRMS and ARIMS ACRS. Any new, revised, or rescinded

requirements will be coordinated with the agency records official, who will notify RMDA.

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b. Whether an information system (IS) contains record information will be determined by

reviewing the mission and functions statement of the office or offices supported by the system

and evaluating the system’s administrative, legal, or fiscal value. Also, a review of similar

information already scheduled and identified in the EDRMS and ARIMS ACRS may be useful.

Within an IS, the record information may include individual transactions or the results of many

transactions. When there are no systematic data outputs, a periodic snapshot of an entire

database may serve as the record. Depending on the architecture of the system, the records may

be collected and preserved in online, near line, or offline storage while awaiting disposal or

transfer to EDRMS or AEA. Records designated as long-term that are complete may be

transferred to the EDRMS or AEA immediately upon creation or collected in the IS and

transferred periodically. Alternatively, these records may be retained and preserved within the

IS for their entire life cycle, provided that they are identified in the master index of records in

EDRMS.

c. Information system documentation: Documentation on all IS that collect, store, process

or deliver electronic records will be kept current according to applicable technical bulletins and

standards. Therefore, the program managers, project managers and information managers will —

(1) Ensure that all electronic records are accompanied by documentation sufficient to

ascertain that the information is accessible and usable. Minimum documentation consists of

identifying the software programs and operating systems used to create the documents to the

extent that technical specifications, file arrangement, contents, coding and disposition

requirements of the files can be determined. Program and system documentation must be

maintained for as long as the related information is kept.

(2) Ensure that documentation, to include a copy (or mirror image) of the software program,

for IS containing or generating long-term records is transferred along with the related electronic

records sent to the AEA, unless a prior transfer of the same information occurred and no changes

were made. However, a statement to that effect will be included with the subsequent transfers to

ensure that the information may be accessed and used.

(3) Review documentation to determine if it:

(a) Adequately specifies all technical characteristics necessary to read or process the

records.

(b) Identifies all inputs and outputs of the system.

the information content and use.

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(d) Defines the contents of the files and records.

(e) Clearly states the purpose and functions of the system.

15. Managing Records on Electronic Media.

a. Information created within USACE may be recorded on media in machine-readable

format. Approved disposition schedules apply to all USACE recorded information, regardless of

the medium upon which recorded. In order to protect the rights and interests of USACE and its

members, keep costs to a minimum, and serve the study of history, storage media for long-term

records must be selected to best serve the operational needs of USACE and meet statutory

scheduling requirements. These decisions are vital considerations in the design stage of

information system life cycle management.

b. Electronic records require the same levels of protection as any other media. Proper

management provides for economic, efficient, and reliable maintenance, retrieval, preservation,

storage, and scheduled disposition of the information. All USACE personnel must comply with

the Army records disposition schedules in ACRS when disposing of or erasing media that stores

the only copy or the official copy of the record.

c. All media and systems selected to store and manage electronic records throughout their

life cycle must meet the requirements of DOD 5015.02-STD, the Army Records Program,

including ARIMS ACRS and EDRMS.

(1) EDRMS meets the requirements of DOD 5015.02-STD for storing, maintaining, and

transferring or disposing of all electronic records (short and long term).

(2) Record copies of long-term records (stored in or generated by an IS or other information

technology source) that are complete should be sent to the EDRMS as soon as practical for

secure long-term storage. Original hardcopy source documents that are converted to electronic

format (for example, by scanning) with permanent or unscheduled retentions must not be

destroyed until approval is obtained from NARA. Requests to destroy hardcopy source

documents will be forwarded through agency records channels to RMDA and include the RN(s)

for the converted records (stored in an IS or other information technology source), the volume

for each, their location, and a point of contact (name, address, email address, and telephone

number).

d. Permanent electronic records may be pre-accessioned to NARA before the records are

scheduled to be legally transferred to NARA. That is, NARA assumes physical custody, copying

the records onto archival quality media, verifying the adequacy of the technical documentation,

and similar actions. The transferring USACE organization retains legal custody until the records

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are scheduled to come under the legal custody of NARA; the Organization is responsible for

responding to all discovery efforts, Freedom of Information Act (FOIA) requests, and other

reference inquiries. Pre-accessioning of permanent records will occur on a case-by-case basis

through consultations with RMDA and NARA. Requests for pre-accessioning permanent

electronic records will be forwarded through USACE records channels to RMDA, include the

RN(s), a description of the records and the IS, the volume of records, the location, and a point of

contact (name, address, email address, and telephone number).

16. Statutory Authority.

a. Federal agency records programs are based on the Federal Records Act of 1950 as

amended, Title 44 U.S.C. The Act also provides the legal basis for the disposal of Federal

records.

b. Government-wide responsibility for Federal recordkeeping is shared by the General

Services Administration (GSA) and the NARA. The GSA is responsible for the Federal Mail

Management Program, CFR part 102-192 to 102-194. NARA is responsible for Federal records

management, and disposition policies, 36 CFR, Ch XII, Sub Chapter B, part 1220.

17. Judicial use Electronic Records.

a. Electronic records may be admitted in evidence to Federal courts for use in court

proceedings (Federal Rules of Evidence 803 (8)) if trustworthiness is established by thoroughly

documenting the recordkeeping system’s operation and the controls imposed upon it.

b. To enhance the legal admissibility of electronic records, USACE records officials will

implement procedures that –

(1) Document that similar kinds of records generated and stored electronically are created

by the same processes each time and have a standardized retrieval approach.

(2) Substantiate that security procedures prevent unauthorized access to and modification or

deletion of a record as well as ensure system protection against such problems as power

interruptions.

(3) Identify the electronic media on which records are stored throughout their life cycle, the

maximum time span that records remain on each storage medium, and the NARA approved

disposition of all records according to this regulation.

c. Coordinate all of the above with local legal staff and IT information and records

management staff.

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d. All USACE records custodians will respond to and comply with legal holds as directed

by the legal hold directions.

e. All computers subject to a legal hold will be identified with a label affixed to the

computer. The label will indicate that the computer contains records that are subject to a legal

hold and warn that any repairs will be coordinated with the hold POC before any repairs are

made.

18. Use of CD-ROMs.

a. Organizations may transfer permanent records to CD-ROMs that include fielded data

files or text files, for eventual preservation by NARA, that comply with the technical and

documentation requirements specified in 36 CFR 1235, for example –

(1) Conform to the International Standards Organization (ISO) 9660 standard.

(2) Comply with the American Standard Code for Information Interchange (ASCII)

standard.

(3) Comply with the ASCII character set and are not dependent on control characters or

codes not defined in the ASCII character set.

b. When permanently valuable electronic records on CD-ROM also exist on other media

such as magnetic tape, the USACE office retiring the records will coordinate with RMDA to

determine which medium is more appropriate for transfer of the records to NARA.

c. The NARA will accept audio compact discs and analog videodisks that typically contain

photographs, provided they do not require interactive software or nonstandard equipment to

view. Original photographs appraised as permanent and copied videodisk will be scheduled for

transfer to the National Archives with the copy of the videodisk.

d. Records contained on CD-ROM for retirement or transfer will be labeled and

documented in accordance with this regulation and DA PAM 25-403.

e. Army organizations may use optical disk systems for storing and retrieving permanent

and unscheduled records while the records remain in the organization’s legal custody.

Contingency approval to destroy the hardcopy source documents must be obtained from NARA.

Requests to destroy hardcopy source documents will be forwarded through USACE record

channels to the RMDA usarmy.belvoir.hqda-oaa-aha.mail.rmda-records@mail.mil and include

RN(s) for the converted records (stored in an IS or other automation source), the volume for

each, their location and a point of contact (name, address and telephone number).

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19. Imaged (Digital and Micrographic) Record Systems.

a. Imaging is the process of using scanner to digitize and convert hardcopy documents to

electronic bit-mapped images, which are stored on optical or magnetic media or reside on

servers. It can also refer to creating a duplicate of hardcopy or electronic document onto

micrographic media, such as film or fiche or saving an electronic document to an image format.

b. Digital imaging, when combined with effective indexing, can shorten information

retrieval time and allow multiple users access to record material at various locations. In most

cases, an indexing scheme of at least six fields is required for retrieval purposes: original office

symbol, organization, date(s), subject(s), record retention number, and identifier(s) such as

names or numbers. Most importantly, the functional proponent of the imaging system is

responsible for the maintenance, retrievability, quality, utility, and accessibility of the records.

c. Microform media are most often used for archival purposes. Prior to the development of

optical disk technology micrographic systems were a common media used for information

access, retrieval, storage and preservation. Consequently, record copy microforms reside within

the USACE records holdings. Detailed instructions and requirements for the management

standard, storage, use, and disposition of microforms are available on the NARA website at

http://www.nara.gov and DA PAM 25-403.

20. Filing Procedures.

a. Maintaining information as records: Effective records maintenance and reference

procedures are essential to document the Army’s official business. This section contains

procedures for maintaining Army information as records and applies to all media (including

paper and electronic). Additional procedures are discussed in DA PAM 25-403, Ch 3.

b. Arranging records. Unless specified by the prescribing directive, records should be

arranged in a manner that best suits the business or reference needs of an office, except that

records not covered by a Privacy Act (PA) System of Records Notice (SORN) will not be

arranged by personal identifier (for example, name, or social security number). SORNs are listed

on the Defense Privacy and Civil Liberties Office website at

http://dpclo.defense.gov/Privacy/SORNs.aspx .

c. Maintaining classified documents

(1) File classified and unclassified documents separately except when:

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(a) The volume of the classified material is small and it is more advantageous to use

otherwise empty space for unclassified material. However, the classified material will be

separated from the unclassified material by guide cards or by placement in separate drawers.

(b) The record of an action consists of both classified and unclassified documents and

reference needs require that both be filed together. Files, folders, and similar groups of

documents containing classified and or sensitive information will be clearly marked as to the

highest classification and or sensitivity of information contained therein. The classification and

or sensitivity marking will be on the outside, front and back, and top and bottom of the file or

folder. Attaching a document cover sheet to the outside of the file or folder is acceptable in

satisfying this requirement. When cover sheets are used, they will not be attached when the files

are in a secure storage container. When cover sheets are removed and the items are in secure

storage, the files or folders must be marked to indicate the highest level of classified and or

sensitive information contained therein.

will be secured and access to the area or containers monitored as if all contents are classified to

preclude the inadvertent disclosure of the classified materials.

(2) All classified documents, both originally and derivatively classified (except those

containing restricted data or formerly restricted data), will be marked on the face of the

document with a "Declassify on" line, with instructions for the declassification of the

information. Specific instructions for completing the "Declassify on" line are in AR 380-5.

(3) Further guidance on the classification and marking of documents, files, and records can

be found in AR 380-5.

d. Maintaining records for multiple organizations

(1) Officials performing duties for more than one organization will maintain the records

created in each capacity separately. Examples of situations requiring separate recordkeeping are

a division commander who is also an installation commander, a command safety officer who is

also the installation safety officer, or the chief of a staff office who is also secretary of a

committee.

e. Maintaining records in libraries

(1) Record copies of publications and other permanent documents as described in the

ARIMS ACRS will not be maintained as a part of library collections or manuscript collections in

libraries or museums. When extra copies are maintained in these collections, they should be

distinctly marked "LIBRARY COPY" or "MUSEUM COPY."

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f. Maintaining suspense files

(1) Suspense files are used as reminders that an action is required by a given date. Folders

or containers in which suspense documents are kept are not required to be maintained within the

recordkeeping system. The following are some examples of suspense files.

(2) A note to submit a report or to take some other action. The note would be destroyed

after the report is submitted or the action is taken.

(3) An outgoing communication filed by the date on which a reply is expected. When the

reply is received, the communication is withdrawn and filed (if it is the record copy) or destroyed

(if it is an extra copy).

g. Record Titles and Labeling

(1) The term “labeling” includes all methods of identification and applies to all record

material, regardless of media. Labels may include anything from handwritten to computer-

generated labels for hardcopy records. All folders (paper and electronic) and containers used to

store official record will be labeled. The records subseries listed in the RRS identify records for

filing reference and disposition. The subseries provide an overall indication of the types of

records that are commonly created and maintained in accordance with prescribing directives but

are not required to be used for office labeling purposes.

(2) Offices or units with an ORL stored in ARIMS may use the ARIMS to create and print

labels for records selected from that list. Labels may be created using the record subseries in

ARIMS or with working titles that best fit the business and or reference use of the records in an

office or both. Labels will include the record subseries number, a title, the year of file creation,

“Yes” if a PA system notice number is applicable or “NA” if a PA system notice is not

applicable and disposition instructions. The ARIMS-generated labels for long-term and

permanent records also contain bar codes used by RHA staff for indexing and tracking after the

records are retired to that facility. Labels may be modified to further identify records and/or to

specify business needs so long as the bar codes are not obstructed.

(3) Labeling of electronic records may range from naming folders as those that are shared

within the agency or separately managed at the office or individual level, to a detailed index of

single documents (for example, spreadsheets, database files, etc.) that reference or link to

associated material to complete the record. See DA PAM 25-403 for detailed instructions.

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21. Applying Disposition Instructions.

a. Disposition standards

(1) All records are divided into three categories: short-term records (retention period of 0-6

years), long-term records (retention period of 6 years, 3 months and above) and permanent

records. Short-term records are maintained to serve the business needs of the organization, long-

term records are maintained beyond their usefulness as business records, and permanent records

are ultimately transferred to NARA (see paragraph 10a).

(2) The disposition and retention of short-term records are applied in the current files areas

(CFA) according to business needs or the prescribing directive. These records are kept in the

CFA until they are no longer needed to support the business process for which they were created

or received, but not longer than 6 years or 6 years after an event occurs and then destroyed by the

office records coordinator, unless the records are subject to a legal hold. This does not mean,

however, that all short-term records should be kept for a period of 6 years.

(3) The disposition and retention of long-term records are applied at the RHA, AEA, or by

the USACE records administrator, records manager, or records coordinator. Hardcopy records

with a long-term or permanent disposition may be sent to an RHA or FRC at any time after they

are no longer needed for business, usually after 2 or 3 years, and are not subject to a Legal Hold.

Electronic long-term and permanent records bound for the AEA may be sent as soon as they are

complete, unless subject to a legal hold. The RHA and AEA personnel will apply and/or

determine the proper disposition and retention for the records according to the bar coded

information on the labels, ORLs on file in ARIMS, legal holds or according to mission and

function statements or lists of prescribing directives. After arrival at the RHA or AEA, all

records are processed in ARIMS, which automatically calculates the retention period for each

individual record and provides the eligible dates for destruction, retirement to an FRC, or offer to

the National Archives.

b. Deviations from disposition instructions

(1) Deviations from disposition instructions in ARIMS ACRS must be approved by the

Archivist of the United States. Deviations required by a legal hold do not need to be approved

by the Archivist. Requests for deviations will be sent through records management channels for

evaluation to determine whether an exception is warranted or if the disposition instructions

should be changed. Valid requests will be forwarded through the proponent of the prescribing

directive to the RMDA and include:

(2) The record number, subseries and brief description of the records involved.

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(3) Justification for the deviation, consisting of evidence of specific need for the records

and information on their continuing administrative, legal, or fiscal value to the U.S. Government.

(4) The physical location of the records, including information on whether the records were

or will be retired to an RHA or the AEA.

c. Changes to retention periods

(1) Retention periods may change occasionally because of statutory, legal, financial, or

administrative requirements. When a change increases the retention period, the new retention

period will be used for all similar records, both active and inactive under that RN, no matter

when the records were created or where they are maintained. When a change decreases the

retention period or changes from a permanent to a temporary period, the new retention period

will be used for all current records except that existing permanent records will remain as

permanent. Cost effectiveness should be considered when applying a decreased retention period

to inactive records. For example, if the volume of records involved would require a considerable

amount of time and effort to sort through and dispose of and storage space is not an issue, then

the records should be kept for the longer (former) retention period.

(2) Records freezes, legal holds or moratoriums are exceptions to disposition instructions.

Records freezes, legal holds or moratoriums refer to a court or agency imposed requirement to

keep the record until disputes or litigation and all appeals are resolved. Legal Holds are

primarily issued by the Organization’s Counsel Office in response to litigation in which USACE

is a party. The RMDA may also receive notification of the requirement to suspend disposition

from HQDA information proponents, DOD and Army General Counsel, or the Department of

Justice. In such cases RMDA will notify NARA, DA staff principals, ACOMs, ASCCs, DRUs,

and combatant commanders to suspend regular disposition of the affected records and when the

freeze, hold or moratorium is lifted. Each organization will notify its subordinate or supported

activities that a freeze or hold exists or has been lifted. The RHA and AEA managers are

accountable for the frozen records in the physical custody of their respective facilities.

d. Records disposal

(1) Unclassified sensitive and Privacy Act (PA) paper records will be destroyed by cross-

cut shredding or burning. Records will not be disposed of in trash bins or dumpsters.

(2) Records stored on electronic media (CDs, DVDs will be shredded; hard drives will be

smelted, punched/crushed IAW ACE-IT procedures).

(3) Non-sensitive and non-personally identifiable information (PII)/PA, unclassified records

authorized for destruction will be -

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(a) Processed through property disposal channels for sale or recycling.

(b) Disposed of under the DOD Precious Metals Recovery Program when in the form of

exposed x-ray film, motion picture film, and certain microfilm that contains precious metals.

(4) Destroy classified records in accordance with AR 380-5.

(5) Unclassified non-sensitive records authorized for destruction may be donated to an

eligible person, organization, institution, corporation, or government if donation is approved by

the Administrative Assistant to the Secretary of the Army (AASA). Process requests through

local records management channels to USARMDA. Specify the name and address of the records

custodian, the name and address of the proposed recipient, and a complete description, RN,

subseries, descriptive title, and inclusive dates of the records.

(6) For early disposal of records that are a menace to human life, health or property—

(a) Contact local fire officials if they have nitrocellulose base film that emits a noxious

odor, contains gas bubbles, or has retrograded into an acid powder and then notify RMDA.

(b) Notify RMDA to obtain authority for disposing of records of other menace. Provide the

RN, subseries, descriptive title, description of records, volume, location, and nature of the

menace.

22. Records Retirement and Transfer

a. Long-term records: Only records designated as long (retention period of 6 years, 3

months and above) are transferred out of the CFA. Records designated as short-term (retention

period of 0-6 years), are managed and destroyed within the CFA. The long-term records are

retired to an RHA, the AEA, or an FRC when they are no longer needed (NLN) for day-to-day

operations within the office and not subject to a legal hold; there is no set time they must be

retained with the CFA.

(1) Most records are needed for reference purposes in the CFA for at least 2 years after

record close-out so a general guideline would be to retire hardcopy long-term records not subject

to a legal hold 2 years after record close-out. However, if there are space issues and it is known

specific records will not be needed in the CFA, 1 year escalation is permitted. Records will not

be sent to an RHA or FRC the year of closeout because of the constant need to refer to records

during this period. If the record is needed for conducting business the entire retention period it

may be disposed of in the CFA with approval from the local RM.

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(2) Electronic long-term records should be submitted in the EDRMS as soon as action on

them is complete. Action is considered to be complete when all issues/decisions have been made

and no further action is required.

b. Hardcopy records: Temporary long-term records with a retention period of 7 years or

less will be retired to the RHA or FRC when NLN for business and not subject to a legal hold

and will be maintained and disposed of in the RHA/FRC. For example, records with a 6-year, 3-

month retention and using 2 years as a general transfer guideline, the records would be

transferred at the end of the 2 years held in the RHA/FRC until the end of the retention period (4

years, 3 months) and then destroyed.

c. Sending records to the Army Electronic Archive

(1) The Bulk Archive Tool (BAT) feature in ARIMS will be used to retire current and prior

year electronic long-term records to the AEA. The BAT may be executed directly from ARIMS

to set up the electronic folders on a file system, for example an individual drive, shared drive or

SharePoint site. Users uploading records to the AEA will receive on-line acknowledgement that

such records were successfully submitted to the AEA.

(2) The ARIMS Interface Control Document (ICD) may be used to retire current and prior

year electronic long term records that are stored in or generated by an IS or other automation

source to the AEA. The ARIMS ICD contains instructions on how to configure local IS or other

automation source such as a records management application to retire these records. All such

records retirements must be preceded by a notification to RMDA that provides an estimated size

of the overall records retirement, estimated start, and final dates, and a point of contact to address

any technical issues that may arise during the records retirement action. The ARIMS ICD is

available in the ARIMS downloads area to all registered users.

(3) Electronic long-term records can be sent to ARIMS for storage in the AEA by

originating offices or units as soon as they are complete. If the records must be kept on site

longer than the completion date, a request for exception will be forwarded to RMDA include a

point of contact (name, address, email address, and telephone number) for coordinating and

completing the information that will be entered to the master index of records in ARIMS.

d. Preparing records for retirement or transfer

(1) The designated coordinators will organize, pack, receipt, and send records to the

servicing RHAs. They will prepare receipts using SF 135 or equivalent and sign these

documents as liaison officials for the office. The originating office remains the legal custodian

of the records even when records are retired to an FRC and will provide input or review of these

receipts when requested to enable retrieval of these records if needed at a future date. For

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example, if the originating office receives a FOIA request for records that were retired, that

office is responsible for locating the records and retrieving them for review. If the organization

does not have an RHA, the designated records coordinator (RC) will prepare the SF 135 for

retirement of records to the regional FRC.

(2) Agency or command records managers will perform a cursory review of the boxes

identified on the SF 135 as the agency official. This document will be transmitted to the regional

FRC via ARCIS for approval and accession numbers. Upon receipt of the SF 135 from the FRC

with the accession numbers, the records managers working with the records coordinator will

prepare boxes for shipment to the regional FRC.

(3) Permanent USACE records are offered to NARA by RMDA as the designated agency

for the AASA. This does not mean that all permanent records should be kept in the office for 25

years. Permanent records require special care and should be transferred to NARA as soon as they

are no longer needed for current business, operations or legal use. If permanent records are no

longer needed in the office but are not ready for scheduled transfer to the archives, they may be

stored in an RHA or FRC. The maximum length of time that permanent records may be legally

kept in USACE custody is 25 years unless otherwise specified. If permanent records are needed

on site for longer than 25 years, a request for exception will be forwarded to RMDA. Permanent

electronic records can be pre-accessioned to NARA, see paragraph 10.a. and

http://www.nara.gov for more information.

e. Supplemental data when organizational status has changed

(1) Redesignation or reorganization without a transfer of function. Continue records

retention and disposition as if no change occurred.

(2) Transfer of functions. Send current records relating to the transferred functions to the

gaining organization. Retire inactive records to the designated RHA, FRC, or overseas

command records holding area (OCRHA).

(3) Discontinuance of a USACE organization.

(a) With a transfer of function. Send current records relating to the transferred function to

the gaining organization. Retire inactive records to the designated RHA, FRC, or overseas

command records holding area (OCRHA).

(b) Without a transfer of function. Retire records not eligible for immediate disposal to the

AEA, RHA, OCRHA, or other designated location. When the organization is not served by an

RHA or OCRHA, or when the RHA or OCRHA is also discontinued, retire records not

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immediately eligible for disposal to the geographically closest RHA, OCRHA, or FRC per table

at Appendix F.

required for continued maintenance of the installation as a special collection until they are

eligible for disposal. Retire other records according to paragraph 22.e (3)(a).

(3) Movement of USACE organizations and units. Destroy records eligible for immediate

disposal and move current records with the unit. Retire other records not required for future

actions to the losing RHA or OCRHA. If the unit moves without personnel, retire all records to

the losing RHA or OCRHA.

(4) Use of SF 135 or equivalent. Use SF 135 or equivalent when retiring records from units

undergoing a change of status.

f. Classified records

(1) Agency security managers must be consulted before retiring classified records and

actions initiated, as specified in AR 380-5, Para 6-27. RHAs will not accept classified records

for storage that were not reviewed for declassification and marked with declassification dates.

Classified information will not be disclosed on the SF 135 or equivalent; only unclassified titles

may be used to identify the records. Agency security managers should be consulted for specific

information.

(2) TOP SECRET records will not be retired until downgraded to a lower classification,

except those in overseas commands and those which are to be deposited with the Defense

Investigative Service and in the U.S. Army Intelligence and Security Command (USAINSCOM)

records center. When TOP SECRET records must be retired, transmission and accountability

will be in accordance with AR 380-5 and other applicable security management instructions.

(3) Instructions for listing, receipting and packing material with SECRET and

CONFIDENTIAL classifications are the same as those for unclassified, except that unclassified

titles will be used on the SF 135 or equivalent, to list the records . In addition, other receipts may

be needed such as DA Form 3964 (Classified Document Accountability Record). Wrapping and

shipping material with these classifications will be in accordance with AR 380-5, chap 8 and

later paragraphs of this regulation.

(4) Special intelligence documents, including TOP SECRET, will be retired only to the U.S.

Army Intelligence and Security Command (USAINSCOM) records center at Appendix F.

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(5) Regardless of classification, restricted data and formerly restricted data will not be

intermingled with other information when being retired to an RHA or FRC.

g. For Official Use Only (FOUO) and Transferring records to Other Organizations records

(1) Records with the FOUO protective marking will be packed as prescribed in this chapter

for unclassified records.

(2) The procedures for packing records and preparing and distributing records transmittal

lists when transferring records to organizations other than RHAs or FRCs are the same as those

described above.

h. Records Holding Areas and Federal Records Centers

(1) Regional and overseas records holding areas.

(a) Organization RHAs and FRCs will be used to store inactive hardcopy records. Optimal

use of these facilities will provide for the most efficient and economical management of agency

records.

(b) An OCRHA will continue to be maintained in each major outside continental United

States (OCONUS) command. The commander of each major OCONUS command will notify

RMDA of the activation, change, or discontinuance and the new address of any OCRHA within

his or her command jurisdiction.

(2) Establishing records holding areas.

(a) Organizations may establish or maintain local RHAs if the need is justified and cost

effective. RHAs established after the effective date of this regulation will be approved by CECI

and the agency records official who will report the establishment of a new RHA to RMDA.

(b) When approved, space for RHA use will be limited to the minimum required for records

holdings. The space selected must be in compliance with 36 CFR, Part 1234. The minimum

acceptable files-to-space ratio is 2 linear feet of files to each square foot of floor space. A ratio

of 3 or more linear feet of files to each square foot of floor space is possible under the best

conditions. Steel shelving of the type manufactured by the Federal Prisons Industries,

Incorporated (National Stock Number 7125-00-550-6015, Open Type "E," Class III, Metal

Storage and Display Shelving) should be used.

justified and approved, where space is available and such an operation is cost effective.

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(d) USACE Divisions, Districts, Centers and FOAs. If justified and approved (IAW 36

CFR, Part 1234), an RHA may be established, and if warranted, would serve all activities located

within the same geographical area. An RHA must be approved by CECI and agency records

official prior to its establishment. The Records Program Manager will notify RMDA of the

activation, change, or discontinuance, and the new address and point of contact of any RHA

within USACE.

i. The RHA managers will ensure that eligible records are retired or destroyed at the proper

time and that access to stored records is available. See DA PAM 25-403, Ch 7, for instructions

on retiring hard copy records to FRCs. RHA managers will —

(1) Ensure that all records are indexed in the ARIMS master index down to the folder level.

(2) Ensure that records removed from the RHA for reference or other actions are returned

within a reasonable time frame. Use DA Form 543 or equivalent as a charge-out suspense system

for this purpose.

(3) Establish a locator and disposition file. This file has copies of SFs 135 prepared by

offices placing records in the RHA or when records are retired to FRCs. This file makes it easier

to locate records in the RHA and to retrieve records from an FRC.

(4) Notify organizations of impending records destruction dates for their records stored in

the RHA and obtain their written approval prior to destruction of the records.

(5) When the records storage requirements of organizations being serviced by an RHA drop

below 100 linear feet annually, the RHA should be discontinued. Exceptions are permitted if

this is not practical or cost effective. Records that cannot be destroyed upon discontinuance of

the RHA will be retired to the appropriate storage facility, if eligible. Otherwise, they will be

returned to the office that placed them in the RHA.

(6) All RHAs are required to comply with the NARA facility standards set forth in 36 CFR,

Part 1234.

23. Federal and Army Records Centers.

a. NARA operates federal records centers in 9 regions throughout the United States which

provide secure storage for long term records.

b. There are 3 Army Records Centers for intelligence and criminal investigative records.

These centers are listed in that table at Appendix F.

25-60-1

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(1) USACE Organizations

may

send records directly to an FRC without prior authorization

from RMDA. A copy

each finalized SF 135, retiring records to an FRC will be provided to

RMDA.. The

Cs listed at Appendix F were established to receive and maintain records

Federal Government agencies with long-term or permanent value, pending their ultimate

destruction or accession into NARA. These centers furnish reference service for the records that

they maintain.

(2)

(Reference Request-Federal Records Centers) will be used to secure the loan of,

or gain access to, agency records that were retired into the FRC system.

(3)

SF 127 (Request for Official Personnel Folder-Separated Employee) will be used to

request the return

ofretired

Official Personnel Folders (Civilian) from the National Personnel

Records Center.

(4)

SF 180 (Request Pe1iaining to Military Records) will be used to request the return ofretired

Official Military Personnel folders from the National Personal Records Center.

FOR

THE COMMANDER:

-;1J,,/p,+

MICHAEL D. PELOQUIN

COL,

Chief

Staff

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A-1

APPENDIX A

Definitions

Data files: Word-processing, spreadsheet, slides, images, etc., but does not include email. Data

files are also referred to as loose files.

Documents (generic term): That includes all paper and ESI, including email and Automated

Information Systems (AISs e.g. P2, CEFMS) data, regardless of form or format.

Federal Records Center (FRC): Is a fee for service record storage/holding area with a national

network of 17 regional facilities storing and providing access to over 25 million cubic feet of

records.

Investigation: Either a preliminary inquiry or a more formal AR 15-6 inquiry into operations and

activities of USACE information systems or employee(s) use of those systems. Does not include

COMSEC monitoring

Legal Hold: A form of a Records hold issued by a USACE legal office or through a USACE

legal office from DoD, Army or Department of Justice.

Organization: Headquarters, Division, District, Center and field or project offices within those

commands.

Records Custodians: A records custodian is any individual who receives or creates records, also

known as users and employees.

Records Freeze: A form of a Records Hold issued through the USACE Records Program

Manager by the White House, DoD, Army RMDA or the USACE CIO.

Records Hold: Are legal holds, records freezes, Congressional requests, investigations, and

FOIA requests.

Records Holding Area (RHA): Local storage area established and maintained by the local

Organization for storage and maintenance of that Organization’s records before or in lieu of

transfer to a Federal Records Center (FRC).

Reference Documents: Documents and working papers maintained only for reference purposes

are generally non‐record material and may be disposed of when no longer needed. Extra copies

of documents maintained for personal reference are non‐records. These copies are normally

made at the time the document originated, and they must be kept to a limited volume.

RMDA: Records Management and Declassification Agency

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A-2

Working Files/Documents: Documents that the custodian is still drafting or assisting in drafting,

whether shared with others or not, and documents received that are still being reviewed or used

in the drafting process.

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B-1

APPENDIX B

Functional Records Series

The Army Consolidated Records Schedule (ACRS) is based on 11 functional records series plus

one special use series (CONOPS) which correspond to the Army’s primary lines of business.

Contingency Operations (CONOPS) [100 series]

Installation Management [200 series]

Security and Operations [300 series]

Information Management [400 series]

Medical [500 series]

Personnel [600 series]

Logistics [700 series]

Administration [800 series]

Emergency and Safety [900 series]

Legal [1000 series]

Finance and Audits [1100 series]

Quality Assurance [1200 series]

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APPENDIX C

Retention Standards

Retention standards

If the

retention

period is-

The abbreviated

disposition

instructions are-

Then the full disposition

standard would be-

And the minimum labeling

instructions would be-

Short-term

(0 through

6 years)

Keep in CFA until

NLN but NTE 6

years.

Maintain records in the

current files area until no

longer needed for business

but not to exceed 6 years,

then destroy. Records

should be maintained in

accordance with agency

business rules. Records will

be destroyed in the CFA.

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable

and disposition instructions.

Short-term

(0 through

6 years plus

event)

Keep in CFA until

a specific event

occurs and then

until NLN but

NTE 6 years.

Maintain records in the

current files area until the

event occurs and then until

no longer needed for

business after event occurs

but not to exceed 6 years,

then destroy. Records

should be maintained in

accordance with agency

business rules. Records will

be destroyed in the CFA.

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable,

specified event and disposition

instructions.

Long-term

(6 years or

more)

Keep in CFA until

NLN. RET to

AEA, RHA, or

other specified

location (for

example, FRC,

NPRC, WNRC).

Maintain records in the

current files area

for at least

one year after close out,

then retire to the AEA,

RHA, or other specified

location. Records will be

maintained for a minimum

of 6 years up to but not

longer than the approved

retention. Maintain the

records in accordance with

agency business rules.

Records will be destroyed

in the RHA/FRC.

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable

and disposition instructions.

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C-2

Long-term

(6 years or

more, plus

event)

Keep in CFA until

a specified event

occurs and then

until NLN for

business. RET to

AEA, RHA, or

other specified

location (for

example, FRC,

NPRC, WNRC).

Records will not be closed

until the event occurs;

Maintain records in the

current files area

for at least

1 year after close out; then

retire to the AEA, RHA, or

other specified location

when no longer needed for

conducting business.

Records will be maintained

for a minimum of 6 years

after the event up to but not

longer than the approved

retention. Maintain the

records in accordance with

agency business rules.

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable,

specified event and disposition

instructions.

Permanent

RET to AEA or

RHA when NLN

for business.

Permanent record.

Keep in the current files

area until no longer needed

for conducting business ;

then retire to the AEA or

RHA/FRC .

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable

and disposition instructions.

Permanent

RET to AEA or

RHA after a

specific event

occurs and when

NLN for business.

Permanent record.

Keep in the current files

area until the event occurs;

then retire to the AEA or

RHA/FRC when no longer

needed for conducting

business.

The record number, a title, the

year of file creation, ”Yes” if a

PA system notice number is

applicable or “NA” if a PA

system notice is not applicable

and disposition instructions.

Unscheduled

record.

Keep in CFA until

disposition instructions are

published; then apply

approved disposition.

The record number

(unscheduled), a title, the year of

file creation, ”Yes” if a PA

system notice number is

applicable or “NA” if a PA

system notice is not applicable

and “Keep in CFA until

disposition instructions

received”.

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D-1

APPENDIX D

Prescribed Forms

The following forms are available on the Army Publishing Directorate Web site at

http://www.apd.army.mil , unless otherwise stated. DD forms are available from the Office of

the Secretary of Defense Web site (http://www.dior.whs.mil).

Required Forms

DA Form 543. Request for Records .

OF 11. Reference Request-Federal Records Centers .

SF 127. Request for Official Personnel Folder Separated Employee. (Available through

normal forms supply channels.)

SF 135. Records Transmittal and Receipt

SF 180. Request Pertaining to Military Records .

Referenced Forms

DA Form 3964. Classified Document Accountability Record.

SF 703.

TOP SECRET Cover Sheet . (Available through normal forms supply channels.)

SF 704.

SECRET Cover Sheet . (Available through normal forms supply channels.)

SF 705. CONFIDENTIAL Cover Sheet . (Available through normal forms supply

channels.)

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E-1

APPENDIX E

Recordkeeping Requirements of this Regulation

Record Requirement

Army Records Information Management System (ARIMS) Master File

Record Description

Data consist of user profiles, office records list, Records Retention Schedule-

Army, official records stored in the system, Master Index, and reports such as User

and Unit Lists, ORL Report, and Record Disposition Report.

Disposition Instructions

Event is when superseded or obsolete. Keep until event occurs and then until no

longer needed for conducting business, then retire to the AEA, the AEA will delete

the record 10 years after the event.

Record Number

400B

Record Retention Period

6+ years

Record Requirement

Information management surveys

Record Description

Information relating to and used in preparing for staff visits and information

management surveys conducted to provide advice and assistance on, or to evaluate

the effectiveness of, information management operations and programs. Included are

notifications

of visits, reports of visits and surveys, reports or corrective action taken,

organizational charts, statements of function, copies of information management

directives, lists of personnel responsible for information management, copies of

training materials, copies of authorized deviations, schedules of surveys, notes, drafts,

and similar information.

Disposition Instructions

Keep in CFA until no longer needed for conducting business, then retire to

RHA/AEA. The RHA/AEA will destroy record when the record is 7 years old.

Record Number

400B

Record Retention Period

6+ years

Record Requirement

Office file numbers (approvals)

Record Description

Records administrator’s/manager’s approvals for and copies of approved office

file numbers for their organization.

Disposition Instructions

Keep in CFA until no longer needed for conducting business, but not longer than

6 years, then destroy.

Record Number

400B

Record Retention Period

0-6 years

Record Requirement

Biennial Microfilm Inspection Files -Inspection reports of permanent records:

Record copy and related documents

Record Description

These files contain the results of the biennial microfilm inspections of master

films of permanent and unscheduled records and temporary records which have a

retention period of ten years or longer. These inspections include determination of

aging blemishes, re-reading resolution targets, density re-measurement, and

certification of environmental conditions in which microforms are maintained. Note: A

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E-2

copy of the results of inspections will be attached to the SF 135 accompanying records

being transferred or retired and will include: Description of records tested (title,

number, or identifier for each unit of film, security classification, or other data

identifying the records; date of inspection; defects found and corrective action taken;

and identification of deteriorating master microform that were replaced with a silver

duplicate).

Disposition Instructions

Event is after the records are transferred to the legal custody of the National

Archives. Keep in CFA until event occurs; destroy 1year after event.

Record Number

400B

Record Retention Period

0-6 years

Record Requirement

Biennial Microfilm Inspection Files - Inspection reports of temporary records and

related records