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Handbook 09-22
March 2009

Appendix A

Additional Records Management Information

Statutory Authority

The Federal Records Act of 1950 as amended contains the statutory authority for the Army Records Information Management System (ARIMS) program. The General Services Administration (GSA) and the National Archives and Records Administration (NARA) share government-wide responsibility for federal recordkeeping. The GSA portions of the Federal Records Act are implemented in the Federal Management Regulations, Part 41, Chapter 102, Subchapter G, Code of Federal Regulations (CFR), and NARA portions are implemented in 36 CFR, Chapter XII, Subchapter B. These are, in turn, implemented by Army regulations.

Sections 3301-3314, Title 44, United States Code (44 USC 3301-3314), establishes the legal basis for the disposal of records of the U.S. government. The Director, U.S. Army Records Management and Declassification Agency (USARMDA) (AAHS-RDR), 7701 Telegraph Road, Alexandria, VA, 22315-3860, develops retention and disposal authorizations that meet Army needs and obtains approval from the archivist of the U.S. Approval by the archivist is legal authority for the retention and disposal of all Army records.

The Paperwork Reduction Act, 44 USC, Chapter 35, establishes the legal basis for minimizing the cost of creation, collection, maintenance, use, dissemination, and disposition of information.

Army policies:

  • Army Regulation (AR) 25-1 (Army Information Knowledge Management and Information Technology), Chapters 2 and 8, <http://www.apd.army.mil>
  • AR 25-400-2 (Army Record Information Management System [ARIMS]), <http://www.apd.army.mil> and <http://www.arims.army.mil>
  • Department of the Army Pamphlet (DA Pam) 25-403 (Guide to Recordkeeping in the Army), <http://www.apd.army.mil>
  • Guidance specific to operational records during a contingency
  • Army Knowledge Online (AKO): Recordkeeping guidance and directives are posted on AKO under the files area. Go to "U.S. Army Organizations/Army Records Management/Recordkeeping File Cabinet/Contingency Operation" folder.

Quick Reference Guide

Below is the entire quick reference guide that has been distributed and posted at various sites. The guide provides a listing of information that units should create and preserve and instructions for shipping and/or transmitting information to the proper holding facility. As stated in the main recordkeeping narrative, this may not always be practical or possible. At a minimum, take records with you to home station upon redeployment or ship to home station prior to redeployment.

This guide applies to all Army forces that are deployed or engaged in operational missions. The guide provides instructions for the creation and preservation of records in units and parts of units deployed for combat, emergency, and special operations both singly and as part of a task force. The records specified in this guide provide important rights and interest information for Soldiers and veterans. The Army must be able to research the location and activities of units and Soldiers involved in combat or contingency operations. Destruction or loss of Army records is a violation of federal law and must not occur.

Commanders of deployed units will designate a point of contact, a records coordinator (RC), for the monthly collection and transfer of records created in their units in accordance with processes established by the commander directing the overall operation. Records shipped by mail, either hardcopy or electronic records on approved removable media authorized by your local G6/S6, should be accompanied by a completed Standard Form 135. If this is not possible, a simple cover sheet can be used (legibly handwritten or typed) giving the unit's full name and address, unit identification code, unit point of contact information, name of task force, name of operation, inclusive dates of the records, and a list of the records in the shipment. Note: Records sent to the Washington National Records Center (WNRC) will only be accepted if all transfer procedures are properly followed. These procedures and all necessary forms can be accessed at <http://www.archives.gov/frc/toolkit.html>.

This guide applies to all records regardless of media, e.g., paper, computer discs and tapes, microform, photographic film, e-mail, and other electronic formats. Electronic records (received or transmitted) will be provided in the format in which they were saved. Transmit unclassified e-mail to be preserved as a record to conops@conus.army.mil. Other unclassified records may be attached to an e-mail and sent to the same address. Put the name of the operation in the subject line. Classified records may be attached to an e-mail and sent classified e-mail. Please contact conops@conus.army.mil for the classified e-mail address. Do Not Mix Classified and Unclassified Records On Electronic Media.

Annex A contains a list of specific records to be created, maintained, and transferred. Specific record descriptions for each of these file numbers can be found on the ARIMS Website, <https://www.arims.army.mil>, under the Records Retention Schedule—Army (RRS-A) tab. The list of file numbers in Annex A is not all-inclusive. Any records that document operations of the unit will be preserved per this instruction and AR 25-400-2.

From time to time organizations such as Center for Army Lessons Learned and military history detachments will visit deployed units to collect copies of records. Do not give these organizations the record copy of information to be preserved. The record copy will be handled in accordance with these instructions and AR 25-400-2.

Army records may be destroyed only if capture by a foreign power appears imminent. Destruction for any other reason is not authorized. If emergency destruction of records is performed, a list of those records and the inclusive dates of each will be compiled to the extent possible and sent to U.S. Army Records Management and Declassification Agency, Records Management Division, ATTN: AAHS-RDR, 7701 Telegraph Rd, Casey Bldg. Rm. 102, Alexandria, VA, 22315-3860, <https://www.arims.army.mil>.

Do not "over-classify" records. Follow the classification guides in Army Security Regulations and/or the operation plan (OPLAN) for the operation. Ensure declassification instructions accompany all classified records including electronic records prior to transferring them. Mail classified records (double wrapped) by registered official mail.

Annex A 

Functional Area

File #

Description

Send the following records to: U.S. Armed Forces Center for Unit Records Research, ATTN: AAHS-RDC, Kingman Building, Room 2C08, 7701 Telegraph Rd., Alexandria, VA, 22315 

Operations

220-15a1

Daily staff journal and tactical operations center log with coordinates of locations and events 

Operations

525a1

Command reports, special reports, maps and overlays, and incident reports 

Operations

525n 

Operation planning files; OPLANS (including audio/videotapes of teleconferences) 

 

Operations

     

525p1

Operation procedure files; operations orders (including audio/videotapes of teleconferences) 

Office Housekeeping 

1hh

Office temporary duty (TDY) travel (civilian TDY orders) 

 Nuclear/Chemical

50-5a1

Nuclear accident/incident controls 

Weapons/Materiel

   50-6b1 

Chemical accident/incident controls 

Safety

385-10f2

Accident/incident case files (including nuclear, chemical, and biological exposure) 

Military Police

190-45b2, 3

Military police journals (blotters) 

Process and transmit the following records in accordance with the regulations that prescribe their creation. These records should be shipped to the unit's home station records holding area on a monthly basis for processing or the Washington National Records Center (WNRC), 4205 Suitland Rd, Suitland, MD, 20746-8001. Note: Records shipped to WNRC will only be accepted if all transfer procedures are properly followed (see above link).

Management 

5b1 

Agreement 

Military Police 

190-8a 

Individual enemy prisoner of war (PW)/detainee files 

Military Police 

190-8b 

Enemy PW/detainee general information 

Military Police 

190-8d 

Enemy PW/detainee complaints and investigations 

Military Police 

190-8e 

Enemy PW/detainee strength reports 

Military Police 

190-8f 

Enemy PW/detainee rosters 

Military Police 

190-8h 

Enemy PW/detainee educational media 

Military Police 

190-8i1, 2 

Enemy PW/detainee noncontract labor 

Military Police 

190-8j1, 2 

Enemy PW labor contracts 

Military Police 

190-8k 

Enemy PW camp labor reports 

Military Police 

190-8q 

PW censorship 

Military Police 

190-8s 

Enemy counterintelligence (CI) general information 

Military Police 

190-8u 

Enemy CI complaints and investigations 

Military Police 

190-8v 

CI strength reports 

Military Police 

190-8w 

Enemy CI rosters 

Military Police 

190-8x 

Enemy CI property accounting files 

Military Police 

190-8y 

Enemy CI educational media 

Military Police 

190-8z 

Enemy CI noncontract labor 

Military Police 

    190-8aa     

Enemy CI camp labor reports 

Military Police 

190-9a 

Absentee cases 

Military Orders 

600-8-105a 1 

Personnel type orders 

Army Information 

360-5b 2 

News media and releases 

Transportation 

55-355PERf      

Passenger manifests (per Department of Defense [DOD] 4500.9-R, Vol. 1) 

Transportation 

55-355FRTg      

Bills of lading (per DOD 4500.9-R, Vol. 2) 

Logistics 

710 2a 

Property book and supporting documents 

Logistics 

710 2b 

Document registers 

Logistics 

710-2h1,2,3 

Property loss, theft, and recovery reports 

Logistics 

710-2t     

Unit supply reports 

Logistics 

735-5r1 

Report of survey files 

Logistics 

735-5s 

Report of survey control register files 


Send the following records to: Inspector General, ATTN: SAIG-IR, 2511 Jefferson Davis Hwy, Arlington, VA, 22202-3912 

Inspector General Records: 

Asst., Insp., Inv. 

20-1b 

IG Investigations 


Send the following records to: CDR, 902d MI GP, Investigative Records Repository, ATTN: IAMG-C-IRR, 4552 Pike Road, Fort George G. Meade, MD, 20755-5995: 

Intelligence Records: 

Intelligence 

381-20d 

CI collection files 

Intelligence  

381-20i1,2,3 

Foreign personnel and organization files 

Intelligence 

381-20n 

U.S. PW/missing in action detainee intelligence 

Intelligence 

381c 

Intelligence/CI sources 

Intelligence 

381-47a 

CI, special operations 

Intelligence 

381-100a 

Human intelligence collection 


Send the following records to: CDR, U.S. Army Intelligence and Security Command Records Center, ATTN: IAIM-RP-R, 8825 Beulah St, Fort Belvoir, VA, 22060-5246: 

Intelligence 

381-3a 

Military intelligence (MI) operational management files 

Intelligence 

381-3b1 

MI operational management reports 

Intelligence 

381-3c 1, 2 

MI non-operational reports 

Intelligence 

381-3d1 

MI mission assignments 

Intelligence 

381-3f     

MI project cases 

Intelligence 

381-11b 

Scientific and technical intelligence products 

Intelligence 

381-20b 

Captured information 


Medical Records: Units providing medical care will transmit these records in accordance with medical prescribing directives. 

Medical 

40 

Clinic logs 

Medical 

40-5d1 

Command health reports 

Medical 

40-66a 

Outpatient field medical file (including DD 2766; DD 1380; standard forms (SFs) 516, 558, and 600; and other medical reports) 

Medical 

40-66ddd1,2 

Inpatient, fetal monitoring strips, and extended ambulatory records for fixed medical facilities 

Medical 

40-66i 

North Atlantic Treaty Organization inpatient records 

Medical 

40-905e1,2 

Military animal records 

Visual information records (still and motion) will be sent to director, U.S. Army Visual Information Center, ATTN: JDHQS-AV-E-L, Room 1A256, 3001 Army Pentagon, Washington, DC, 20310-3001 for processing into the records center.

Personnel Records: Process and transmit personnel records in accordance with personnel prescribing directives.

DA Pam 25-403, Guide to Recordkeeping in the Army, Chapter 12, Contingency Operation Record Collection

This excerpt from DA Pam 25-403 provides guidance and procedures for setting up a successful collection process for operational records.

Background

Recordkeeping requirements during contingency operations are governed by the same laws and regulations as recordkeeping during peacetime or while in garrison. However, the nature of a contingency operation makes good recordkeeping even more critical. Without properly documenting contingency operations, the Army as an institution risks losing important portions of its history; can lose the ability to formulate lessons learned; and, most importantly, can fail to protect the rights and interests of the individual Soldiers and civilians deployed.

Missing records during Operation Desert Storm resulted in the Army spending millions of dollars for record reconstruction. This record reconstruction was to try and pinpoint unit/individual locations during specific times during the conflict. The information was used to substantiate claims for and to determine the cause of Gulf War Syndrome suffered by many deployed Soldiers.

Explanation of responsibilities

AR 25-1, paragraph 2-12i states the Deputy Chief of Staff, G-3, will "ensure that support is included in Army operational planning documents for the collection and transfer of records created by deployed units in contingency operations per AR 25-400-2."

AR 25-1, paragraph 2-24g states commanders of the Army component combatant commands will "integrate records management support into operational plans for the collection and transfer of records created by deployed units in contingency operations per AR 25-400-2."

AR 25-400-2, paragraph 1-4f states commanders of Army components operating under a joint command will "ensure, through a designated contact, that records are created and preserved throughout the Army component in accordance with the records procedures in paragraph 1-7f. The designated contact will establish the processes for the collection and transfer of unit records."

AR 25-400-2, paragraph 1-7 f states "records created by deployed units in CONOPs are collected monthly and sent to designated transfer locations as directed by a pre-positioned message from the Pentagon Army Operations Center (AOC). Deployed units will be provided copies of the Quick Reference guide outlining requirements for specific and minimum records creation, preservation, collection, and transfer."

A reminder of these responsibilities is dispatched via message from the AOC at the beginning of a contingency operation.

Collection guidance

Procedures and processes for collecting records during a contingency operation are the combatant commander's responsibility and generally left to his direction. However for guidance purposes, the following procedures have been extracted from the successful collection processes used by U.S. Army, Europe (USAREUR) for records created during the operations in Bosnia and Kosovo. In that area of responsibility (AOR), the combatant commanders realized the importance of documenting operations. They supported and directed the effort through all staff elements and through the ranks, down to the unit level. For the purposes of DA Pam 25-403, the USAREUR guidance has been modified to provide recommended procedures for all contingency operations records collection and preservation. To ensure records from the AOR are collected and properly prepared for transfer to continental U.S. facilities, resources should be provided to create a records holding/staging area within the AOR. This area should be staffed and equipped to process both electronic and hardcopy records received from units down range.

Commanders of units down to separate company level that are deployed in contingency operations will manage and supervise operational recordkeeping systems in their commands.

These commanders will:

  • Develop supporting plans for maintaining and transferring operational records according to DA Pam 25-403.
  • Appoint operational record collectors (RCs) to carry out the contingency operation recordkeeping requirements.
  • Maintain a daily staff journal or duty officer's log (DA Form 1594) during contingency operations according to AR 220-15.
  • Ensure that operational records are transferred each month according to paragraph d(5) below and the instructions provided by this DA Pam. Commanders will also ensure that operational records of subordinate activities assigned or attached to their commands during the operation are included in the unit's monthly submissions.
  • Ensure remaining records are transferred after the contingency operations mission is completed.
  • Ensure that when different units rotate in and out of the same area of the operation, the outgoing unit thoroughly briefs the incoming unit on its records collection and transfer processes before the transfer of authority:
    • The requirement applies to all forms of unit-generated records, whether produced on paper or in electronic format (e-mail, diskette, posted on Websites, compact disc). The most common unit-generated operational records include commanders' assessments, daily staff journals, FRAGOs, intelligence reports, OPLANs, OPORDs, personnel and logistics reports, serious incident reports, situation reports, spot reports, and reports generated to describe the occurrence of a particular event. Medical records will be collected and preserved through these procedures only if the situation does not allow for their return through existing procedures for turning in medical records.
    • Table 12-1 (access at <http://www.apd.army.mil>) lists some of the most common types of operational records. At Appendix C (access at <http://www.apd.army.mil>) is the Quick Reference Guide to Documenting Operations for Deployed Units of the Army. The guide provides additional records and specific guidance on where to send these records.

Notes:

1. This table does not list all files that units should maintain. Units should also preserve files not listed in this table that document unit activities.

2. Prescribing publications:

  • AR 11-9 (The Army Radiation Safety Program)
  • AR 25-1 (Army Knowledge Management and Information Technology Management)
  • AR 25-400-2 (Army Record Information Management System)
  • AR 40-5 (Preventive Medicine)
  • AR 200-1 (Environmental Protection and Enhancement)
  • AR 220-15 (Journals and Journal Files)
  • AR 360-1 (The Army Public Affairs Program)
  • AR 385-10 (The Army Safety Program)
  • AR 525-1 (The Department of the Army Command and Control System)
  • AR 600-8 (Military Personnel Management)

Procedures:

  • General:
    • DA Pam 25-403 provides guidance and procedures for collecting, preparing, transferring, and preserving operational records. To avoid loss or destruction of these documents, operational records will be transferred each month.
    • Designated RCs for each unit are responsible for collecting, preparing, and transferring records. Unit RCs will transfer records each month. The closing date for records preparation is the last calendar day of the month. Records should be transferred within ten business days after the closing date.
    • Submitting records electronically is encouraged. Most records a unit creates are in electronic format and can be transferred for storage to the USARMDA office in the ARIMS electronic archive. Units can store the records on approved removable media and mail them to USARMDA, or they can forward them to USARMDA as attachments and zip-file attachments to e-mail messages. Mailing instructions and e-mail addresses are provided in subparagraph 12-3 d(5), below.
  • Identifying records. Operational records are documents that record the location and activities of units and Soldiers involved in contingency operations. AR 220-15 requires that DA Form 1594, (Daily Staff Journal) or (Duty Officer's Log), be maintained when units are deployed to support a contingency operations mission. DA Form 1594 may be provided in electronic or paper format. Other unit-generated records in electronic or paper format will be included with the unit's monthly submission.
  • Collecting records:
    • Operational RCs receive records from subordinate activities and prepare them for transfer to designated repositories.
    • Original records are required for records in paper format. The unit should keep a copy of every record required for future operations. Units will not give information-gathering activities, such as history and lessons learned detachments, original record copies. If appropriate, these activities should be provided a copy.
  • Preparing records:
    • Electronic records transferred by approved removable media authorized by your local G6/S6 should be packed in small boxes or envelopes according to official mail instructions.
    • Paper records should be packed in official record containers (national stock number 8115-00-117-8249). If official record containers are not readily available, units may use a box or envelope.
    • Unit RCs will document shipments using SF 135 or DA Form 3964 (For Classified Shipments) as appropriate. The originator of the records will keep one copy of the shipping document and put one copy in the record container. The RCs are responsible for completing the SF 135 and forwarding it with the records. The SF 135 will be completed and forwarded according to AR 25-400-2 and the following instructions. SF 135s are available as fillable forms in both .pdf and .doc (MS Word) formats on the NARA Website at <http://www.archives.gov/frc/forms/sf-135-intro.html>. If it is impossible to create an SF 135, a plain sheet of paper can be used (legibly handwritten or typed). However, the same information required on the SF 135 should be placed on the plain sheet of paper:
      • Item 1. Enter the address of the designated collection point.
      • Item 2. Enter the name of the organization's RC.
      • Item 3. Enter the name and telephone number of the RC.
      • Item 4. Leave blank.
      • Item 5. Enter the full unit address and include the unit identification code, name of the task force, and the operation.
    • Electronic records transferred on diskettes, zip-disks, CDs, and other formats for transferring electronic records will be labeled with the unit name, type of records, month and year, and software application (for example: 1/99 Inf Bn, Daily SITREPs [situation reports] Feb 03, MS Word 00). The corresponding SF 135 should also describe the software and the version.
    • Records will be separated and shipped according to subparagraph (transferring record) below.
  • Transferring records. See the Quick Reference Guide at Appendix C for address information on each specific collection point. There are a number of designated collection points for specific types of records:
    • Electronic records may be transferred as e-mail attachments to the following e-mail addresses, as applicable:
    • Hardcopy records (paper, maps, overlays, microfiche, microfilm, and so on) and electronic records on authorized electronic media may be mailed through the Military Postal System.
    • Classified records, hardcopy or electronic, that are to be shipped will be sent by registered DOD official mail according to the instructions for handling classified material in AR 380-5.
    • Many organizations communicate and pass record information through Web information centers (WICs). In the WIC environment, very few paper record or records on approved removable media exist:
      • Record information posted on a WIC must be captured and preserved routinely; however, the collection process must not place an additional burden on the owning unit. To prevent this burden, Web masters should incorporate collection and preservation procedures to these Websites as they are built. For instance, copies of SITREPS, OPORDS, FRAGOs, and so on posted on these sites should be automatically saved to a separate drive/directory. The records on these drives/directories would then be transmitted (and copied to approved removable media) to the appropriate collection point for preservation on a regularly scheduled (monthly) basis.
      • Organization information management officers at the corps-/division-/brigade-/battalion-level and area support group directors of information management will coordinate directly with corps-/division-/brigade-/battalion-level operations and plans and intelligence officers to establish the procedures for the monthly collection of record information.


 

Last Reviewed: May 18, 2012

 
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