chapter 04 - logistics-public

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000 Logistics: The records described in this chapter relate to all aspects of Navy and Marine

Corps Logistical Operations‐the furnishing of supplies, equipment, and services (including personal services to The Department of the Navy (DON)). They relate to procurement; contract inspection; supply issue and distribution; supply handling; packaging and storage; inventory control; travel and transportation (passenger and freight); maintenance, construction, and conversion; current production and industrial mobilization planning; and Foreign Military Assistance (Mutual Security and Military Sales). These records are accumulated by departmental and field supply, procurement, or other logistical activities or offices, or other organizational units.

4000‐1 Policy, Strategy, and Planning (Logistics):

Information relating to the development, implementation, interpretation and overall administration of Navy and Marine Corps‐wide policies, procedures, strategy and planning for programs pertaining to logistics and acquisition matters. This disposition is limited to information accumulated in offices responsible for the establishment and/or administration of Navy and Marine Corps logistics policies and programs such as the Chief of Naval Operations (CNO), Naval Supply Systems Command (NAVSUP), Headquarters, U.S. Marine Corps (HQMC), USMC I&L, MCICOM, LOGCOM, USMC P&R, Assistant Secretary of the Navy (Installations and Environment) (ASN (I&E)), Assistant Secretary of the Navy (Research, Development and Acquisition (ASN (RD&A)), Navy International Programs Office (Navy IPO), NAVSUP Weapon Systems Support (WSS), and other systems command headquarters.

PERMANENT: Cutoff at CY. Transfer to the National Archives 25 years after cutoff.

DAA‐NU‐2015‐0004‐0001

4000‐2 Security Assistance Office Strategy, Planning and Policy:

Information relating to the development and execution of their assigned missions and programs. Included are correspondence, studies, reports, and statistical data used in planning for supply and training of foreign national forces.


DAA‐NU‐2015‐0004‐0002

4000‐3 Military Sealift Command Strategy, Planning, and Policy:

Information relating to the development, implementation, interpretation and overall administration of Military Sealift Command policies, procedures, strategy and planning. Includes, but not limited to, command‐level correspondence and reports, information regarding congressional liaison and public affairs, and annual financial analysis and statistical reports.


DAA‐NU‐2015‐0004‐0003

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐4 Ship Registers ‐ Military Sealift

Command:A semi‐annual publication listing the principle characteristics of MSC ships and U.S. flag ocean going merchant ships over 1,000 gross tons owned by the U.S. Government or American citizens. Principle characteristics of each vessel include the building yard, current owner, capacity, speed, engine type, length, beam, draft, turning radius, crew compliment, etc. Publication is arranged in 3 sections: Alpha listing of active and inactive MSC ships; Alpha listing of merchant ships and their operating status; and Tabulation of ships in the Maritime Administration National Defense Reserve Fleet.


DAA‐NU‐2019‐0014‐0001

4000‐5 Deck Logs ‐ Military Sealift Command:

Original Deck Log maintained by the Officer of the Watch on all MSC vessels. PERMANENT: Cutoff at end of CY in which created. Commanding Officer forwards to WNRC immediately after cutoff. Transfer to NARA 30 years after cutoff.

DAA‐NU‐2019‐0014‐0002

4000‐6 Ship and Craft Inspection: Individual inspection case folders for each vessel or craft that has undergone inspection by the Board. Consist of inspection reports, commissioning and decommissioning data, instructions to regional and sub‐boards, schedules of inspections, specification and construction data, blueprints, precepts for inspections, related correspondence, and other supporting papers.

PERMANENT: Cutoff at end of the calendar year when ship or craft is stricken. Transfer to the National Archives 20 years after cutoff.

DAA‐NU‐2015‐0004‐0004

4000‐7 Logistics and Acquisitions Publications:

Publications that contain description and instructions for installation, operation, maintenance, and overhaul of major items of equipment and shipboard systems.


DAA‐NU‐2015‐0004‐0005

4000‐8 Construction, Alteration, Overhaul, Repair, and Maintenance ‐ Ships Case Files (Class‐Type):

Information regarding design and construction of new class‐type ships from concept formulation through delivery to fleet. Information includes conceptual studies, preliminary design, support plan, logistics objectives, performance parameters, areas of risk alternatives, Secretary of Defense (SECDEF) approvals, estimates of costs, life cycle costs, potential benefits, fiscal guidance, and review confirming need.


DAA‐NU‐2015‐0004‐0006

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐9 Loans and Gifts to or by Navy

Activities:Information that pertains to loans or gifts to or by Navy activities authorized by the Secretary of the Navy (SECNAV) under 10 U.S.C. 7221 and 7546. Includes, but not limited to the acceptance and care for such gifts of silver and other articles as, in accordance with custom, are made to vessels of the Navy, and return (lending or giving) of these gifts to the original donors. For records pertaining to the loan or gift of items to Navy and Marine Corps archives and museums, please use schedule item 5000‐5, "Historical Matters" or 5000‐94, "Navy and Marine Corps History ‐ Donations and Loans."


DAA‐NU‐2015‐0004‐0007

4000‐10 Equipment and Allowance Tables (permanent):

Tables of Equipment and Tables of Allowance PERMANENT: Cutoff at CY. Transfer to the National Archives 20 years after cutoff.

DAA‐NU‐2015‐0004‐0008

4000‐11 Official Personnel Files ‐ Non‐appropriated Funds:

Official Personnel Files of Employees of Activities Operated with Non Appropriated Funds.

TEMPORARY: Destroy 75 years after birth date of employee (60 years after the date of the earliest document in the file if the date of birth cannot be ascertained) or 5 years after the latest separation, whichever is later.

DAA‐NU‐2015‐0004‐0009

4000‐12 Repairs to Nuclear‐Powered Vessels:

Information relating to overhaul repair work on nuclear‐powered vessels. Includes welding, shielding, piping, SUBSAFE program repairs, mechanical joints, propulsion plant tests, propulsion plant certification inspection, repair personnel qualifications, overhaul report, and radiological records required by NAVSEA Manual 389‐0288 and NAVSEA Manual 389‐0153.

TEMPORARY: Cutoff at CY. Destroy when 75 years old.

DAA‐NU‐2015‐0004‐0010

4000‐13 Overhaul/Alteration of DON Vessels:

Information relating to the major alteration of individual vessels or craft. TEMPORARY: Cutoff at CY. Destroy when 50 years old.

DAA‐NU‐2015‐0004‐0011

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐14 Transportation and Calibration

Policy:Information relating to the development and implementation of plans, policies, and procedures for the security and transportation of naval material (hazardous and non‐hazardous), shipment of military and civilian household goods, mail, terminal transportation and procedures for the transportation of naval material and the shipment of military and civilian household goods, terminal transportation operations (land, sea, and air), and the Navy calibration program.

TEMPORARY: Cutoff at CY. Destroy 20 years after cutoff.

DAA‐NU‐2015‐0004‐0012

4000‐15 Inspection Reports and Certifications ‐ Military Sealift Command:

American Bureau of Shipping and U.S. Coast Guard Inspection Reports and Certifications and Copies of Related Documents


DAA‐NU‐2015‐0004‐0013

4000‐16 Engineering ‐ Military Sealift Command:

Information relating to the repair or alteration of Military Sealift Command ships. Includes, but not limited to, vessel case files, repair planning and progress control, and American Bureau of Shipping approvals of technical machinery and structural plans for ships.


DAA‐NU‐2015‐0004‐0014

4000‐17 Construction, Alteration, Overhaul, Repair, and Maintenance ‐ Ships Case Files (non‐Class‐Type):

Information regarding design and construction of non‐class‐type ships from concept formulation through delivery to fleet. Information includes conceptual studies, preliminary design, support plan, logistics objectives, performance parameters, areas of risk alternatives, Secretary of Defense (SECDEF) approvals, estimates of costs, life cycle costs, potential benefits, fiscal guidance, and review confirming need.

TEMPORARY: Cutoff at FY. Destroy 30 years after cutoff.

DAA‐NU‐2015‐0004‐0015

4000‐18 Nuclear‐Powered Vessel Refueling: Shipyard‐prepared manuals, procedures, and test documents with verification signature statements recording data and verifying proper performance of designated actions for refueling work. Include records relating to the following activities: personnel and equipment safety; prevention of accidental critically; control of radiation exposure; assurance of proper operation of circuits or equipment which provides reactor protection, containment, plant integrity, or an engineered safeguard; verification that a condition specified in a step by step procedure as prerequisite to further testing or work has been satisfactorily achieved; and improper conduct of testing or work such that the worth of the testing or work is compromised.


DAA‐NU‐2015‐0004‐0016

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐19 Program Oversight (Logistics): Information relating to the oversight of the execution of plans, policies, programs,

and procedures relating to the commands assigned mission. Includes Military Sealift Command subject files; correspondence and reports of the DoD Defense Materials System, Defense Priorities System Program; correspondence and reports of the Military Urgencies System; and reports from the Marine Corps Food Management Information System (MCFMIS).


DAA‐NU‐2015‐0004‐0017

4000‐20 Security Assistance Program Case Files ‐ Accepted:

Case files documenting sales to foreign countries, Training of foreign military members; etc. Types of cases recorded are foreign military sales; foreign Naval Expansion; Grant Aid; Military Assistance Program; Grant, Lease, Loan, or Transfer of Defense Articles; etc. (See introduction to 4900 section for a more inclusive list.) These case files are maintained by Navy IPO, NAVSUP WSS, and Systems Commands.

TEMPORARY: Cutoff at case closure. Destroy 10 years after cutoff.

DAA‐NU‐2015‐0004‐0018

4000‐21 Research and Development Budget – U.S. Marine Corps Life Cycle Cost Model (LCCM):

Information accumulated in generating all costs/partial costs related to the research and development (R&D) and operation and support (O&S) phases of a primary end item. Costs developed are displayed in Program Objectives Memorandum (POM)/Budget format for the expected life. These records are associated with the USMC Life Cycle Cost Model (LCCM).

TEMPORARY: Cutoff when item removed from the inventory. Destroy 10 years after cutoff.

DAA‐NU‐2015‐0004‐0019

4000‐22 Unclaimed Property – Deceased Person(s):

Information relating to the receipt, storage, and disposal of lost, abandoned, or unclaimed personal property and personal effects of deceased or missing persons, and related cards or other index control records.

TEMPORARY: Cutoff at date of death or upon determination that missing person is deceased. Destroy 10 years after cutoff.

DAA‐NU‐2015‐0004‐0020

4000‐23 Logistics Personnel and Training: Information relating to the management of logistics personnel. Includes, but not limited to, Military Sealift Command crew lists and security assistance office training records.

TEMPORARY: Cutoff at completion of training or personnel separation. Destroy 10 years after cutoff.

DAA‐NU‐2015‐0004‐0021

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐24 Construction Management

Information System (CMIS) Master File:

Construction Management Information System (CMIS) Master File. CMIS ISa project management tool that manages enterprise construction projects for USMC Community Services Installations worldwide. CMIS manages, tracks, and reports project phases related to the planning, management, and Implementation of project scope, budget, resources, schedules, and performance. Data elements include but are not limited to Project Number, Command, Project Type, Project Description, Project Status, Location, Net Present Value, Return on Investment (ROI), Internal Rate of Return, Cost Estimate, Public Works Approvals, Scope Information, Budget (Total and Tracked By Project Phases), Congressional Approval, Collateral Equipment and Fixed Assets Information, Approved Date, Approved Amount, and Code of Federal Regulations (CFR). This system IS NOT USED to manage/track project funding for an audit inspection/review.

TEMPORARY: Destroy when 10 years old or later when the agency determines the records are no longer needed for operational purposes.

DAA‐NU‐2019‐0014‐0003

4000‐25 Program Management (Logistics): Information relating to the execution of plans, policies, programs, and procedures relating to the commands assigned mission maintained by activities, departments, divisions, and other organizational units. Records created and maintained by program supervisors, project managers, and personnel performing budgeting and financial oversight of logistics programs.


DAA‐NU‐2015‐0004‐0022

4000‐26 Navy Exchange Program Reports: Information relating to sales, cash control, and disbursements of exchange operations.


DAA‐NU‐2015‐0004‐0023

4000‐27 Military Sealift Command Program Operations:

Information relating to the administration of Military Sealift Command shore stations and ships. Includes, but not limited to, contracting office files, cargo ship assignments and reports, maintenance and repair orders, maintenance and repair surveys, passenger lists, and ship itineraries and movements.


DAA‐NU‐2015‐0004‐0024

4000‐28 Specifications and Standards or Design:

Case files accumulated by naval activities or offices having design, procurement, or specification cognizance of items having DOD coordination control of items. They consist of master copy (original or master microfilm negative or other reproducible copy thereof) of final approved drawing, plan, specification, or standard, together with summary papers pertinent to the development and final approval of the specification, standard drawing, or plan. They also include summary Requirement and Test Procedures (RTPs) and copies of change notices or modifying directives.

TEMPORARY: Cutoff when item becomes obsolete. Destroy 5 years after cutoff.

DAA‐NU‐2015‐0004‐0025

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐29 Inventory Control ‐ Discrepancies: Information relating to discrepancies of inventory control reports. TEMPORARY: Cutoff when

discrepancy resolved. Destroy 4 years after cutoff.

DAA‐NU‐2015‐0004‐0026

4000‐30 Controlled, Uncontrolled and Critical Materials:

Information relating to requirements for and the allotment and allocation of controlled, uncontrolled, and critical materials under the defense material system program. Include such records as controlled materials program allocations and allotments, allocation determinations, materials requirements steel and nickel alloy, reports of controlled materials allotments, and allotment worksheets and tabulations. Records also relate to subject areas in industrial manpower, plan performance awards, records on current requirements, material and product classification, and product expediting.


DAA‐NU‐2015‐0004‐0027

4000‐31 General Operations of Logistics Programs:

Information relating to the day‐to‐day administration and operation of logistics programs. This includes but is not limited to activity reports; documentation of gifts to the Department; property disposal; laundry, commissary, and ships stores receipts and sales reports; schedules; bulletins; equipment rental/issue; work history logs; preliminary drafts or designs of specifications and standards; item identification lists; stock and inventory control logs; copies of reports submitted to a higher authority; technical data and informational papers; stock and inventory reports; stock on hand reports; storage and warehouse facility permits, leases, and cross‐servicing agreements; material requisitions, service requests, and invoices; shipment schedules; route orders; transportation and travel data, studies and proposals; civilian travel and accommodation arrangements; passport authorizations; cargo tonnage and handling reports; construction, maintenance, and repair schedules; quality assurance reports; and working papers.

TEMPORARY: Cutoff at end of CY. Destroy 3 years after cutoff.

DAA‐NU‐2015‐0004‐0028

4000‐32 General Operations of Navy Exchanges and Non‐Appropriated Funds Activities:

Information relating to the day‐to‐day administration and operation of Navy Exchanges. This includes but is not limited to payroll; merchandise inventory; stock and inventory control; shipment sale reports; sales tallies and sales slips; maintenance reports; insurance claims; loss reports; auto service and repair orders; non‐appropriated funds activities financial transaction records; non‐appropriated funds procurement records; and Exchange accounting files.

TEMPORARY: Cutoff at end of CY. Destroy no earlier than 1 year and no later than 3 years after cutoff. Longer retention is authorized if required for business use.

DAA‐NU‐2015‐0004‐0029

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐33 General Operations of Military

Sealift Command:Information relating to the day‐to‐day administration and operation of Military Sealift Command ships and shore stations. This includes but is not limited to cargo and ship activity reports; cargo transportation space requirements; vessel schedules; ship case files; tanker operations schedules; cargo manifests; commercial expense reports; statistical tables or lists; locator files; ocean manifests; pre‐voyage vessel condition reports; personnel rosters; cargo preplanning files; condition surveys; and quartermaster's notebooks.

TEMPORARY: Cutoff at end of CY. Destroy 3 years after cutoff.

DAA‐NU‐2015‐0004‐0030

4000‐34 Department of the Navy Surplus Property:

Information relating to the sale of surplus property including case files; program correspondence; invitations, bids and acceptances; and reports.

TEMPORARY: Cutoff at FY. Destroy 3 years after cutoff.

DAA‐NU‐2015‐0004‐0031

4000‐35 Security Assistance Case Files ‐ Canceled or Transferred to Another Agency:

Security Assistance Program case files canceled, refused by purchaser, or transferred to another agency. This series includes agreements with other DoD components for Exchange of Administrative Services.

TEMPORARY: Cutoff at case closure or termination of agreement. Destroy 3 years after cutoff.

DAA‐NU‐2015‐0004‐0032

4000‐36 Inventory Control: Information used to track the status of a inventory and shipments. Includes slips, receipts, transaction cards, tallies, registers, and similar records.

TEMPORARY: Destroy when 6 months old.

DAA‐NU‐2015‐0004‐0033

4000‐37 Transient Records (Logistics): Information related to logistics and acquisition that has minimal or no documentary or evidential value.

TEMPORARY: Destroy when 6 months old.

DAA‐NU‐2015‐0004‐0034

4000‐38 Subordinate Command Plans and Policies:

Implementing directives and instructions issued or maintained by subordinate commands.

TEMPORARY: Destroy when canceled or superseded.

DAA‐NU‐2015‐0004‐0035

4000‐39 Contract Files ‐ Indemnification Information relating to contracts and other transactions containing provisions whereby the contractor indemnifies the Government against damage, loss, malfunction, personal injury, or any other condition.

TEMPORARY: Cut off file at the end of the fiscal year and retire to nearest FRC. Destroy at the end of the period of indemnification. Retiring activities must specify destruction date on SF 135 used to retire records.

DAA‐NU‐2015‐0004‐0036

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐40 Military Sealift Command ‐ Support

Information:Information relating to Military Sealift Command operations used for reference. TEMPORARY: Destroy when

no longer needed for reference.

DAA‐NU‐2015‐0004‐0037

4000‐41 Military Sealift Command ‐ Vessels: Information relating to engineering, maintenance and repair, and registration of MSC vessels. Includes, but not limited to, American Bureau of Shipping and U.S. Coast Guard certificates, docking reports and propeller data, ships characteristics data, equipment lists, and conversion plans.

TEMPORARY: Destroy when vessel is removed from MSC control.

DAA‐NU‐2015‐0004‐0038

4000‐42 Naval Fleet Auxiliary Force / Scientific Support Ships:

Information relating to Naval Fleet Auxiliary Force. Includes, but not limited to, weekly operational reports, messages, and correspondence pertaining to operational reports, messages, and correspondence pertaining to the ship's developments, conduct of mobile logistic support of the U.S. and Allied fleet operating forces by ships assigned, and procedures governing the operation and utilization of all other ships not readily identified with the routine point‐to‐point transportation of personnel, dry cargo, and POL.

TEMPORARY: Destroy when superseded, obsolete, or no longer needed for reference.

DAA‐NU‐2015‐0004‐0039

4000‐43 Maintenance and Construction ‐ Reference:

Information relating to upkeep, maintenance, repair, construction, or alteration work. Located at Naval Activities, Departments, Divisions, or other Organizational Units.

TEMPORARY: Destroy when superseded, obsolete, or no longer needed for reference.

DAA‐NU‐2015‐0004‐0040

4000‐44 Equipment Maintenance Logs and Reports:

Logs, tapes, charts, work sheets, and other forms used to record daily equipment performances, periodic services, or technical inspections of equipment; engineer equipment performance logs or sheets or other local equipment operation or installation maintenance logs.

TEMPORARY: Destroy after next inspection and test of equipment.

DAA‐NU‐2015‐0004‐0041

4000‐45 Tool Manufacture and Repair: Manufacturing data for special tooling (e.g., dies, jigs, fixtures) used in production. Consist of such material as copies of drawings, tracings, sketches, photographs, reproducible, and copies of operation and process sheets prepared by commercial or Government manufacturers.

TEMPORARY: Destroy when superseded, obsolete or manufacture of item discontinued.

DAA‐NU‐2015‐0004‐0042

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐46 Cataloging, Material ID, and

Classification:Information relating to cataloging, material identification and classification. Includes, but not limited to, master item (commodity) identification or history cards, microfilm, or other records maintained for individual items of supply, together with related cross‐reference files; material or equipment data cards; and listings or other records maintained for material identification or supply purposes. Also, include item control cards, and other card records of standard supply, standard catalog, or other items.

TEMPORARY: Destroy when superseded, cancelled, or upon completion of action.

DAA‐NU‐2015‐0004‐0043

4000‐47 Storage Planning and Control: Information relating to storage of supplies and equipment including those relating to storage operations, storage standards and procedures.

TEMPORARY: Destroy when superseded or obsolete.

DAA‐NU‐2015‐0004‐0044

4000‐48 Routing Records: Section 22 of the Interstate Commerce Act Quotations Files and Tariff Files. TEMPORARY: Destroy when cancelled or superseded.

DAA‐NU‐2015‐0004‐0045

4000‐49 Out‐Leases and Easements ‐ Revocable:

Records consist of a right, now revocable at will, to use real property of the Government for a limited purpose.

TEMPORARY: Destroy when right is revoked.

DAA‐NU‐2015‐0004‐0046

4000‐50 Loan or Transfer of Navy Property: Information relating to loans to or by Department of the Navy activities for all property items other than those included under Series 4000‐9. Files include correspondence, receipts, loan agreements, etc. For records regarding the loan or donation of property to Navy and Marine Corps Archives and Museums please use schedule item 5000‐94, "Navy and Marine Corps History ‐ Donations and Loans."

TEMPORARY: Cutoff when property is returned to lending activity or property disposed. Destroy 3 years after cutoff.

DAA‐NU‐2015‐0004‐0047

4000‐51 GRS 2.4 030 ‐ Time and Attendance Records:

Sign‐in/sign‐out records, time cards, leave applications and approvals of all types (annual, sick, family medical, military service, jury duty, leave donations, etc.); overtime, compensatory, and credit time requests and approvals; premium pay authorizations; and other records documenting employees’ presence at or absence from work. Legal citation: 29 U.S.C. 516.5a

TEMPORARY. Destroy when 3 years old, but longer retention is authorized if required for business use.

DAA‐GRS‐2019‐0004‐0002

4000‐52 GRS 2.4 020 ‐ Tax Withholding and Adjustment documents:

Employee withholding allowance certificates such as Internal Revenue Service (IRS) W‐4 series forms and state equivalents, and records of fringe benefits and expense reimbursements provided to employees.Legal citation: IRS Publication 15 (2015), (Circular E), Employer's Tax Guide, section on Recordkeeping.

TEMPORARY. Destroy 4 years after superseded or obsolete, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0015‐0002

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐53 GRS 2.4 010 ‐ Records Used to

Calculate Payroll, Arrange Paycheck Deposit, and Change Previously Issued Paychecks:

Includes:• additions to paychecks o child care subsidies o Internal Revenue Service form W‐9 (Request for Taxpayer Identification Number) o other additions• deductions from paychecks o insurance o retirement accounts (e.g. Thrift Savings Plan, my Retirement Account, etc.) o flexible spending accounts, such as medical savings and dependent care assistance o union dues o Combined Federal Campaign o garnishments (IRS form 668A—Notice of Levy—and similar records) o Treasury bond purchases o other deductions• authorizations for deposits into bank accounts• changes or corrections to previous transactions either at paying agency or payroll processor• Fair Labor Standards Act exemption worksheets

TEMPORARY. Destroy 3 years after paying agency or payroll processor validates data, but longer retention is authorized if required for business use.

DAA‐GRS‐2019‐0004‐0001

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐54 GRS 5.1 010 ‐ Administrative

Records Maintained in Agency Office:

Administrative records maintained in any agency office.Records accumulated by individual offices that relate to routine day‐to‐day administration and management of the office rather than the mission‐specific activities for which the office exists. Records include:• staff locators, unofficial organizational charts, and office seating charts (see Exclusion 1)• office‐level administrative policies and procedures and files related to their development (see Note 1)• calendars or schedules of daily activities of non‐high‐level officials (high‐level officials are defined in GRS 6.1; this item covers those positions not defined as high‐level)• informal requests and tracking of personnel training, travel, supplies, and equipment, excluding procurement and payment records and forms requesting training (e.g. SF‐182)• internal office activity and workload reports• studies and analyses of office administrative functions and activities• non‐mission related management reviews and surveys• minutes of meetings related to administrative activitiesExclusion 1: This item does not apply to recordkeeping copies of organizational charts, functional statements, and related records that document the mission‐related organization, staffing, and procedures of the office. Agencies must schedule those records on an agency‐specific schedule.

TEMPORARY. Destroy when business use ceases.

GRS 5.1, item 010 DAA‐GRS‐2016‐0016‐0001

4000‐55 GRS 1.1 001 ‐ Financial management and reporting administrative records

Records related to managing financial activities and reporting. Records include:• correspondence• subject files• feeder reports• workload management and assignment records

TEMPORARY: Destroy when 3 years old, but longer retention is authorized if needed for business use.

DAA‐GRS2016‐0013‐0001

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐56 GRS 1.1 010 ‐ Financial Transaction

Records Related to Procuring Goods and Services, Paying Bills, Collecting Debts, and Accounting:

Financial transaction records related to procuring goods and services, paying bills, collecting debts, and accounting. Many records included in this item are maintained by accountable officers to account for the availability and status of public funds, and are retained to enable GAO, Office of Inspector General, or other authority audit.Financial transaction records include those created in the course of procuring goods and services, paying bills, collecting debts, and accounting for all finance activity, per the following definitions.Procuring goods and services is the acquisition of physical goods, products, personal property, capital assets, infrastructure services such as utilities, and contracted personnel services to be used by the Federal Government. Paying bills means disbursements of federal funds for goods and services, and fulfilling financial obligations to grant and cooperative agreement recipients. Procurement and payment records include those such as:• contracts • requisitions • purchase orders • interagency agreements • Military Interdepartmental Purchase Requests (MIPRs) • printing requisitions to the Government Printing Office • memoranda of agreement specifying a financial obligation • solicitations/requests for bids, quotations or proposals for contracts and competitive grants • proposals, quotations, bids (accepted, rejected, unopened) for contracts and competitive grants • contingent fee justifications • legal and financial instruments such as bond and surety records • data submitted to the Federal Procurement Data System (FPDS) • FAIR Act (A‐76) records linked directly to specific procurement actions • credit card/purchase card/charge card statements and supporting documentation • vendor tax exemption records • invoices • leases • recurring financial transactions such as utility and communications invoices • documentation of contractual administrative requirements submitted by contractors such as status reports • correspondence and papers pertaining to award, administration, receipt, inspection of and payment for goods and services in this list • records of financing employee relocations.Collecting debts includes the collection of income from all sources (excluding taxation). Collections records document collection of monies from all sources excluding administrative claims, taxation (not covered under the GRS), and Congressional appropriation, such as:• records documenting administration, receipt, and deposit of user fees for entry into and/or use of public facilities; for recovering costs of providing government services; and receipt of donations, bequests, and other collections from the public, including: o cash register transaction records o credit card and charge cards receipts

TEMPORARY: Destroy 10 years after final payment or cancellation.

DAA‐GRS‐2013‐0003‐0001

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU o records documenting deposits o records documenting allocation of fees to funds/accounts o deposit lists and logs o customer orders o revolving fund records• fee and fine collection records • garnishments • Sale of excess and surplus personal property • fee or rate schedules and supporting documentation • out‐leases of Federal property • debt collection files and cash receipts • writeoffs • copies of checks • payment billing coupons • letters from lenders • payment records • money orders • journal vouchers • collection schedulesAccounting is the recording, classifying and summarizing of financial transactions and events related to assets, liabilities, revenue from all sources, and expenses to all payees to support financial reporting, enable audit, and accumulate and generate management information to assist in establishing an agency’s resource allocation priorities. Accounting records include those such as:• accountable officers’ records concerned with the accounting for, availability, and status of public funds and maintained for Government Accountability Office (GAO) or other authority site audit, but excluding payroll records, and accounts pertaining to American Indians. Includes:o statements of transactions o statements of accountability o collection schedules and vouchers o disbursement schedules and vouchers• vouchers • certificates of closed accounts • certificates of periodic settlements • general funds files • general accounting ledgers • appropriation, apportionment, and allotment files • posting and control files • bills of lading • transportation and travel requests, authorizations, and vouchers • commercial freight vouchers • unused ticket redemption formsNote 1: Procurement and other financial files that stand out because of high dollar value, media attention, historical value, research value, or other extenuating circumstances may have permanent value. Agencies that believe they hold such files should submit a records schedule to NARA. Note 2: Accounts and supporting documents pertaining to American Indians are not authorized for disposal by this schedule. Such records should be reviewed and scheduled appropriately by the agency since they may be needed in litigation involving the Government’s role as trustee of property held by the Government and managed for the benefit of Indians.Note 3: The Comptroller General has the right to require an agency to retain any portion of these records for a period of up to 10 years.Note: Financial transaction records and Procurement records for non‐appropriated funds activities see item 4000‐32, Navy Exchange Records.

4000‐57 GRS 1.1 012 ‐ Bids and proposals neither solicited nor accepted:

Bids and proposals that are both unsolicited and the subject of no further agency action.

TEMPORARY: Destroy when no longer required for business use.

DAA‐GRS‐2016‐0001‐0001

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐59 GRS 1.1 040 ‐ Cost Accounting for

Stores, Inventory, and Materials:Records providing accountability for receipt and custody of materials and showing accumulated cost data, including the direct and indirect costs of production, administration, and performance of program functionsof the agency; such as:

• invoices or equivalent papers used for inventory accounting purposes• inventory accounting returns and reports• working files used in accumulating inventory accounting data• plant account cards and ledgers, other than those pertaining to structures• cost accounting reports and data• depreciation lists/costs• contractor cost reports re contractor‐held‐government‐owned materials and parts• receiving, inspection, and acceptance documentation

TEMPORARY: Destroy when 3 years old, but longer retention is authorized if required for business use.

DAA‐GRS‐2013‐0003‐0012

4000‐60 GRS 1.1 050 ‐ Construction contractors’ payroll files:

Agency copy of contractors’ payrolls for construction contracts submitted in accordance with Department of Labor regulations, with related certifications, anti‐kickback and other affidavits, and other related papers.

TEMPORARY: Destroy 3 years after completion of contract or conclusion of contract being subject to an enforcement action, but longer retention is authorized if required for business use.

DAA‐GRS‐2013‐0003‐0003

4000‐61 GRS 1.1 060 ‐ Contract Appeals Case Files:

Records of contract appeals arising under the Contracts Dispute Act. Includes:

• notice of appeal • acknowledgment of notice • correspondence • copies of contracts, plans, specifications, exhibits, change orders, and amendments • hearing transcripts• documents received from concerned parties • final decisions • other related papers

TEMPORARY: Destroy 1 year after final resolution, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0001‐0003

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐62 GRS 1.1 070 ‐ Vendor and Bidder

Information ‐ Records of Suspensions and Debarments for Violation of the Drug‐Free Workplace Act:

Documentation of approved, suspended, and debarred vendors and bidders.

Records of suspensions and debarments for violation of the Drug‐Free Workplace Act.

TEMPORARY: Destroy 5 years after removal from approved status, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0001‐0004

4000‐63 GRS 1.1 071 ‐ Vendor and Bidder Information ‐ Records of All Other Suspensions and Debarments and All Approved Vendors and Bidders:

Documentation of approved, suspended, and debarred vendors and bidders.

Records of all other suspensions and debarments and all approved vendors and bidders.

TEMPORARY: Destroy 3 years after removal from approved status, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0001‐0005

4000‐64 GRS 3.2 051 ‐ Backups of Master Files and Databases, Temporary Master Files:

Electronic copy, considered by the agency to be a Federal record, of the master copy of an electronic record or file and retained in case the master file or database is damaged or inadvertently erased.

TEMPORARY: Destroy immediately after the identical records have been deleted or replaced by a subsequent backup file, but longer retention is authorized if required for business use.

DAA‐GRS‐2013‐0006‐0008

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐65 GRS 5.2 020 ‐ Intermediary

Records:Records of an intermediary nature, meaning that they are created or used in the process of creating a subsequent record. To qualify as an intermediary record, the record must also not be required to meet legal or fiscal obligations, or to initiate, sustain, evaluate, or provide evidence of decision‐making. Records include:• non‐substantive working files: collected and created materials not coordinated or disseminated outside the unit of origin that do not contain information documenting significant policy development, action, or decision making. These working papers do not result directly in a final product or an approved finished report. Included are such materials as rough notes and calculations and preliminary drafts produced solely for proof reading or internal discussion, reference, or consultation, and associated transmittals, notes, reference, and background materials. • audio and video recordings of meetings that have been fully transcribed or that were created explicitly for the purpose of creating detailed meeting minutes (once the minutes are created)• dictation recordings• input or source records, which agencies create in the routine process of creating, maintaining, updating, or using electronic information systems and which have no value beyond the input or output transaction: o hardcopy input source documents where all information on the document is incorporated in an electronic system (See Exclusion 1 and Note 1) o electronic input source records such as transaction files or intermediate input/output files• ad hoc reports, including queries on electronic systems, whether used for one‐time reference or to create a subsequent report• data files output from electronic systems, created for the purpose of information sharing or reference (see Exclusion 2)

TEMPORARY. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

DAA‐GRS‐2017‐0003‐0002

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAUExclusion 1: This item does not allow destruction of original hardcopy still pictures, graphic materials or posters, aerial film, maps, plans, charts, sound recordings, motion picture film, or video recordings once they are digitized. Agencies must follow agency‐specific schedules for these records. If the records are unscheduled, the agency must submit a schedule for them.Exclusion 2: This item does not include the following data output files (agencies must follow agency‐specific schedules for these records, except for the final bullet, which the GRS covers in another schedule):• files created only for public access purposes• summarized information from unscheduled electronic records or inaccessible permanent records• data extracts produced by a process that results in the content of the file being significantly different from the source records. In other words, the process effectively creates a new database file significantly different from the original• data extracts containing Personally Identifiable Information (PII). Such records require additional tracking and fall under GRS 4.2, item 130 (DAA‐GRS‐2013‐0007‐0012)Note 1: An agency must submit a notification to NARA per 36 CFR 1225.24(a)(1) prior to destroying hardcopy input records previously scheduled as permanent. An agency must schedule the electronic version of unscheduled hardcopy input records prior to destroying the input record.Legal citations: 36 CFR 1225.22 (h)(2); 36 CFR 1225.24 (a)(1)

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐66 GRS 3.1 051 ‐ Data Administration

Records, All Documentation for Temporary Electronic Records and Documentation not Necessary for Preservation of Permanent Records:

Data Administration includes maintenance of data standards, corporate data models, registries, and data definitions and dictionaries. Records relate to administrative support for the maintenance of data standards, data definitions and data dictionaries. This schedule includes records that explain the meaning, purpose, logical relationships, and use and origin of data. It also includes any documentation related to electronic records, whether the records are part of an electronic system or stand‐alone, that allows a user to understand or access the information.Data administration records and documentation relating to electronic records that are scheduled as temporary in the GRS or in a NARA‐approved agency schedule or any types of data administration records not listed as permanent in item DAA‐GRS‐2013‐0005‐0002, including:• data/database dictionary records • data systems specifications• file specifications • code books • record layouts • metadata• user guides • output specificationsand also the following records for all electronic records whether scheduled as temporary or permanent• software operating manuals • data standards• table and dependency descriptions • taxonomies • schemas• registries • source code • physical data model • logical data model

TEMPORARY: Destroy 5 years after the project / activity / transaction is completed or superseded, or the associated system is terminated, or data is migrated to a successor system, but longer retention is authorized if required for business use.

DAA‐GRS‐2013‐0005‐0003

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐67 GRS 5.4 010 ‐ Facility, space,

vehicle, equipment, stock, and supply administrative and operational records

Records relating to administering and operating facilities, spaces, Federally owned and operated housing, land vehicles, water vessels, equipment, stocks, and supplies. Includes: • statistical and narrative reports • studies • requests for space using Standard Form 81 or equivalent • space assignments and directories • inventories of property, equipment, furnishings, stock, and supplies • reports of survey regarding lost, damaged, missing, or destroyed property • requisitions for supplies and equipment • records tracking supply and procurement requirements • records scheduling and dispatching vehicles, monitoring use, and reporting use • related correspondence Exclusion 1: Records of aircraft operations (item 110 in this schedule covers these). Exclusion 2: Records of supply and property procurement (GRS 1.1, item 010 covers these). Exclusion 3: Requisition and supply records of the General Services Administration’s GSA Global Supply program and Defense Logistics Agency records on military supply provision (supply is these agencies’ mission so they must schedule the records separately).

TEMPORARY: Destroy when 3 years old or 3 years after superseded, as appropriate, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0011‐0001

4000‐68 GRS 5.4 040 ‐ Excess personal property, equipment, and vehicle records

Records agencies create when disposing of excess or surplus personal property by sale, donation, or destruction. Includes:

• excess property inventories and lists • lists and other records identifying approved receivers of excess property • donation receipts • destruction certificates • documentation of vehicle transfer by sale, donation, or exchange, including Standard Form 97, United States Government Certificate to Obtain Title to a Motor Vehicle • related correspondence

Exclusion: Records documenting financial management of surplus property disposal by sale (GRS 1.1, item 010 covers these).

TEMPORARY: Destroy when 3 years old, but longer retention is authorized if required for business use.

DAA‐GRS‐2016‐0011‐0004

Updated Aug 2021

SSIC/No. Series Title Description of Records Disposition DAU4000‐69 Repairs to Nuclear‐Powered

Vessels‐Welding RecordsNuclear‐powered vessel welding records generated during overhauls. Weld and non‐destructive test records which provide objective quality evidence of the integrity of the reactor, plant piping, and structual welding work. Includes propulsion plant, propulsion,‐related energy generating systems, electric plant, seawater and fresh water systems, and material handling. (Excludes non‐nuclear weld records covered in 9000‐17/DAA‐NU‐2015‐0009‐0017 and 9000‐24/DAA‐NU‐2015‐0009‐24.)

TEMPORARY: Cutt off at decommissioning. Destroy 10 year(s) after cut off.

DAA‐NU‐2019‐0006‐001