AI 15, 'OSD Records And Information Management Program .

Office of the Chief Management OfficerADMINISTRATIVEINSTRUCTIONNUMBER 15May 3, 2013Incorporating Change 2, November 17, 2020CMOSUBJECT: OSD Records and Information Management ProgramReferences: See Enclosure 11. PURPOSE. This administrative instruction (AI):a. Updates and renames AI 15, Volume I (Reference (a)), in accordance with the authoritiesin DoD Directive (DoDD) 5110.04 (Reference (b)), DoD Instruction 5015.02 (Reference (c)),chapters 29, 31, and 33 of Title 44, United States Code (U.S.C.) (Reference (d)), and chapter XII,subchapter B of Title 36, Code of Federal Regulations (CFR) (Reference (e)) to implement DoDpolicy, assign responsibilities, and provide procedures for the OSD Records Management andInformation Management Program.b. Establishes responsibilities and administrative procedures for the lifecycle management ofrecords and information, as required by References (c) through (e).c. Cancels AI 15, Volume II (Reference (f)) and authorizes the OSD Records DispositionSchedule (Reference (g)) to be published online at https://www.esd.whs.mil/RIM/. The schedulewill be updated as National Archives and Records Administration (NARA) approves changes tothe disposition schedules of the Washington Headquarters Services (WHS)-ServicedComponents or revises the General Records Schedules (GRS) citations.2. APPLICABILITY. This AI:a. Applies to OSD, WHS, and other DoD Components and entities to whom WHS providesrecords management support (referred to collectively in this AI as the “WHS-servicedComponents”).b. Applies to all advisory committees established or supported by the DoD , including thoseadvisory committees exempted from Title 5, U.S.C. Appendix 2 (also known and referred to inthis AI as “The Federal Advisory Committee Act of 1972 (FACA)”) (Reference (h)) by an act ofCongress.

AI 15, May 3, 20133. POLICY. It is DoD policy, in accordance with Reference (c), to:a. Limit the creation of records to those essential for the efficient conduct of official businessand to preserve those of continuing value while systematically eliminating all others.b. Ensure the management of records is in compliance with parts 1220-1239 of Reference(d), Reference (e), and chapters 102-193 of Title 41 CFR (Reference (i)).4. RESPONSIBILITIES. See Enclosure 2.5. PROCEDURES. Enclosures 3 through 11 address the specific functions and requirements ofthe OSD Records and Information Management Program.6. INFORMATION COLLECTIONS. The SD Form 828, “OSD Electronic Information SystemAppraisal,” referred to in paragraph 12.b of Enclosure 6 of this AI, has been assigned reportcontrol symbol DD-DA&M(AR) 2517 in accordance with the procedures in DoD Manual8910.01 (Reference (j)).7. RELEASABILITY. Cleared for public release. This AI is available on the DoD IssuancesWebsite at https://www.esd.whs.mil/DD/.8. SUMMARY OF CHANGE 2. The changes to this issuance are administrative and updatewebsite addresses and inconsistencies in organizational titles.9. EFFECTIVE DATE. This AI is effective May 13, 2013.Michael L. RhodesDirector of Administration and ManagementChange 2, 11/17/202202

AI 15, May 3, 2013Enclosures:1. References2. Responsibilities3. Management of Records and Information4. Disposition Procedures5. Disposition of Personal Files and Non-record Materials6. Electronic Records7. Preparing Records for Transfer to the FRC8. Packing and Shipping Procedures for Transfer of Records9. Recall of Records from the FRCGlossaryChange 2, 11/17/202203

AI 15, May 3, 2013TABLE OF CONTENTSENCLOSURE 1: REFERENCES .7ENCLOSURE 2: RESPONSIBILITIES .9DIRECTOR FOR ADMINISTRATION AND ORGANIZATIONAL POLICY, OFFICE OFTHE CHIEF MANAGEMENT OFFICER OF THE DEPARTMENT OF DEFENSE .9DIRECTOR, WHS .9OSD RECORDS ADMINISTRATOR .9ACMO.11WHS-SERVICED COMPONENT HEADS.11WHS-SERVICED COMPONENT CIOS .13WHS-SERVICED COMPONENT CRMOS AND RLS .14DOD EMPLOYEES OF WHS-SERVICED COMPONENTS .15ENCLOSURE 3: MANAGEMENT OF RECORDS AND INFORMATION .16OSD FUNCTIONAL FILE SYSTEM .16RECORDS ARRANGEMENTS .16FILE PLAN DESIGNATION.16RECORDS CATEGORIES .18BASIC FILE GROUPING.19FILING ARRANGEMENTS.21FUNCTIONAL FILE SYSTEM CONCEPT .21ORGANIZATION OF THE OSD FILE SYSTEM .22APPLICABILITY .23FUNCTIONAL AREA NUMBERING SYSTEM .23FILES CONTROL .24FILES CUTOFF PROCEDURES .25PREPARING AND USING GUIDE CARDS, FILE FOLDERS, AND LABELS.26CROSS REFERENCE .30LABELING FILE DRAWERS .30CLASSIFIED INFORMATION .31MANAGEMENT OF DOCUMENTS AND INFORMATION .31ENCLOSURE 4: DISPOSITION PROCEDURES .33GENERAL .33DISPOSITION STANDARDS .33SOURCE OF RETENTION PERIODS.33CHANGES TO RETENTION PERIODS .33RECORD FREEZES, PRESERVATION ORDERS, OR MORATORIUMS .34UNSCHEDULED (UNIDENTIFIED) RECORDS .34DISPOSITION INSTRUCTION .34DISPOSITION PROCEDURES .36TRANSFER OF FILES .36Change 2, 11/17/20204CONTENTS

AI 15, May 3, 2013TRANSFER TO OTHER GOVERNMENT AGENCIES .36NATO DOCUMENTS.37DISPOSITION OF FILES AND CHANGES OF STATUS .37RECORD SEARCHES AND PRESERVATION ORDERS .38REQUESTING MODIFICATIONS TO THE OSD RECORDSDISPOSITION SCHEDULE .39ENCLOSURE 5: DISPOSITION OF PERSONAL FILES AND NON-RECORDMATERIALS .42RECORD AND NON-RECORD MATERIALS OF GOVERNMENT OFFICIALS .42DISTINGUISHING PERSONAL FILES AND NON-RECORD MATERIAL .42PERSONAL FILES .42NON-RECORD MATERIALS .43INSTRUCTIONS FOR REMOVAL OF PERSONAL FILES .45ACCESS TO DONATED PERSONAL FILES, NON-RECORD MATERIALS, ANDFEDERAL RECORDS .46REMOVAL SUBJECT TO A NONDISCLOSURE AGREEMENT .47ENCLOSURE 6: ELECTRONIC RECORDS .48GENERAL .48CATEGORIES OF ELECTRONIC RECORDS .48ELECTRONIC RECORDS MANAGEMENT .50ELECTRONIC MAIL (E-MAIL) AND INSTANT MESSAGING (IM) .57RECORDS MANAGEMENT REQUIREMENTS FOR E-MAIL AND IM SYSTEMS .59DISPOSITION OF E-MAIL AND IM .59WEB 2.0 (SNS).60CLOUD COMPUTING SYSTEMS .61RMA OR SYSTEMS .61CAPITAL PLANNING AND MANAGING INFORMATION SYSTEMS .61JUDICIAL USE .63SCHEDULING .63TRANFERRING PERMANENT ELECTRONIC RECORDS TO NARA .65ADDITIONAL GUIDANCE .67ENCLOSURE 7: PREPARING RECORDS FOR TRANSFER TO THE FRC .69BACKGROUND .69FILE TRANSFER SELECTION .69SCREENING .69FILING RECOMMENDATIONS .70ENCLOSURE 8: PACKING AND SHIPPING PROCEDURES FOR TRANSFER OFRECORDS .71PACKAGING RECORDS FOR TRANSFER TO FRC .71SHIPPING CONTAINERS AND RELATED SUPPLIES .71Change 2, 11/17/20205CONTENTS

AI 15, May 3, 2013REQUISITIONING .71SHIPPING CONTAINERS FOR ODD-SIZED DOCUMENTS .71LISTING RECORDS FOR TRANSFER OR RETIREMENT .71TRANSFER OF RECORDS TO OTHER EXTERNAL ORGANIZATIONS .72RECORD PREPARATION FOR RETIREMENT AND SHIPMENT TO THE FRC .72RETIREMENT OF CLASSIFIED SECURITY INFORMATION .76MATERIAL THAT SHOULD BE DESTROYED .77USE OF RESTRICTED COLUMN .77ARRANGEMENT OF FILES IN FIBERBOARD BOXES .78PACKING AND SHIPPING CLASSIFIED FILES .80ENCLOSURE 9: RECALL OF RECORDS FROM THE FRC . 81OFFICIALS AUTHORIZED TO MAKE RECALLS . 81NORMAL RECALL PROCEDURES. 81URGENT REQUESTS . 81RETURNING RECORDS . 81ACCESS TO FEDERAL RECORDS BY OTHER INDIVIDUALS . 82GLOSSARY . 83PART I. ACRONYMS AND ABBREVIATIONS . . .83PART II. DEFINITIONS . 84TABLES1.2.3.4.5.Functional Area Numbering System . .22Example of Major Categories . 23Examples of File Numbers. 23Examples of Tiers Within a Series. 24Abbreviations for Records Labels . 30FIGURES:1. Sample Format for a File Plan . 182. Records Categories . 193. Examples of Guide Cards and File Drawer Entries . 264. Samples of Folder Label Entries . 275. Samples of Label Entries for Binders Containing Reference Publications . 286. Sample of Label Entries for Electronic Media . 297. Disposition Instructions . 358. Flat File Structure. . 539. Subject Matter File Structure . 5410. Consolidated File Structure. 5511. Hierarchal File Structure . 5612. Example of Standard Form 135 (SF135), “Records Transmittal and Receipt” . 7413. Labeling of Retirement Boxes . 7614. Example and Instructions for a Properly Stacked Pallet . 79Change 2, 11/17/20206CONTENTS

AI 15, May 3, 2013ENCLOSURE 1REFERENCES(a)Administrative Instruction 15, Volume I, “Office of the Secretary of Defense (OSD)Records Management Program - Administrative Procedures,” November 14, 2006, asamended (hereby cancelled)(b) DoD Directive 5110.04, “Washington Headquarters Services (WHS),” March 27, 2013(c) DoD Instruction 5015.02, “DoD Records Management Program,” February 24, 2015(d) Title 44, United States Code(e) Chapter XII, subchapter B of Title 36, Code of Federal Regulations(f) Administrative Instruction 15, Volume II, “Office of the Secretary of Defense (OSD)Records Management Program-Records Disposition Schedules,” April 18, 2008 (herebycancelled)(g) Office of the Secretary of Defense (OSD) Records Disposition Schedule(h) Title 5, United States Code (section 552 is also known as “The Freedom of InformationAct,” section 552a is also known as “The Privacy Act of 1974,” and Appendix 2 is alsoknown as “The Federal Advisory Committee Act of 1972”)(i) Title 41, Code of Federal Regulations(j) DoD Manual 8910.01, Volume 1, “DoD Information Collections Manual: Procedures forDoD Internal Information Collections,” June 30, 2014, as amended(k) DoD Manual 5230.30, “DoD Mandatory Declassification Review (MDR) Program,”December 22, 2011(l) Executive Order 13526, “Classified National Security Information,” December 29, 2009(m) DoD Directive 5400.11, “DoD Privacy Program,” October 29, 2014(n) DoD Instruction 8910.01, “Information Collection and Reporting,” May 19, 2014(o) DoD Directive 3020.26, “Department of Defense Continuity Programs,” January 9, 2009(p) Administrative Instruction 27, “Control of North Atlantic Treaty Organization (NATO)Classified Documents,” March 10, 2011(q) DoD 5015.02-STD, “Electronic Records Management Software Applications DesignCriteria Standard,” April 25, 2007(r) Title 18, United States Code(s) Office of the Chairman of the Joint Chiefs of Staff, "DoD Dictionary of Military andAssociated Terms," current edition(t) Executive Order 12829, “National Industrial Security Program,” January 6, 1993(u) Administrative Instruction 50, “Historical Research in the Files of the Office of theSecretary of Defense,” May 20, 2015(v) Office of Management and Budget Circular A-130, “Management of Federal InformationResources,” current edition(w) DoD Instruction 8550.01, “DoD Internet Services and Internet-Based Capabilities,”September 11, 2012(x) Executive Order 12906, “Coordinating Geographic Data Acquisition and Access: TheNational Spatial Data Infrastructure,” April 13, 1994(y) National Archives Records Disposition Authority, “DoD Visual Information,” DAA-03302013-0014Change 2, 11/17/20207ENCLOSURE 1

AI 15, May 3, 2013(z)National Institute of Standards and Technology (NIST), “The NIST Definition of CloudComputing,” NIST Definition Version, September 28, 2011Change 2, 11/17/20208ENCLOSURE 1

AI 15, May 3, 2013ENCLOSURE 2RESPONSIBILITIES1. DIRECTOR FOR ADMINISTRATION AND ORGANIZATIONAL POLICY, OFFICE OFTHE CHIEF MANAGEMENT OFFICER OF THE DEPARTMENT OF DEFENSE (DAOPOCMO). The DAOP OCMO will serve as the appellate authority to any denials or redactionsthat may be contested concerning the review of unclassified non-record information or materialsfor the purposes of removal from DoD custody consistent with DoD Manual 5230.30 (Reference(k)).2. DIRECTOR, WHS. Under the authority, direction, and control of the DAOP OCMO, theDirector, WHS:a. Directs and administers the records and information management program for the WHSserviced Components.b. Provides guidance to the WHS-serviced Components on the creation, organization,maintenance, use, and disposition of r

May 3, 2013 Incorporating Change 2, November 17, 2020 . CMO . SUBJECT: OSD Records and Information Management Program . References: See Enclosure 1 . 1. PURPOSE. This administrative instruction (AI): a. Updates and renames AI 15, Volume I (Reference (a)), in accordance with the authorities