00 D1C 24 w4 - DTIC

DEPARTMENT OF THE ARMYOFFICZ OF THE ADJUTANT W4ERAL/

ALEXANDIA. VA 2UI-0S01

ATI~mON 1August 1984

FINAL REPORT

Pilot of the Modern Army Record-keeping System (MARKS)

at00

5th Battalion, 73rd Armored Regiment

194th Armored Brigade

Fort Knox, Kentucky

1 July 1983 through 30 June 1984 -

DT ICD1C 24 w4

C. ~ This document has been approved

1-4 ~for public we~i~A.dsale; its

Prepared by:

MARKS Project OfficerPrograms BranchRecords Management DivisionAdministrative Management

DirectorateOffice of The Adjutant GeneralAlexandria, Virginia 22331-0301

.4,84 12 11 030

UNClASSIFIED

ty CIASSIFICATION OF THIS PAGE'

REPORT DOCUMENTATION PAGE7, 7.C , SECURITY CLASSIFICATION lb. RESTRICTIVE MARKINGS

UNCLASSIFIED None

F(7'1R7 CLASSIFICATION AUTHORITY 3 DISTRIBUTION/AVAILABILITY OF REPORTN.)t Appli(able No restrictions or limitations on-,QLASS F.CATRD% IOOWPJGRADING SCHEDULE distribution or availability.

a ipplicable*. -', .G ORGAJIZATION REPORT NUMBER(S) 5 MONITORING ORGANIZATION REPORT NUMBER(S)

P: RF©9MING ORGANIZATION I6b OFFICE SYMBOL 7a NAME OF MONITORING ORGANIZATION!' :, ject Office, (If applicable)

S:f Th e Adjutant. Genexallil i;rtrs. D.pt. ot the Xr.] DAAG-AMR-P

z %S City, State, and ZIPCode) lb. ADDRESS (City, State, and ZIP Code)

:, t~ria, Virginia 22331-0301

SX "..>: FJND NGSPONSORING 8b OFFICE SYMBOL 9 PROCUREMENT INSTRUMENT IDENTIFICATION NUMBER,. ..',; ON(If applicable)

S. . '(Cty, State, and ZIP Code) 10 SOURCE OF FUNDING NUMBERS

PROGRAM PROJECT TASK WORK UNITELEMENT NO NO NO. ACCESSION NO

i >.rude Security Classification)UNCLASS FIED) Final Report, Pilot of the Modern Army Record-k' n';, System (MARKS) at 5th Battalion, 73rd Armored Regiment, 194th Armored Brigade,

FtXrt Knox, Kentucky, 1 July 1983 through 30 June 1984.

AL AUTHOR(S)

VOS, John George

:F REPORT 13b. TIME COVERED 14 DATE OF REPORT (YearMonth. Day) 15 PAGE COUNT

Final FROM 830201 TO 840630 840801 474" l Ff , AR

v' NOTATION

COSATI CODES 18 SUBJECT TERMS (Continue on reverse if necessary and identify by block number)

t GROuP SUB-GROUP

,'ACT (Continue on reverse if necessary and identify by block number)

(, (his report covers an initial pilot test of a new record-keeping system for the Army

which will eventually replace The Army Functional Files System (TAFFS), which was

instituted Army-wide in the early 1960's. The new system (Modern Army Record-keeping

System, or MARKS) is subjective, and has as its basis the established and widely-'

rcc,_ognized numbering scheme for administrative publications. Under MARKS, recorded

inforumation is identified and filed by a number which is the same as the basic number

of the prescribing directive -- usually an Army Regulation or Department of the Army

Pan, phlet -- which requires that the information be created, maintained, and used. Other

innwations included in the pilot of MARKS were creation of a "general correspondence"

cat,'gory, inclusion of Privacy Act "pointers", recording of file number on a document

IL the time of creation, and amenability to automation through Standard Data Elements

asC.4 kpord strings. - _

) ,jTO%/AVAILABILITY OF ABSTRACT 121 ABSTRACT SECURITY CLASSIFICATION

,SSIF;EDUNLIMITED 0 SAME AS RPT OTIC USERS UNCLASSIFIED

; ESPONSIBLE INDIVIDUAL 22b TELEPHONE (Include Area Code)22C OFFICE SYMBOL

L J; I Vos , (202) 325-0440 HQDA(DAAG-AMR-P)DO FORM 1473,84 MAR 83 APR edition may be used until exhausted SECURITY CLASSIFICATION OF THIS PAGE

All other editions are obsolete UNCLASS l ED

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DO FORM 1473, 1.1 MAR

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INDEX TO CONTENTS

Tab Contents

1 Chapter 1: History of MARKS -The Need

Enclosures to Chapter 1:#1. Microfiche Final Report, CALCULON Study, 7

Contract MDA 903-80-C0721, 31 July 1981)q-0,7 9#2. Comparison of Alternative Concepts

2 Chapter 2: The Decision to Implement Pilot Projects

Enclosures to Chapter 2:#1. Letter, HQDA (DAAG-AMR-P), 2 April 1982,

subject: New Record-keeping Concept forthe Army-

3 Chapter 3: Selection of a TOE Unit

Enclosures to Chapter 3:#1. Letter, HQDA (DMG-A4R-P), 2 April 1982,

subject: New Record-keeping Concept for Accession For

the Army, to Cdr, USA TRAJX)C 1fsGR1#2. Letter, HQ USA TRADOC (ATPL-AOR), 7 July DTIC TAB -

1982, subject: New Record Keeping Concept U'r'i i *.C

for the Army J.. *.

#3. Letter, HQDA (DAAG-AMR-P), 21 July 1982,subject: New Record-keeping Concept for Ithe Army, to Cdr, USA TRADOC (ATIE-R)

#4. 1st Ind, HQ TRADOC Combined Arms Test Activ r. 4 Vt..ity, Fort Hood, TX, 8 September 1982 A. ~ >.

#5. Trip Report (TRADOC Visit), HQDA (DAAG-AJ4R Y,26 November 1982 'DIst

#6. Letter, HQDA (DAAG-AMR-P), 27 December 1982subject: Study of the Modern Army Record- l-keeping System (MARKS), to Cdr, USA TRADOC f

#7. Letter, HQDA (DAAG-AMR-P), 31 January 1983,subject: Pilot Study of the Modern ArmyRecord-keeping System (MARKS), to Cdr, USAFORSCOM (AFAG-AS)

#8. 1st Ind, HQ USA FORSCOM (AAG-ASR), 8 April1983, subject: Pilot Study of the Modern ArmyRecord-keeping System

ODTICarLECTE

* iC 261984

/Thi. docmnt hs beenopfpuiblic rele 3e and ole; itdtributon is uimted

-. -. . . ..-. -... .j

-II

Index to Contents (Continued)

Tab Contents

4 Chapter 4: Preparation of Materials Prior to Inception of Pilot

Enclosures to Chapter 4:#1. Lesson Plan#2. AR 340-XX (Test) with C-1 and C-2#3. Handout # 1#11. Handout # 2#5. Practical Exercise # 1 #6. Lists of Selected File Numbers (TAFFS), 5/73 Armor#7. List of File Numbers (MARKS), 5/73 Armor

5 Chapter 5: Instruction at 5th Bn, 73rd Armor, June 1983

Enclosure to Chapter 5:#1. Record-keepin- personnel, 5th Battalion, 73d Armor

6 Chapter 6: Summary of Contacts with Members of 5th Bn, 73rd Armor

Enclosures to Chapter 6:#1. Trip Report dated 5 July 1983 (visit of 20-30 Jun 83)#2. Trip Report dated 4 Aug 83 (visit of 31 Jul - 3 Aug 83) 0-#3. Trip Report dated 8 Sep 83 (visit of 7 Sep 83)#. Trip Report dated 12 Dec 83 (visit of 8-9 Dec 83)#5. Trip Report dated 27 Apr 84 (visit of 24-26 Apr 84)#6. Trip Report dated 6 Jul 84 (visit of 1-3 Jul 84)#7. Revision of AR 340-XX (Test) dated 15 April 1984.#8. Letter, HQDA (DAAG-AMR-P), 8 Sep 83, to Cdr, USAARMC

and Ft Knox (ATZK-DI-S/WO1 Dean), subject: PilotStudy of the Modern Army Record-keeping System (MARKS)

#9. Letter, HQDA (DAAG-AMR-P), 13 Jun 84, to DISTRIBUTION,subject: Impact of MARKS on Skill QualificationTesting

7 Chapter 7: Problems Faced During Course of Pilot

8 Chapter 8: Closing Out the Pilot at 5/73 Armor

Enclosures to Chapter 8:#1. List of File Numbers, PAC, 5/73 Armor#2. Questionnaire Responses (11 sets) - 1

9 Chapter 9: Conclusions and Recommendations

10 Addendum: Benefits Derived from Pilot that are Applicable to TAFFS-

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The AD number on the fiche header changed to AD-A 148 974from AD-A107 079 because the fiche might get seperated fromthe basic document and get misplaced.

DTIC-DDA C

I-.°

DRAFT FINAL REPORT

Pilot study of Modern Army Record-keeping System (MARKS) at5th Bn, 73rd Armored Regiment, 194th Brigade, Fort Knox, KY, Jul 83 - Jun 84

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Chapter 1

History of MARKS: The Need

1. The Army Functional Files System (TAFFS) was instituted Army-wide inthe early 1960's as a replacement for the War Department (WD) Decimal FilingSystem, which had been in use since before World War I with only relativelyminor changes. .

2. The Office of The Adjutant General, Department of the Army, as theproponent of administrative management systems for the Army, received manyperceptions from the Army at large during the life of TAFFS that it did notmeet the users' needs for a variety of reasons. They found it too complex;arbitrary in its numbering scheme; well-suited to transactional files but not -to the general administration of large headquarters or units, and difficult toteach, learn, administer, and supervise.

3. Acting upon these perceptions, Deputy The Adjutant General for Admin-istrative Systems contracted for a year-long study of TAFFS by a management

To engineering firm in the private sector (CALCULON Corporation). The finalreport of that study confirmed the field's perceptions, adding a finding thatTAFFS, because of its structure, was not amenable to automation.

4. The CALCULON study, a copy of which is attached in microfiche (seeEnc # 1) recommended four alternative record-keeping schemes - (a) "TAFFSSimplified," which would have resulted in little change to the present system;(b) "AR Subject System," based on the numbering scheme for administrative pub-lications; (c) "Scratch Design a New System," which is self-explanatory, and(d) "Update the WD Decimal Files System," which would have returned the Armyto decimal filing after an absence of some 20 years.

5. A comparison matrix of these four schemes is attached (see Encl # 2).After staffing, consideration, and deliberation, the "AR Subject System" waschosen for fUrther developmental work aimed at designing a new system for theArmy to use. Two aspects of this "AR Subject System" that had been recommendedby the CALCULON final report were rejected as being unworkable in the present-day Army - that of "instant archiving" (wherein permanent, historically-val-uable documents would be forwarded to the Archives immediately upon creation)and "central files" (rejected because any move toward centralization from thetotally-decentralized structure of Army administration would be beyond thescope of the instant project).

6. Thus it was decided to design and develop a record-keeping system .. ,that would have as its base the numbering scheme for administrative publi-cations, based on the premise that for all information created, maintained and

used by the Army, there is some sort of prescribing directive which is alreadyrecognizable in the user's mind as being associated with a particular program.

...........m.*.*.*. ...

. (in microfiche)0 /4 1670/

FINAL REPOR~T

Kecards F;iing, Maintenance and Disposition

Systems Study

for

Department of the Army

Deliverable A0002CAC

31 July 1991

Contract MDA 903-80-C0721

DEFENSE TECHNICAL INFORMATION CENTER

Encl # Ito Chapterl

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Encl # 2 to Chapter 1

DRAFT FINAL REPORT


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Chapter 2

The Decision to Implement Pilot Projects

1. The development of a new record-keeping concept based on the administrativepublications numbering scheme was followed by staffing with all major Armycommands and Department of the Army staff agencies (copy at Encl # 1).

2. Responses from this staffing action (total of 32 commands and staff agen-cies) resulted in 29 concurrences, two non-concurrences, and one which wasneither.

3. Early in the design of MARKS it was decided that some form of test orpilot would be required because replacing TAFFS with MARKS would affect everyoffice, organization, and activity in the United States Army. Following in-ternal staffing and deliberations, a decision was taken by Deputy The AdjutantGeneral for Administrative Systems (see letter of 27 December 1982, copy atEncl # 6 to Chapter 3) that the pilot projects would take place at two ech-elons - a TOE battalion, and an installation headquarters. The TOE battalion .was selected to ensure that the new system would work at the "fighting unit"level of the Army, and the installation headquarters level was selected be-cause it reflects, in microcosm, the staff and operating functions performedat several different echelons of the Army. Availability of manpower and fundsfor these pilots also played a role in the decision to restrict the effort totwo echelons.

2.

*|

1

DEPARTMENT OF THE ARMYOFICE OF THE ADJUTANT GENERAL

ALEXANDRIA, VA 22331

REPL.Y TOATTENTION OF

A'R 198ZDAAG-AMR-P

SUBJECT: New Record-keeping Concept for the Army

I

SEE DISTRIBUTION

1. This letter is to inform you of a concept development that wouldeventually replace The Army Functional Files System (TAFFS, AR 340-18series) by changing the way the Army identifies and maintains itsrecords. S2. The replacement is called "Modern Army Record-keeping System," or"MARKS," and is being developed because of perceptions by the Armyfield establishment that TAFFS is unsuitable because:

a. It i& difficult to teach, learn, and use.

b. It makes no provision for "general correspondence" files; ifa record is not specifically identifiable under a particular TAFFSnumber, it is a problem to file.

c. TAFFS requires excessive research into too many regulations(total of 17 AR's). -. -

d. The numbering scheme used in TAFFS is arbitrary and bears norelation to any other administrative number series, thereby requiringthe user to learn and correlate different schemes.

3. The suitability of TAFFS and whether or not it should be replaced 0were studi'ed by CALCULON Corporation under contract during 1980-81;the Records Administrators of several addressees participated in theStudy Advisory Group for, and the evaluation of, this contract.CALCULON's conclusions were that TAFFS should be replaced by a moremanagement-oriented system which eliminates the complexity of TAFFS;and that, in developing a replacement system, we should positionourselves to adopt such state-of-the-art technology as may becomeuseful and cost effective.

4. The study's recommendations for immediate action were to:

a. Replace the arbitrary TAFFS numbering scheme with a system

prescribes their creation, maintenance, and use.


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DAA G-A MR- PSUBJECT: New Record-keeping Concept for the Army

b. Develop tailored, structured filing instructions for thevarious echelons of the Army, much in the manner that AR 340-2 istailored specifically for TO&E units under TAFFS.

5. We are therefore proceeding with a concept that will do thefollowing things under MARKS:

a. Number records according to their prescribing directives.For example, records in a unit supply room such as hand receipts,personal clothing records, reports of survey, etc., are prescribed byAR 710-2, Supply Policy Below the Wholesale Level. Instead of theserecords having file numbers of 1416-15, 1416-36, etc., under TAFFS,they would be numbered 710-2 and then given an alpha suffix todistinguish among the several types of records prescribed by AR710-2. Thus the numbering scheme for Army Regulations, as outline'din AR 310-2, becomes the basic structure for the Army's files. ThisAR numbering scheme is generally better known and understoodthroughout the Army than the existing TAFFS numbering scheme..

b. Within each major category (as in the "710" example above),the first file number will be suffixed "a" and will be for generalcorrespondence files for which no specific file number exists, yetwhich relate generally to the major function described. See - --Inclosure 1 for an example of how this works. 9.

co The numbering schemes for DA Forms and for recurring reportsthat are under Requirements Control will also be brought intb thispattern, so that the same basic AR number will serve all of theadministrative processes for a particular program.

d. The subjective nature of MARKS will allow the office creatinga record to assign a file number to a record at the time it iscreated (probably immediately following the office symbol), ratherthan at the time the record is filed. We see this as having severalbenefits, not the least of which are improved identification andretrieval of records and increased familiarity at the action officerlevel with the files structure.

e. The implementing regulations for HARKS will be tailored tothe echelons which they serve. For instance, one directive willserve all installations of the Army, because all installationsbasically perform the same functions, regardless of the mission orcomposition of tenants, they perform facilities engineering, operateArmy Community Service centers, furnish post security, etc. Another1ARKS regulation will serve TO&E units; another, MACOH and sub-MACO •headquarters, another, the DA Staff; etc.

2..................................

. . . . . . . . .. . . . . . . . . . . . . . .-. ..

DAAG-A4R-PSUBJECT: New Record-keeping Concept for the Army

6. At Inclosure 1 is a draft of a prototype regulation to test MARKSat the TO&E unit level; it is furnished to you solely forillustrative purposes, so that you can see how we envision the systemworking.

7. Our milestones call for testing and evaluation of the MARKSconcept at several different echelons during the period January 1983- February 1984, and -- if the concept proves practical, desirable,and cost effective -- implementation Army-wide on 1 January 1985.I Within budgetary limitations, we plan to present a formal briefing toeach addressee over the next few months on this concept. Wherepossible, MACOI Records Administrators will be briefed in theWashington area while they are here on other official business.

8. Request your comments, concurrence, or non-concurrence in theconcept of MARKS not later than 15 May 1982. Point of contact is

John Vos, HQDA (DAAG-AMR-P), AUTOVON 221-644. mercial telephoneo1 (202) 325-6044."

- FOR THE ADJUTANT GENERAL:

- Incl J L"""asC oe GS

cnrector, Admi ra veo Management

DISTRIBUTION:- Cdr, USACC (CC-PA-AMP-R) Ft Huachuca, AZ 85613

Cdr, USACSC (OSGS-PAA-R), Ft Belvoir, VA 22060Cdr, USACIDC (CIPA-AD), 5611 Columbia Pike, Falls Church, VA 22041

- Cdr, USA DARCOM'(DRXAM-AR), Alexandria, VA 22333Cdr, USA INSCOM (IAPR-RM), AHS, Arlington, VA 22212

sw Cdr, USAHSC (HSAG-A), Ft Sam Houston, TX 78234Cdr, USA FOR SCOM (AFAG-ASR) Ft McPherson, GA 30330Cdr, USA Recruiting Command (USARCRPM-A), Ft Sheridan, IL. 60037Cdr, 14T4C (MT-SPA-O), Washington, DC 20314

* CINCUSAREUR/TA (AEUPE-AMD-AE), APO NY 09403CINC EUSA (AGJ-AG) APO SF 96301

*. Cdr, USARJ (AJAG-PAPR), APP SF 96343Superintendent, USMA (MAAG-R), West Point, NY 10996Cdr, USAMDW (ANTE-AR), Ft McNair, Washington, DC 20319Cdr, USA WESTCOM (APAG-AF), Fort Shafter, HI 96858

, 3

..-'.-' -. .--.. - - ." . .- * - ." -. - , •• .... -. - -. :; - -:. 2 - .

DRAFT FINAL REPORT


Chapter 3

Selection of a TOE Unit

S1. The effort to secure access to a TOE unit with which to conduct the pilotbegan on 2 April 1982 with a letter to Commander, USA TRADOC (Enc # 1) whichsuggested that Soldier Support Center, whose mission includes "...reviewingand evaluating all concepts and doctrine pertaining to...administrative man-agement and services" might test the concept.

2. The TRADOC response of 7 July 1982 (Encl # 2) proposed that TRADOC carryout the pilot as a "customer test," with TAGO as the test proponent, by usingone of TRADOC's field testing activities. TRADOC also requested that TAGOfurnish (a) the issues, criteria and measures of effectiveness to be address-ed; (b) the scope of the test, and (c) a formal request from TAGO that TRADOCassign a test activity for this purpose.

3. The TRADOC request was addressed in TAGO's letter of 21 July 1983 (Encl #3) which answered all three of these points.

4. TRADOC's attempt to assign the evaluation to TRADOC Combined Arms TestirgActivity (TCATA), Fort Hood, Texas resulted in a communication from that or-ganization da'ed 8 September 1982 (Encl # 4) which concluded that "...theevaluation of MARKS does not qualify...as a test," but should rather be a"structured subjective evaluation" or a "controlled study."

5. This information led to a visit to HQ, USA TRADOC by the MARKS team on 24November 1982 (trip report at Encl # 5) to determine the status of TAGO'soriginal request. On arrival, we were advised that since the trend was towarda "study" rather than a "test," the responsibility had shifted within theheadquarters from Testing Directorate to Combat Development Directorate; theStudies Management Branch of HQ, USA TRADOC requested that our requirements bepresented to the Study Program Office (DACSr-t40), HQDA. The presentation wasmade on 30 November 1982. DACS-DMO concluded that the study was below thethreshold of AR 5-5, Army Study Program; the Office of The Adjutant Generalwas given permission to proceed with any desired study without resorting tothe formal procedures of AR 5-5.

..

IL ,

. . . . . . . . . . . . .* *;* .*

Chapter 3Selection of a TOE Unit (Continued)

6. A request was then made to Commander, USA TRADOC (letter of 27 December1982, copy at Endl # 6) for designation of a participating battalion and in-stallation headquaraters. Negotiations with TRADOC had continued on the TOEbattalion because the action had begun as a request for Soldier Support Cen-ter, a TRADOC activity, to conduct the testing. At this point Commander, USATRADOC designated Headquarters, US Army Armor Center and Fort Knox as the in-stallation headquartaers but deferred to Commander, USA FORSCOM on selectionof a TOE unit.

7. A formal request was sent to Commander, USA FORSCC# (letter of 31 January1983, copy at Encl # 7) asking for designation of a TOE battalion for theMARKS pilot. This led to a full-scale, formal briefing at HQ, USA FORSCC on8 February 1983 to present the scope and aims of the pilot. On 8 April 1983,HQ, USA FORSCOM designated 5th Battalion, 73rd Armored Regiment, 194th ArmoredBrigade, Fort Knox, Kentucky to participate in the MARKS pilot study (copy atEncl # 8).

2 , _

.:: -.

I pr, 1 ."

DEPARTMENT OF THE ARMYOFFICE OF THE AOJUTANT GENERAL

ALEXANDRIA. VA 22331

£TTWWNO0 -. IFM

DAAG-AMR-P


CommanderUS Army Training and Doctrine Command C"Fort Monroe, VA 23651 T..

IP C/

1. This letter is to inform you of a concept development that would' t7eventually replace The Army Functional Files System (TAFFS, AR 340-18series) by changing the way the Army identifies and maintains itsrecords. t"I2. The replacement is called ",fodern Army Record-keeping System," or"'ARKS," and is being developed because of perceptions by the Armyfield establishment that TAFFS is unsuitable because:

a. It is difficult to teach, learn, and use. -

b. It makes no provision for "general correspondence" files; ifa record is not specifically identifiable under a particular TAFFSnumber, it is a problem to file.

c. TAFFS requires excessive research into too many regulations(total of 17 AR's).

d. The numbering scheme used in TAFFS is arbitrary and bears norelation to any other administrative number series, thereby requiringthe user to learn and correlate different schemes.

3. The suitability of TAFFS and whether or not it should be replacedwere studied by CALCULON Corporation under contract during 1980-81;the Records Administrators of several addressees participated in theStudy Advisory Uroup for, and the evaluation of, this contract.CALCULON's conclusions were that TAFFS should be replaced by a moremanagement-oriented system which eliminates the complexity of TAFFS;and that, in developing a replacement system, we should positionourselves to adopt such state-of-the-art technology as may becomeuseful and cost effective.

4. The study's recommendations for immediate action were to:

. a. Replace the arbitrary TAFFS numbering scheme with a systemthat identifies records according to the number of the directive that

Encl # I to Chapter3

• d

'*** *~~. *. *% .. .

"J '-"*' ' .- , "" ." '." , ,".'." '.,.- ,%. ' '.',* ',,'' ' '- o ' ' . "

"'° ."""%* *" ,*n " . " *" - -

--

It :47 t 7 717 -1.97.-"

DAAG-AIIR-?SUBJECT: ,iew tecord-keeping Concept for the Army

prescribes their creation, maintenance, and use.

b. Develop tailored, structured filing instructions for thevarious echelons of the Army, much in the manner that At 340-2 istailored specifically for TO&E units under TAFFS.

5. We are therefore proceeding with a concept that will do thefollowing things under tARKS:

a. Number records according to their prescribing directives.For example, records in a unit supply room such as hand receipts,personal clothing records, reports of survey, etc., are prescribed byAR 710-2, Supply Policy Below the Wholesale Level. Instead of theserecords having file numbers of 1416-15, 1416-36, etc., under TAFFS,they would be numbered 710-2 and then given an alpha suffix todistinguish among the several types of records prescribed by AR710-2. Thus the numbering scheme for Army Regulations, as outlinedin AR 10-2, becomes the basic structure for the Army's files. ThisAR numbering scheme is generally better known and understoodthroughout the Army than the existing TAFFS numbering scheme.

b. Within each major category (as in the "710" example above),the first file number will be suffixed "a" and will be for general -correspondence files for which no specific file number exists, yetwhich relate generally to the major function described. SeeInclosure 1 for an example of how this works.

c. The numbering schemes for DA Forms and for recurring reportsthat are under Requirements Control will also be brought into thispattern, so that the same basic AR number will serve all of theadministrative processes for a particular program.

d. The subjective nature of MARKS will allow the office creatinga record to assign a file number to a record at the time it iscreated (probably immediately following the office symbol), ratherthan at the time the record is filed. We see this as having several .benefits, not the least of which are improved identification andretrieval of records and increased familiarity at the action officer *,.:

level with the files structure.

e. The implementing regulations for MARKS will be tailored tothe echelons which they serve. For instance, one directive willierve all installations of the Army, because all installationsbasically perform the same functions, regardless of the mission orcomposition of tenants; they perform facilities engineering, operateArmy Community Service centers, furnish post security, etc. Another

2

- p a

DAA G-A MR-PSUBJECT: ~ew Record-keeping Concept for the Army p

MARKS regulation will serve TO&E units, another, MACOM and sub-MACO"'headquarters; another, the DA Staff; etc.

6. At Iclosure 1 is a draft of a prototype regulation to test MARKSat the TO&E unit level; it is furnished to you solely forillustrative purposes, so that you can see how we envision the systemworking.

7. Our ailestones call for testing and evaluation of the MARKSconcept at several different echelons during the period January 1983- February 1984, and -- if the concept proves practical, desirable,and cost effective -- implementation Army-wide on 1 January 1985.We have considered a number of possibilities for testing the concept, Iamong which is testing by Soldier Support Center. This would bedependent, of course, on several factors -- SSC capabilities in thisarea, the priority to be assigned to the testing, when it could bedone, etc. Your thoughts in this area will be appreciated.

8. We have invited your Records Administrator, Mrs. Ann Thompson, toparticipate in a career management panel in Washington 19-23 April1982. If she attends, we will present a formal MARKS conceptbriefing to nor at that time. Our project officer is available totravel to Fort Monroe to present further briefings at yourconvenience, should you so desire.

9. Please give us your comments, concurrence, or non-concurrence inthe basic concept of MARKS, and a preliminary indication of whether

or not Soldier Support Center might carry out the testing (asdiscussed above), by 15 May 1982. Point of contact is John Vos, HQDA(DAAG-A.IR-P), AUTOVON 221-60.4.

FOR THE ADJUTANT GENERAL:

1 Inal " lN L. RAFFER Yas Clonel, GS

irector, Admi r tiveManagement

3

V"

.. -- *-d. -.! ' . . . L 1 • ":- • -?. . . .7."- ... . -- ; ' -:- '-.

DEPARTMENT OF THE ARMYHICADeUARTfERS UNITILD STATIS ARMY TRAINING AND DOCTRINC COMMAND

tORT MONROi, VIRGINIA 23661

RI[PLY TO

ATTENTION OF:

ATPL-AOR I JUL 982

SUBJECT: New Record Keeping Concept for the Army

HQDA (DAAG-AMR-P)Alexandria, Virginia 22231

S

1. Reference, TAGO letter, 2 April 1982, SAB.

2. The referenced TAGO letter requested TRADOC review a new "Modern ArmyRecords Keeping System" (MARKS) to determine if a test of the proposed systemis feasible. The review shows that the testability of MARKS poses notechnical difficulties. Methodology can include both attitudinal surveys andmeasurement of relative changes of such parameters as errors, operationaltime, training time, and linear feet of file space. The resources required tosupport the test would be determined by the scope of the effort.

• 3. The test can be performed by TRADOC as a customer test, with TAGO as thecustomer. Since TAGO has the functional area expertise on records keepingsystems, it must serve as the test proponent. TRADOC does not have thefunctional area expertise and would be unable to perform as the proponent.

4. The TAGO statement that the TRADOC Soldier Support Center (SSC) has therequisite expertise for the formal, structured discipline of scientifictesting and analysis is in error. TRADOC testing is performed by the 10 testactivities having the testing mission and not by the centers or schools. IfTRADOC is requested to conduct a field evaluation of the MARKS, a testactivity will be appointed to execute the evaluation.

5. If TAGO wishes to continue exploring the feasibility of conducting a teston MARKS, it must complete the following actions:

a. Develop the issues, criteria and measures of effectiveness to beaddressed in a test.

b. Determine the scope of the test (battalion, division, MACOM, HQDA or aslice of all command levels). The number of agencies to be involved asplayers in the test will determine resource requirements.

c. Request TRADOC assign a test activity to coordinate with TAGO todevelop a cost estimate for execution of the test.

.'o2


L

4--

.77F

ATPL-AORSUBJECT: New Record Keeping Concept for the Army

6. HQ TRADOC POC for test coordination is LTC Jones, ATTE-R, AV: 680-3685.

FOR THE COMMANDER:

R. E. BROWNColonel, GSAdjutant General

2-i

-. . -

-*.* .*.- .**- ,*.*.*.**. . . . .-.. . . . . . . ..---.. ..-... . . . .. . . . . . . . . . . . . . . .

I.

DEPARTMENT OF THE ARMYOFFICE OF THE ADJUTANT GCNERAL

ALJOCANONRM VA aZU1

AMMON or

hme,,N 21 JUL 1982

DAAG-AHR-P


CommanderUS Army Training & Doctrine CommandATTN: ATTE-RFort Monroe, VA 23651

1. Reference your letter, ATPL-AOR, 7 Jul 82, SAB.

2. Request your headquarters assign a test activity to conducttesting of the Modern Army Record-keeping System (MARKS). Thefollowing conditions and stipulations apply:

a. The Adjutant General's Office (TAGO, DAAG-AMR-P) will bethe test proponent.

b. At Inclosure 1 is a statement of the issues, criteria,and measures of' effectiveness to be addressed in the test .These may be further stated and defined during the costestimation phase discussed below.

c. The scope of the test Will include the following:

(1) Testing for a period of one year at the TOE unitlevel (not to exceed two battalion-sized units). We anticipatethis testing beginning on 1 July 1983 and ending on 30 June1964. :

(2) Testing for a period of one year at theinstallation headquarters level, at the same installation as isused for the TOE unit level tist. We anticipate this testingbeginning on 1 January 1984 and ending on 31 December 196:.

d. The CONUS installation to be used for *this test willdepend on the test activity to be assigned to this task, and itslocation.

e. Upon your designation of a test activity, the MARKS

Project Officer will be made available to visit yourheadquarters and/or the test activity, as required, to assist in

developing the cost estimate and to define further the issues,criteria, and measures as discussed above.

Encl # 3 to.-Chapter 3 JOHN G. vosI'

I. * -. . . . .. . . . . . . .. *..

DAAG-AMR-PF'SUBJECT: Nev Record-keeping Concept for the Army

3. Please respond not later than 20 August 1982. The MARKSProject Officer and point of contact Is John los,. HQDA(DAAG-AMR-P), AUTOVON 221-6044.


1 cIne JOHN L. RAFFERTYas Colonel, GS

Director, Administrative

Management

2

ISSUES. CRITERIA. AND MEASURES OF EFFECTIVENESSFOR TESTING OF THE

MODERN ARMY RECORD-KEEPING SYSTEM (MARKS)

Section I: General Oblectives

A. To determine whether or not the Modern Army Record-keepking Sys-tem (MARKS) will work better than The Army Functional Files System(TAFFS).

B. To determine if the classification scheme of MARKS can be under-stood readily by users.

C. To determine the degree of user satisfaction or dissatisfactionwith MARKS, and the reasons for it.

Section II: Specific ObJectives

1. To determine the benefits and advantages, or lack thereof, ofthe following distinctive features of MARKS v-a TAFFS, as theyrelate to the filing and retrievability of information:

a. MARKS will use a subljtUi& format rather than the funct-ional format of TAFFS. One of the principal objections to TAFFS has74 been that its functional -nature is confusing; before a document canoe given a file number, it must be related mentally not to its sub-ject matter, but rather to the assigned mission and function of theoffice maintaining it (be that the creator or the recipient). Thissame mental process must be repeated each time the document is to be %retrieved. As MARKS will concentrate on the subiect matter of thedocument only, will users find it -- -

V• Easier to file and retrieve documents?

• About as easy as under TAFFS?

* More difficult than under TAFFS?

b. MARKS will use the basic *Army Regulation number as the filenumber. For retrieval purposes, will the mental association betweenAR number and file number make it easier than, about the same as, ormore difficult than under TAFFS?

c. Another distinctive MARKS feature will be that the record-keeping directives will be targeted to specific organizationalechelons of the Army (installation headquarters, service schools,major Army command headquarters, TOE units, etc.), rather than to

* major functional areas (R&D, Transportation, Medical, etc ). Ourmain purpose in doing this is to give the user, at whatever echelon,

* all the files descriptors that are needed at that level, but kolithose needed at that level. We want the testing to tell us whether

*Inclosure 0 1 1

..........

<:-;- ~ ~ ~~~~~~~~ .... ..- 1-.-.",-.-.-.-..'-.'''i'":'... .. '..-.'.-.-..-.....-....-..... .-.. ,.-.-..,....-.._. .............-

or not --

* Our test regulation is complete and accurate, ix thatit does or does not contain all the file descriptionsnecessary for the target audience.(*)

* The installation headquarters being tested finds this"echelon" type of directive more usable than TAFFS,about the same as TAFFS, or less usable than IAFFS.

d. It is not our intent, in MARKS, to require the creation ofany records that are not already being created and maintained todocument the Army's transaction of public business. However, it maybe that, with a system that ties record-keepking to the prescribingdirective, the field will perceive it as an additional record-keeping requirement. For instance, testing may reveal that severalcategories of records which (under TAFFS) had been grouped togetherunder the catch-all term of "administrative files" will now have tobe broken out and identified according to their specific prescrib-ing directives. We will want to know --

0 Whether the new system will result in ameasurable quantitative increase in therecords being created and/or maintained.

* Regardless of whether or not an increase involume results from MARKS, do users perceiveit -- for this reason -- as creating anadditional workload?

e. At some point during the test period, the Annual Army Pri-vacy Program Report will come due. One of the features of MARKS isthat it ties the file description to the systems notice under ThePrivacy Act of 1974. We will want to know whether or not testedelements find it easier to prepare the annual report because of theinclusion of Privacy Act pointers in the filing directive.

f. Another MARKS feature is the "general correspondence" cate-gory within each subject area (see prototype regulation previouslyfurnished to you). We will want.to know whether or not tested ele-ments find this to be an improvement over TIFFS in identifying andretrieving "hard-to-file" documents which are not pinpointed in thespecific MARKS files descriptions.

g. MARKS will allow users to put the file number on a record at pthe time it is created (see para 7-4 of the prototype regulation),rather than -- under TIFFS -- requiring that. it not be assigneduntil such time as the record is filed. We will want to knowwhether this permissive procedural change makes identification andfiling easier than it was under TAFFS, more difficult, or about thesame.

(0) These situations apply only to tisting at the installationheadquarters Level; TOE units, under TAFFS, are already using aregulation specifically tailored for that echelon.

2

S. -., . ° . . ° °

2. In MARKS, all file titles will be expressed in two ays. Thefirst will be the long title, shown essentially as it appeared in

TAFFS for a given record series; following that, it.,will beexpressed as a "Standard Data Element,0 or *SDE," which is a part ofthe Army's standardization program under AR 18-12. Each 8SDE* filetitle will have a maximum of 24 characters (including hyphens, whichseparate the abbreviations), and will remain eye-readable, ormnemonic. This dual-titling of our record series is a first steptoward facilitating the eventual mautomatability" of the Army's rec-ord-keepking processes. Typically, these two titles will appear inMARKS as in this example:

Number il

638-1a Personal Effects Case Files (long title)SDE: PER-EFFECT-CASE (SDE title)

Having taken this initial step toward automatability of the Army'srecords, we would like to include -- at- the installation headquar-ters testing level -- a test of automated indexing of the records ofthe headquarters. This portion of the test would be for thepurposes of determining --

b" Whether automated indexing is perceived at themanager/action officer level as being a usefulmanagement tool.

* Whether automated indexing is helpful to theinstallation records manager in identifying andcontrolling the disposition of headquartersrecords, including the scheduling of their flowinto the records holding area.

9 Whether the Standatd Data Element titles can beused for the purpose of conducting on-line key-word searches.

* Just what elements should be identified and madeavailable for searching in order to best servethe user.

3. Point of contact is John Vos, DAAG-AMR-P, AUTOVON 221-6044.

3

2.L ._ -L 2" .--.- -,-i.-..-... ". ..--.. . . . . ..-. . .. . . . . . . . . .... ... "... . . . .--.--. .. ". .-. .. .. --...-- .-- -..-... -? i-..-".--.-... . .,..

ATCT-PO-P (30 Jul 1982) 1st IndSUBJECT: Evaluation of the Modern Army Record-Keeping System (MARKS)

Headquarters TRADOC Combined Arms Test Activity, Fort Hood, Texas 76544 S SEP 12 ..

TO: Cdr, US Army Training& Doctrine Com-'and, ATTN: ATTE-R, Fort Monroe,

Virginia 23651

1. Reference the telephone conversation between LTC Jones, ATTE-R and

MAJ Phillis, this office on 25 Aug 82.

2. The purpose of this letter is to confirm the referenced telephoneconversation.

*. The evaluation of MARKS does not qualify, in the true sense, as a test.The nature of the concept would seem to be a candidate for a structuredsubjective evaluation or, in other words, a controlled study.

4. In addition, the proposed scope for the evaluation, i.e., convertingbattalion level organizations only to MARKS, may cause undue difficultyand confusion at that level. It could very possibly initiate the realor imagined need for maintaining two separate filing systems; MARKS forthe evaluation and the old TAFFS for the real day to day work. Perhapsa better and less difficult approach would be to convert an entire organ-converted to MARKS for a prescribed period of time. Functional experts pro-

vided by the proponent could periodically visit the installation to evaluate t.the system and provide assistance as required.

5. POC is MAJ Phillis, 737-9100.

FOR THE COMMANDER:

w/d tncl KELLY i• FITZP TJICKlLT, AGCAssistant Adjutant

I 2

*>:.~'*'-Encl # 4 to Chapter 3 .. .. ,~*....*

....

0~ OCT 1982 ~

Co:;ma nderTRA0OC Combined ArmsTest ActivityATTN: ATCT-PO (MAJ Phillis)rt Hood, TX 76544 :,

STD!. References: i

AR

a. DA-AG ltr, 21 Jul 82, SAB.AR1

b. FONECON between LTC Jones, ATTE-R and MAJ Phillis, TCATA, 29 Jul 82, S

2. ICATA is requested to conduct a customer test for HQ DA-AG in the evalua-tion of a New Record-Keeping Concept. The issues, criteria and measures ofeffectiveness are at inci 1.

3.Since FORSCOI troops will be required to support the evaluation, an OTPmust be submitted for review and approval by the TSARC.

4. Request TCATA provide comments and report of resources required to supportthe evaluation to this HQ, ATTU: ATTE-R as soon as possible.

* 5. Direct coordination with HMDA-AG POC is authorized for coordination of* test requiremtents.

1 m1ci DON~ALD G. REICHas Assistant Deputy Chief of Staff

for Test and Evaluation

CF* HQDA (DAAG-AM.R-P/Mr. Vos)

CZI

.. . . .

DAAG-AMR-P

26 November 1982

SUBJECT: Trip Report (TRADOC Visit, 24 November 1982)

TO: DAAG-AM

1. Bert Haggett and John Von, DAAG-AMR-P, visited HQ, USA TRADOC onWednesday, 24 November 1982, for the purpose of discussing the con-trglld study of MARKS with officials at that headquarters.

2. We met first with LTC George Jones, DCSTE, at 1100 hours. We ex-plained to him that we have decided that a controlled study would beacceptable, provided that wj could gI jhe support A and i stneeded from TRADOC and FORSCOM to carry it off.

3. LTC Jones advised that since we opt to go with the controlledstudy, it Is out of DCSTE'a bailiwick and into the Combat Develop-ment Directorate's area. He therefore referred us to ...

4. Study Management Branch of Combat Developments Directorate. TheBranch Chief, with whom we spoke only briefly and In passing, is a MAJRoss. Our substantive discussions (@ 45 minutes) were with Mr. Walterbanks and Mr. Bill Karnes of SMB. They were generally receptive towhat we want to do; they were concerned, however, that our controlledstudy would involve the allocation of resources (PMY's, or "profess-ional man-years", and hard dollars). I assured them that --

a. The only "hard dollar* expenses would be borne by TAGO.

b. The only personnel resources outside of TAGO that would beinvolved in the study would be those of the installation recordsmanager, who would have a hand in overseeing the study during the timethat it is actually going on.

c. The TRADOC/FORSCOM employees and troops that would be usingMARKS during the study would not be devoting any more time (and, hope-fully, less time) than they already are under TAFFS.

d. The training time that is involved to teach any group ofpeople the differences between MARKS and TAFFS, and how to applyMARKS, would be about eight hours.

5. SMB opined that what we want to do falls within the purview ofAR 5-5, Army Study and Analysis Program, the proponency for whichrests in HQDA (DACS-DMO). The Study Program is headed by a Dr. Dunn,assisted by a Ms. Jo Anne Langston. Additionally there is a StudyPlanning Coordination Committee (SPCC) at HQDA, on which TAGO has amember; however, Walt Banks says that the SPCC exists "...more onpaper than in reality."

. 6. Bottom line is that we should submit a statement of work throughthe SPCC to DACS-DMO, who will then task TRADOC (SMB) with carryirgout the TIADOC/FOPSCOM part, which is to identify and task a TOE unitand an installation headquarters to participate in the study. Mr.Banks stated that since no hard resources on the part of TRADoC/FOR.

P Encl # 5 to Chapter 3

._.'-.'..' _..' _.._. ... . .................................................................."-".","-"."."......"-"."..'" " "'" "."."..

COM are envisioned, it shouldn't be much of a problem getting through

this part of the bureaucracy.

7. In summing up, SHe recommended that we --

a. Sell the concept to COL Brown, TRADOC AG, and enlist hissupport since he Is responsible for the administrative managementaspects of what TRADOC does and, as the functional manager, SMB willeventually have to coordinate our effort with the TRADOC AG.

b. Prepare a statement of work IAW AR 5-5.

c. Get It through the SPCC to DACS-DMO.

8. Following the meeting with SMB, we met with COL Brown, TRADOC AG,from 1300 to 1345. Also present were LTC Shires, Director of Admin-istrative Services, and Ms. Ann Thompson, TRADOC Records Administra-tor. We briefly brought them up to speed on MARKS and then reviewedour meetings with DCSTE and SHB. COL Brown is of the opinion that itmight be better to ignore the formal 'study management* approach be-cause of the massive documentation and bureaucracy involved (and theconcomitant time lags), and handle it Instead exclusively through AGchannels (i.e., his office). We then discussed -- apart from whichchannel is used -- a possible location for the study. COL Brown lea,toward Fort Sill, OK as an Ideal site. I expressed our desires fori--site east of the Mississippi and outside the NCR. By the way'everyone that we talked to on 24 Nov 82 agreed that, for visibilityand credibility, a TOE unit from the combat arms is the mostdesireable.

10. While we appreciate his offer of the AG channel -- and indeed,may eventually use it -- there are dangers in going exclusively withthat route to the total exclusion of the Army Studies and AnalysisProgram (AR 5-5). I can envision protracted negotiations In the AGchannel to get access to a unit and installation, only to have thoseresponsible for the Army Studies Program interject themselves and tellus we can't do it informally without going through then and their pro-cedures.

11. I therefore propose to make an initial (verbal) contact onMonday, 29 Nov 82, with Dr. Dunn's shop, DACS-DMO, to --

a. Tell them about what we are working on and what we want to do

by way of studying it.

b. Inform them that the resources involved are minimal.

C. Solicit their ideas on this subject, and an informal estimateof how long it would take from the time of our submission to DACS-DMOto the time TRADOC has the tasking in hand. £

12. We'returned to Davison AAF at 1720 hours, 24 Nov 82.

John G. Vo"MARKS Project Officer

" / " / . o " ° ". ' '. " ° " ' ' " " % " " " " -" " " " " * " ° - " . . " * - " - "'Z .. " "

- .. . . . . .w .•. *.,..

7 . -T

DEPARTMENT OF THE ARMYOlPlr OF THE ADJUTANT GENERAL

WASHINGTON. D.C. 30910

2" .2rDECM

SUBJECT: Study of the Modern Army Record-keeping System (HARKS)

Comand erUS Army Training and Doctrine CommandFort Monroe, VA 23651

,. .b..... . A .djutant .Ge'eral '.s..Off ice Is. designing. _T1e ModeX.r, ,y Record-keeptngSystem (MARKS) as a replacement for The Army Functional Files System (TAFFS).

MARKS will simplify maintenance of records in the Army by tying them to theAmy Regulation that prescribes their creation and use; will standardize the

I numbering of f les, DA Forms, and ntra-Army requirements control under a sin- .gle scheme; and will pave the way for future automation of the record-keepingprocess. Because it will affect every element, organization, and office inthe Army, implementation must be preceded by a study to insure that it willfunction as it is designed, and meet all requirements of the user and the rec-ords management program.

2. In April 1982, HQDA requested TRADOC assistance in supporting a test orstudy of MARKS (document package at Incl 1). Having decided that a controlled

, study would be the best way to evaluate MARKS, we were referred by your Com-bat Developments Directorate to the Studies Program Management Office (DACS-DMO) of the Office, Chief of Staff, Army for clearance under AR 5-5, ArmyStudy and Analysis Program. We have now been advised that our-requirematsare below the threshhold for formal studies under that program, and that wemay proceed without further reference to AR 5-5 requirements (see Incl 2). . ~3. The basic requirement is for participation of one battalion and an instal-lation headquarters during the period 1 July 1983 - 31 December 1984. All prep-aration for and conduct of the study will be done by members of my office.These requirements were discussed informally with your Combat Developments Dir-ectorate (see Incl 3).

4. Detailed information on this requirement is at Inclosure 4. Please advisenot later than 4 February 1983 of the organizational elements selected for thestudy, their location, and the points of contact at the study site. TAGO pointof contact is Mr. John Vos, HQDA (DAAG-AMR-P), AUTOVON 221-6044. Mr. Vos is


°¢ o, ,"o •, o ° -, - °o,.o .o"-- .°- . .-. o.o . . . ..-. ..o . . . . o-• o ... . . . .. o

DkAG-AMR-P 2 DEC 198SUBJECT: Study Of the Modern Army Record-keeping System (MARKS)

available f or consultation at EQ. TRADOC on this subject at any time if you

4 Imcl C ALD J. DELANDROas Brigadier General, USA

.~

Acting The Adjutant General *

2

% ,7 , A

DEPARTMENT OF THE ARMYOFFICE OF THE ADJUTANT GENERAL

WASHINGTON. D.C. 20310I

ATK14TIO OF

.3 1 ,: ,S...._

DAAG-AHR-P

SUBJECT: Pilot Study of the Modern Army Record-keeping System(MARKS)

CommanderU. S. Army Forces CommandATTN: AFAG-ASFort McPherson, GA 30330

1. Request you designate one TOE battalion for participation ina pilot study of MARKS during the period 1 July 1983 - 30 June1984. Commander, USA TRADOC has tentatively designated Headquar-ters, Fort Knox, KY for the pilot study at the installation head-quarters level; the designation of a TOE battalion at Fort Knox

would make the management of both studies easier.

2. The details of MARKS will be briefed to USA FORSCOM AG andODCSOPS personnel on 8 February 1983.

3. An information packet on MARKS is attached for your informa-tion (Incl 1). At Incl 2 is a summary of the responsibilitiesof TAGO, USA TRADOC, and USA FORSCOM, respectively, In the pilotstudy. The use of MARKS in the battalion will not detract from --

unit training, readiness or mission accomplishment in any way.

Administrative personnel of the battalion who have been using TheArmy Functional Files System (TAFFS) will use the simplifiedprocedures of MARKS in its place.

4. Request reply not later than 28 February 1983. Point of con-tact is John Vos, HQDA (DAAG-AMR-P), AUTOVON 221-604.4.

C3:IZIS

2 Incls DONALD J. DELANDROas Brigadier General, USA

Acting The Adjutant General


* . . . -.* *. , .

•............ . _ . .. tQ .., ;. :. . .. *.. . , .. .. ._, . *.. . . *-. -. * , ... , ,.._' ** ._ *% , , .- . ., .-. : . ...

RESPECTIVE RESPONSIRILITIES

PILOT STUDY OF MARKS AT TOE UNIT LEVEL

SECTION I: The Adjutant General's Office (TAGO) will "'

Orient key personnel: An initial briefing to explain thegeneral scope of the pilot and the extent of the unit's involve-ment in it. This would probably involve the Battalion Commander,XO, S-1, Adjutant, the installation Records Manager, and anyothers whose attendance is desired or desireable.

Prepare Plan of Instruction (POI): A lesson outline for ablock of instruction on what MARKS is, how it differs from TAFFS,how it will be used, its distinctive features, etc., includingpractical exercises. This lesson outline will be tested withinTAGO prior to its use with battalion personnel.

Conduct training: The TAGO representative (MARKS Project

Officer) will conduct the necessary training for battalion admin-istrative personnel. The training will not exceed six (6) hoursof classroom instruction, including practical exercise. It canbe conducted in either one, two, or three stages, depending onhow many personnel can attend at any one session.

Furnish all materials: TAGO will bring to the pilot site and -

furnish to the participants all the materials to be involved inthe pilot study, including the pilot regulation (AR 3 4 0-XX/Test),handouts, filing and finding aids, information sheets on how par-tioular situations are to be handled, reference documents givingnames and telephone numbers to call if difficulties are -

encountered or if questions arise, etc. File supplies would befurnished as they presently are (there will be no unique or un-usual file supply requirements during the pilot study).

Conduct the study. suide. and assist: The MARKS Project Teamwill make at least two on-site visits during the course of theyear to provide guidance and assistance where needed. The pilotwill essentially consist of the battalion administrativepersonnel using the MARKS concept in place of the current TAFFSmanner of identifying and disposing of recorded information. Inaddition to the (at least) two on-site visits by TAGOrepresentatives, participants will have access during the courseof the pilot to (a) the installation Records Manager, and (b) byAUTOVON, the MARKS Project Team for any assistance they may

require or desire.

Post-pilot evaluation: At the conclusion of the year, theHARKS Project Team would again visit the site and, through inter-views and/or questionnaires, obtain partioipants' perceptions ofMARKS vis-a-vis TAFFS. The specific areas to be covered in thispost-pilot phase have been outlined in a document entitled*Issues, Criteria, and Measures of Effectiveness" which is

:. .................... ..... .... .... . ........... ...... :::

attached hereto.

Debrief key personnel: At the conclusion of the post-pilotdata collection, the MARKS Project Officer will debrief keyinterested personnel (see the first item above) with an assess-ment of the results.

Section II: Commander, US Army Training and Doctrine Command(TRADOC) will --

Make available an installation headquarters for participationin that phase of the pilot study. (Commander, USA TRADOC hastentatively designated Fort Knox, Kr for this purpose.)

Assure cooperation in the pilot by making Commander, Fort pKnox aware, through command channels, of the purpose, scope, andimportance of the pilot.

Make available the Fort Knox Records Manager, on a limitedbasis, for on-site assistance to pilot participants during suchtimes as the MARKS Project Team is not on-site. This would con-sist of answering participants' questions or interfacing, byAUTOVON, with the MARKS Project Team where necessary.

Make available, through Commander, Fort Knox, minimal ad-ministrative support for the MARKS Project Team during such timesas they are on-site, consisting of desk space and access to tele-phones, hotel/motel reservations for on-site visits, etc.

Section III: Commander, U. S. Army Forces Command (FORSCOM)will --

esinLgtn'r a TOE battalion, preferably at Fort Knox, KY, foruse in this pilot study for the period 1 July 1983 - 30 June-1984.

Assure cooperation on the part of the TOE battalion and itsimmediate higher headquarters by making the respective commandersaware, through command channels, of the nature, scope, andimportance of this pilot study.

1 Inol:Issues, Criteria, andMeasures or Effectiveness

2

.'.

oo'o~°-.'o~o . ..- ° .. . ° %. °. ° % .% - . • .2

ISSUES. CRITERIA. AND MEASURES OF EFFECTIVENESS

FOR PILOT STUDY OF THE


Section I: General Obiectives

A. To determine whether or not the Modern Army Record-keeping System(MARKS) will work better than The Army Functional File System (TAFFS),

B. To determine if the classification scheme of MARKS can be readilyunderstood by users.

C. To determine the degree of user satisfaction or dissatisfactici,with MARKS, and the reasons therefor.

Section II: Specific Objectives

1. To determine the benefits and advantages, or lack thereof, of thefollowing distinctive features ofd MARKS vis-a-vis TAFFS, as they re-late to the filing and retrievability of information:

a. MARKS will use a sublj±tive format rather than the functionalformat of TAFFS. One of the principal objections to TAFFS has beenthat its functional nature is confusing; before a document can begiven a file number, it must be related mentally not to its subje__but rather to the assigned mission and functions of the off 1-_maintaining it (be that the originator or the recipient). This samemental process must be repeated each time the document is to be re-trieved. As MARKS will focus on the sub.et matr of the documentonly, will users find it --

to file and retrieve documents?

0 About as easy as under TAFFS?

e More difficult than under TAFFS?

b. MARKS will use the basic Army Regulation number as the filenumber. For retrieval purposes, will the mental association betweenAR number and file number make it easier than, about the same as, ormore difficult than under TAFFS?

o. Another distinctive MARKS feature will be that the record-keeping directives will be targeted to specific organizationalechelons of the Army (installation headquarters, service schools,MACOM headquarters, TOE units, etc.), rather than to major functionalareas (R&D, Transportation, Medical, etc.). Our main purpose in doingthis is to give the user, at whatever echelon, all the descriptionsthat are needed at that level, but only those needed al that level.We want the pilot studies to tell us whether or not--

iq..

* Our test regulation is complete and accurate, in that it doesor does not contain all the file descriptions necessary forthe target audience().

* The installation headquarters in this pilot finds the "ech-elon" type of directive more usable than TAFFS, about the sameas TAFFS, or less usable than TAFFS.

d. It is not our intent, in MARKS, to require the creation of anyrecords that are not already being created and maintained to documentthe Army's transaction of public business. However, it may be that,with a system that ties reoord-keeping to the prescribing directive,the field will perceive it as an additional record-keepingrequirement. For instance, the pilot may reveal that severalcategories of records which, under TAFFS, had been grouped togetherunder the catch-all term "administrative files" will now be broken outand identified according to their specific prescribing directives. Wewill want to know --

* Whether the new system will result in a measurable increasein the records being created and/or maintained.

* Regardless of whether or not an increase results from MARKS,do users perceive it -- for this reason -- as creating anadditional workload?

e. At some point during the pilot study, the Annual Army PrivacyProgram Report will come due. One of the features of MARKS is thatIt ties the file description to the systems notice under The PrivacyAct of 1974. We will want to know whether or not the participants inthe pilot study find it easier to prepare the annual report because ofthe inclusion of Privacy Act pointers in their filing directive.

f. Another MARKS feature is the "general correspondence" categorywithin each major subjective area (see prototype regulation, AR340-XX). We will want to know whether or not the participants findthis to be an improvement over TAFFS in identifying and retrieving

"hard-to-file" documents which are not pinpointed in the specificMARKS files descriptions.

g. MARKS will allow users to put the file number on a record atthe time it is created (see para 7-4 of AR 340-XX) rather than --under TAFFS -- requiring that it not be assigned until such time asthe record is filed. We will want to know whether this permissiveprocedural change makes identification and filing easier than it wasunder TAFFS, more difficult, or about the same.

These situations apply only to the pilot at the installationheadquarters level; TOE units, under TAFFS, are already using aregulation specifically tailored for that echelon.

* 2

* .X * - *. . . . . *.

RESPECTIVE RESPONSIBILITIES

PILOT STUDY OF MARKS AT TOE UNIT LEVEL

SECTION I: The Adjutant General's Office (TAGO) will ..

Orient key personnel: An initial briefing to explain thegeneral scope of the pilot and the extent of the unit's involve-ment in it. This would probably involve the Battalion Commander,XO, S-1, Adjutant, the installation Records Manager, and anyothers whose attendance is desired or desireable.

Prepare Plan of Instruction (POT): A lesson outline for ablock of instruction on what MARKS is, how it differs from TAFFS,how it will be used, its distinctive features, etc., includingpractical exercises. This lesson outline will be tested withinTAGO prior to its use with battalion personnel.

Conduct training: The TAGO representative (MARKS ProjectOfficer) will conduct the necessary training for battalion admin-istrative personnel. The training will not exceed six (6) hoursof classroom instruction, including practical exercise. It canbe conducted in either one, two, or three stages, depending onhow many personnel can attend at any one session.

Furnish all materials: TAGO will bring to the pilot site andfurnish to the participants all the materials to be involved inthe pilot study, including the pilot regulation (AR 340-XX/Test),handouts, filing and finding aids, information sheets on how par-tioular situations are to be handled, reference documents givingnames and telephone numbers to call if difficulties areencountered or if questions arise, etc. File supplies would befurnished as they presently are (there will be no unique or un-usual file supply requirements during the pilot study).

Conduct the study, guide. and assist: The MARKS Project Teamwill make at least two on-site visits during the course of theyear to provide guidance and assistance where needed. The pilotwill essentially consist of the battalion administrativepersonnel using the MARKS concept in place of the current TAFFSmanner of identifying and disposing of recorded information. Inaddition to the (at least) two on-site visits by TAGOrepresentatives, participants will have access during the courseof the pilot to (a) the installation Records Manager, and (b) by

AUTOVON, the MARKS Project Team for any assistance they mayrequire or desire.

Post-pilot evaluation: At the conclusion of the year, the

MARKS Project Team would again visit the site and, through inter-views and/or questionnaires, obtain participants' perceptions ofMARKS vis-a-vis TAFFS. The specific areas to be covered in this 0post-pilot phase have been outlined in a document entitled"Issues, Criteria, and Measures of Effectiveness" which is

* * ...... • "°.. ...

attached hereto.

Debrief key nersonnel: At the conclusion of the post-pilotdata collection, the MARKS Project Officer will debrief keyInterested personnel (see the first item above) with an assess-ment of the results.

Section II: Commander, US Army Training and Doctrine Command(TRADOC) will --

Make available an installation headquarters for participationin that phase of the pilot study. (Commander, USA TRADOC hastentatively designated Fort Knox, KY for this purpose.)

Assure cooperation in the pilot by making Commander, Fort

Knox aware, through command channels, of the purpose, scope, andimportance of the pilot.

Make available the Fort Knox Records Manager, on a limitedbasis, for on-site assistance to pilot participants durivg suchtimes as the MARKS Project Team is not on-site. This would con-sist of answering participants' questions or interfacing, byAUTOVON, with the MARKS Project Team where necessary.

Make available, through Commander, Fort Knox, minimal ad-

ministrative support for the MARKS Project Team during such timesas they are on-site, consisting of desk space and access to tele-phones, hotel/motel reservations for on-site visits, etc.

Section III: Commander, U. S. Army Forces Command (FORSCOM)will --

Desian'atr a TOE battalion, preferably at Fort Knox, KY, foruse in this pilot study for the period 1 July 1983 - 30 June-1984.

Assure cooperation on the part of the TOE battalion and itsimmediate higher headquarters by making the respective commandersaware, through command channels, of the nature, scope, andimportance of this pilot study.

1 Incl:Issues, Criteria, andMeasures of Effectiveness

2• °.

~ . . . . .. . . . .

-... .., . .-.. .. ... . -.. . .- ....... ... , .. ..... .. .= . , o . .. .. .. . . .. . . . . . . . . . .-• : °, i t ° °.4 . - °l -° • °° I , . -. • . -. , . .e • ° o o . ° ° ' - . - ' . -° .- ". °t. " °. °° . ' " , ' " , .

ISSUES.*CRITERIA. AND MEASURES OF EFFECTIVENESS

FOR PILOT STUDY OF THE


Section I: General Oblectives

A. To determine whether or not the Modern Army Record-keeping System(MARKS) will work better than The Army Functional File System (TAFFS).

B. To determine if the classification scheme of MARKS can be readilyunderstood by users.

C. To determine the degree of user satisfaction or dissatisfactiol,with MARKS, and the reasons therefor.

Section II: Specific Obiectives

1. To determine the benefits and advantages, or lack thereof, of thefollowing distinctive features ofd MARKS vis-a-vis TAFFS, as they re-late to the filing and retrievability of information:

a. MARKS will use a subleive format rather than the functionalformat of TAFFS. One of the principal objections to TkFFS has beenthat its functional nature is confusing; before a document can hegiven a file number, it must be related mentally not to its subje--but rather to the assigned mission and functions of the offlmaintaining it (be that the originator or the recipient). This samemental process must be repeated each time the document is to be re-trieved. As MARKS will focus on the subject matter of the documentonly, will users find it --

* jiAJ&Z to file and retrieve documents?

a About as easy as under TAFFS?

* More difficult than under TAFFS?

b. MARKS will use the basic Army Regulation number as the filenumber. For retrieval purposes, will the mental association betweenAR number and file number make it easier than, about the same as, ormore difficult than under TAFFS?

c. Another distinctive MARKS feature will be that the record-keeping directives will be targeted to specific organizationalechelons of the Army (installation headquarters, service schools,MACOM headquarters, TOE units, etc.), rather than to major functionalareas (R&D, Transportation, Medical, etc.). Our main purpose in doingthis is to give the user, at whatever echelon, all the descriptionsthat are needed at that level, but o those needed Al that level.We want the pilot studies to tell us whether or not--

.......................................

a Our test regulation is complete and accurate, in that it doesor does not contain all the file descriptions necessary forthe target audience().

The installation headquarters in this pilot finds the "ech-elon" type of directive more usable than TAFFS, about the sameas TAFFS, or less usable than TAFFS.

d. It is not our intent, in MARKS, to require the creation of anyrecords that are not already being created and maintained to documentthe Army's transaction of public business. However, it may be that,with a system that ties record-keeping to the prescribing directive,the field will perceive it as an additional record-keepingrequirement. For instance, the pilot may reveal that severalcategories of records which, under TAFFS, had been grouped togetherunder the catch-all term "administrative files" will now be broken outand identified according to their specific prescribing directives. Wewill want to know --

0 Whether the new system will result in a measurable increasein the records being created and/or maintained.

Regardless of whether or not an increase results from MARKS,do users perceive it -- for this reason -- as creating anadditional workload?

e. At some point during the pilot study, the Annual Army PrivacyProgram Report will come due. One of the features of MARKS is thatit ties the file description to the systems notice under The PrivacyAct of 1974. We will want to know whether or not the participants inthe pilot study find it easier to prepare the annual report because ofthe inclusion of Privacy Act pointers in their filing directive.

f. Another MARKS feature is the "general correspondence" categorywithin each major subjective area (see prototype regulation, AR340-XX). We will want to know whether or not the participants findthis to be an improvement over TAFFS in identifying and retrieving"hard-to-file" documents which are not pinpointed in the specificMARKS files descriptions.

g. MARKS will allow users to put the file number on a record atthe time it is created (see para 7-4 of AR 34O-XX) rather than --

under TAFFS -- requiring that it not be assigned until such time asthe record is filed. We will want to know whether this permissiveprocedural change makes identification and filing easier than it wasunder TAFFS, more difficult, or about the same.

() These situations apply only to the pilot at the installationheadquarters level; TOE units, under TAFFS, are already using aregulation specifically tailored for that echelon.

2

.-. =

APAG-ASR (31 Jan 83) lst IndSUBJECT: Pilot Study of the Modern Army Records-keeping System

HQ FORSCOM, Fort McPherson, GA 30330 8 APR 1983 "

TO: HQDA (DAAG-AMR-P), Alexandria, VA 22331 lo3

1. The 5th Battalion, 73d Armored Regiment, Fort Knox, is designated to

participate in the pilot study of MARKS (see Inclosure 3). .

2. The brigade POC for this study is SFC Lane (AUTOVON: 464-4219). 7"

FOR THE COMMANDER: tv

2 ThclJOSEPH C. HARDYwd tncl 1 J, AGCAdded 1 incl seistant Adjutant General3. MSG 311030Z MAR 83

FT KNOX

,,.

2-


'...

• . .* ..- - * ........ * . * * % . . * , * . . . * . .. . . . .

°

DRAFT FINAL REPORT


Chapter 4 p

Preparation of Materials Prior to Inception of Pilot

1. In order to conduct orientation and training at 5th Battalion, 73rd ArmoredRegiment in mid-1983, the following materials were developed, printed, andused:

a. Lesson Plan, prepared in accordance with FM 21-6 (copy at Encl # 1).

b. AR 340-XX (Test), Pilot of the Modern Army Record-keeping System(MARKS) at 5th Bn, 73rd Armored Regiment, 194th Armored Brigade (copy at Encl# 2).

c. Handout # 1, Identifying Records of the 5th Battalion, 73rd ArmorUnder MARKS (copy at Encl # 3).

d. Handout # 2, Identifying General Correspondence of the 5th Battalion,73rd Armor Under MARKS (copy at Encl 1 4). -

e. Practical Exercise in Identifying Records of the 5th Battalion, 73rdArmor Under MARKS (copy at Encl # 5).

2. In addition to the above, the MARKS team secured and studied copies of "'"5/73 Armor's Lists of Selected File Numbers (LSFN's) which already existedunder TAFFS (copy at Encl # 6). Based on these lists, new LSFN's were preparedunder MARKS for each files station within the battalion to ensure correctinitial identification of records under MARKS (copy at Encl # 7).

II

...............................................A.

. .. . . . . . . . . . - . . - ... * . ... - - - - - " " -*** . -• * , .- * ... - .- i

LESSON PLAN

(Reference: appendix G, FM 21-6, "How to Prepare and Conduct MilitaryTraining," November 1975 (current)).

1. The Commander's Training Objectives: To orient administrative andother record-keeping personnel of 5th Battalion, 73rd Armored Regimentin the Modern Army Record-keeping System (MARKS) in sufficient degreethat they can use it effectively for a period of one year in place ofThe Army Functional Files System (TAFFS).

2. Intermediate Training Objectives, listed in the sequence to betaught:

None.M a

3. Administrative Instructions:

a. When: 20-30 June 1983.

b. Where: 5/73 Armor, Fort Knox, Kentucky.p

c. Who: Administrative, staff, supply, training, and maintenancepersonnel of 5/73 Armor.

d. Principal and assistant trainers: MARKS Team, TAGO --

(1) Principal: John G. Vos, GS-12, HQDA (DAAG-AMR-P).

(2) Assistant: Bert K. Haggett, GS-5, HQDA (DAAG-AMR-P).

e. Training aids, devices, and equipment to be used:

(1) AR 340-2, TAFFS for TOE and Certain Other Units of the -

Army, including C-1 and C-2.

(2) AR 340-XX (Test), MARKS for TOE Units.

(3) Information Package on MARKS.

(4) Handouts (#1 and #2).

(5) Practical Exercise #1.

(6) Pre-pilot questionnaire.

(7) File folders, labels, tablets, pencils, SF-135 (RecordsTransmittal and Receipt), and other expendable supplies as required.

4. Training sequence and time estimate: 240 minutes (4 hours). Seedetailed lesson plan (Section D, Sequence of Activity and EstimatedTime).

5. Safety restrictions: None.

6. Additional information required by local SOPs: None.


.*. . . . . . . . . . . . . ... . . .. .... .. . .. . .. . .. . ...... . . .. .. . .. .. ......... ....... . ... .................... . .... .... ..

LESSON PLAN

A. TRAINING OBJECTIVES

Training Objective # 1

TASK: Each individual within 5/73 Armor who is responsible fdormaintaining records is to understand the basic principles formaintaining and disposing of records under the Modern ArmyRecord-keeping System (MARKS).

CONDITIONS: Given a record-keeping environment within the battalionand copies of AR 340-2 and AR 340-XX (Test).

TRAINING STANDARD: The application of MARKS must include the follow-ing: (1) the soldier must be able to identify recorded in-formation subjectively and identify it within the structure ofMARKS as contained in AR 340-XX (Test); (2) the soldier mustbe able to apply the disposition standards in MARKS to spe-cific records in his possession; (3) the soldier must be ableto cut off records and dispose of them in an approved mannerat the proper time.

Training Objective # 2

TASK: Each soldier undergoing training is to apply that which waslearned under Training Objective # I in a practical exercise(PE # 1).

CONDITIONS: Given a hypothetical situation for which "dummy" rec-ords will be furnished, to be identified and filed in accord-ance with MARKS.

TRAINING STANDARD: Based on the situation presented, the soldieris to classify records correctly, in accordance with thesubjective scheme in AR 340-XX (Test), to include --

a. Proper file number.

b. Proper label entries.

c. Correct use of "general correspondence" classi-fication for those records for which no specific MARKSnumber exists.

B. INTERMEDIATE TRAINING OBJECTIVES: None.

C. ADMINISTRATIVE INSTRUCTIONS:

1. When training will be given: 20-30 June 1983.

2. Training location: 5/73 Armor area, Fort Knox, KY.Designation of classroom space and exact time for each incrementof training to be determined and scheduled by SFC Lane, point ofcontact, HQ, 194th Armored Brigade.

3. Who will be trained: Administrative, staff, supply,training, and maintenance personnel of 5/73 Armor.

2

• .' o .. '. ." - ,- - , - - - - . , -" " " -' ' - -" ." • - . . . . " ." -'_. .' ." ." -" " • - " ,' " ," " " ? •7 -

* 4. Principal and Assistant Trainers: John Vos and BertHaggett, HQDA (DAAG-AMR-P).

5. Training Aids: AR 340-2; AR 340-XX (Test); InformationPackage; Handouts; Practical Exercise.

6. References:

a. AR 340-2.

b. AR 340-XX (Test).

c. AR 340-1.

d. FM 21-6.

D. SEQUENCE OF ACTIVITY AND ESTIMATED TIME:A

Begins on next page.

3

D. SEQUENCE OF ACTIVITY AND ESTIMATED TIME

TimeAllowed A.M. P.M.

AREA TO BE COVERED (min.) Schedule Schedule

1. Introduction 20 0800-0820 1200-1220

* Purpose of the pilot

9 Why we keep records

* History of TAFFS

e User dissatisfactions

e The CALCULON study

9 Design of MARKS

e Questions

2. Administrative Details 10 0820-0830 1220-1230

* Name, grade, unit, jobtitle, MOS of each attendee _

3. Review of what is already known 20 0830-0850 1230-1250

* Overview of TAFFS (AR 340-2)

* Familiarity with TAFFS ingeneral (discuss)

* Principles of TAFFS

* Segregation of housekeepingfrom mission records

* Cycle of creating, maintaining,

using, disposing of recordsunder TAFFS

4. Pre-pilot questionnaire 20 0850-0910 1250-1300

5. Break 20 0910-0930 1310-1330

4

TimeAllowed A.M. P. M.

AREA TO BE COVERED (min.) Schedule Schedule

6. Differences between TAFFS andMARKS 35 0930-1005 1330-1405

* Using prescribing directive

as file number

* Handout # 1

* Finding the correct subjectarea

* Filing and retrieving records

* Use of "General Correspondence"

file number

0 Handout # 2

* Unidentified or unprescribed records

1.7 Practical Exercise # 1 20 1005-1025 1405-1425 _ !

8. The Privacy Act of 1974 10 1025-1035 1425-1435

9 Privacy Act records identified

9 Awareness of PVA requirements

* Illustrations of PVA appli-cability

9. Unidentified or Unprescribed 10 1035-1045 1435-1445

Records

9 How to handle

9 Report problem to HowardSmith, Fort Knox RMO

10. Break 15 1045-1100 1445-1500

11. Review of course to this point 20 1100-1120 1500-1520

12. Questions and answers 20 1120-1140 1520-1540

5

TimeAllowed A.M. P.M.

AREA TO BE COVERED (min.) Schedule Schedule 0

13. Discussion of further 20 1140-1200 1540-1600assistance that will berendered

• Availability of Mr. Smithand MARKS Team via tele-phone (local and AUTOVON)to answer questions, renderassistance

.MARKS Team to visit each filesstation during 27-30 June toassist in setting up files forpilot, labelling, lists offile numbers, general conversionfrom TAFFS to MARKS

* One visit per quarter during thepilot by MARKS Team for on-siteadvice and assistance

* Post-pilot questionnaire, to becompared with pre-pilot questionnaire -

* Those separating or transferringduring the pilot to be debriefedby AUTOVON by MARKS Team

End

I

-S .-

S6.

AR 340-XX (Test)

Headquarters,


Washington, DC, 15 June 1983

PILOTof the

Modern Army Record-keeping System

(MARKS)

a t5th Bn, 73rd Armored Regiment


Fort Knox, Kentucky CiZ t'QL~

July 1983 -June 1984

Office of The Adjutant General

Encd # 2 to Chapter 4

1 2 DEC 13 AR 340-XX (Test)

C-2

change ) HEADQUARTERS 4 1

DEPARTMENT OF THE ARMYNo. 2) Washington, DC, 20 July 1983

Office Management


FOR TOE AND CERTAIN OTHER UNITS OF THE ARMY

Effective 20 July 1983

This change adds a new description and disposition for weight controlrecords.

This change does not affect or implement the New Manning System.

AR 340-XX (Test), 15 June 1983, is changed as follows:

1. New material is indicated by a star.

2. Remove old pages and insert new pages as follows:

Remove pages Insert pages

&"A-59 and A-60 ................................... A-59 and A-60

i-A-63 and A-64 ................................... A-63 and A-64

k,3. File this transmittal page in front of the publication.

The proponent agency of this test regulation is The AdjutantGeneral's Office. Users are invited to submit comments andsuggested improvements directly to Mr. Smith, HQ Fort Knox(ATZK-AG-AR) or to Mr. Vos, HQDA (DAAG-AMR-P), Alexandria,VA 22331.

By Order of the Secretary of the Army:

official: JOHN A. WICKHAM, JR.General, United States Army

Chief of Staff

ROBERT M. JOYCEMajor General, United States Army

The Adjutant General

DISTRIBUTION: Special.

.

S... . . .. . . .. . . . . . .... . . . . . . . . . . . . . . . . ° . . . . .. -_ . ...-. . . . .. . . . . . . . . .. . .

?s 'n AR 340-XX (Test)

.C--CHEADQUARTERS

No. DEPARTMENT OF THE ARMYWashington, DC, 15 July 1983

Office Management

MODERN ARMY RECORD-KEEPING SYSTEM (MARKS)FOR TOE AND CERTAIN OTHER UNITS OF THE ARMY


This change adds new descriptions and dispositions for recordsdealing with energy conservation, nonjudicial punishment andcourts-martial, discharge board proceedings, and propertyaccountability.

This change does not affect or implement the New Manning System.

AR 340-XX (Test), 15 June 1983, is changed as follows:

1. New material is indicated by a star.

2. Remove old pages and insert new pages as follows:

Remove Pages Insert paces

--........................... A-8.1k-A-9 thru A-12. . .......................... A-9 thru A-12. 1.-,,A-69 and A-70. .......................... A-69 thru A-70. 1vA-81 and A-82 ...................... A-81 and A-82

/3. File this transmittal page in front of the publication.

T he proponent agency of this test regulation is The AdjutantGeneral's Office. Users are invited to submit comments and -

suggested improvements directly to Mr. Smith, HQ Fort Knox(AT2K-AG-AR) or to Mr. Vos, HQDA (DAAG-AMR-P), Alexandria,VA 22331.


JOHN A. WICKHAM, JR.Official: General, United States Army

Chief of StaffROBERT M. JOYCE

Major General, United States ArmyThe Adjutant General


~.............. .......... ........... .....

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AR 340-XX (Test)

Army Regulation ) HEADQUARTERS340-XX (Test) ) DEPARTMENT OF THE ARMY

Washington, DC, 15 June 1983

Office Management



Local supplementation of this test regulation is prohibited.

Paragraph Page

Chapter 1. GENERALPurpose ------------------------- 1-1 1-1Concept ------------------------- 1-2 1-1Applicability ------------------- 1-3 1-1Responsibilities ---------------- 1-4 1-2References ---------------------- 1-5 1-2Explanation of terms ------------ 1-6 1-2Abbreviations ------------------- 1-7 1-4

Chapter 2. STANDARD FILE SUPPLIESPurpose ------------------------- 2-1 2-1Explanation of terms -------------- 2-2 2-1File supplies ------------------- 2-3 2-1

Chapter 3. OFFICE COPYING AND FILE EQUIPMENTPurpose ------------------------- 3-1 3-1Explanation of terms ------------ 3-2 3-1Criteria ------------------------ 3-3 3-1

Chapter 4. FILE NUMBERSGeneral ------------------------- 4-1 4-1Files not described in this

regulation -------------------- 4-2 4-1List of file numbers ------------ 4-3 4-1

Chapter 5. DISPOSITION INSTRUCTIONSGeneral ------------------------- 5-1 5-1Disposition instructions --------- 5-2 5-1Changes to retention periods ---- 5-3 5-1

Chapter 6. FILING ARRANGEMENTSGeneral ------------------------- 6-1 6-1Date arrangement ---------------- 6-2 6-1Simple number arrangement -------- 6-3 6-1Alphabetical arrangement --------- 6-4 6-1

AR 340-XX (Test)

Paragraph Page

Chapter 7. FILING PROCEDURESGeneral ------------------------- 7-1 7-1Assembly of records for filing-- 7-2 7-1Fastening ----------------------- 7-3 7-1Marking the file number --------- 7-4 7-1Labeling files ------------------ 7-5 7-2Position of folder labels -------- 7-6 7-2Arranging folders in annual

blocks ------------------------ 7-7 7-2Removing documents from a file-- 7-8 7-2Providing for expanding files--- 7-9 7-3

Chapter 8. DISPOSAL PROCEDURESMethods of disposal --------------- 8-1 8-1Emergency disposal of records--- 8-2 8-2

Chapter 9. RECORD TRANSFER AND RETIREMENT PROCEDURESGeneral ------------------------- 9-1 9-1Preparing lists ----------------- 9-2 9-1Distributing lists -------------- 9-3 9-4Supplemental data when organi-

zational status changes -------- 9-4 9-4Entries for files lost or

destroyed --------------------- 9-5 9-4Shipping containers ------------- 9-6 9-4Containers for odd-size records- 9-7 9-4Packing procedures -------------- 9-8 9-4Identifying record shippingcontainers -------------------- 9-9 9-5

Retirement of records to a Fed-eral Records Center, GSA ------- 9-10 9-5

Record shipments by USAR units-- 9-11 9-5Transfer to other units and

organizations ----------------- 9-12 9-5

Chapter 10. DISPOSITION OF RECORDS ON CHANGEOF STATUSGeneral ------------------------- 10-1 10-1

Appendix A. Records disposition standards ------------------ A-1

Appendix B. Records centers and major storage areas --------- B-i

Appendix C. References ------------------------------------- C-I

S&

ii

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AR 340-XX (Test)

Chapter 1

GENERAL

1-1. Purpose. This regulation has been written and published forthe purpose of testing a new records maintenance and dispositionconcept at the TOE unit level. The pilot study is to be conductedin the 5th Battalion, 73rd Armored Regiment, 194th Armored Brigade.

1-2. *Concept. a. For the past two decades, Army records mainten-ance and disposition procedures have been governed by The ArmyFunctional Files System (TAFFS), as published in AR 340-2 and theAR 340-18-series.

b. Among the problems perceived by users in the field duringthe life of TAFFS have been that --

(1) There is no "general correspondence" category for recordswhich relate to a major functional area, but which cannot logicallybe identified with any of the specific file numbers within thatarea.

(2) By using an arbitrary set of file numbers which bears norelationship to the numbering schemes already in existence (foradministrative publications, blank forms, and so forth) TAFFSrequires the user to learn and correlate different numberingsystems. Also, under TAFFS it became impossible to put the file

number on a document at the time of creation because it could befunctionally identified under different numbers in differentoffices.

c. With this pilot study, the record series listed inAR 340-2, Maintenance and Disposition of Records in TOE and Cer-tain Other Units of the Army, have been reorganized to identifyeach file with the number of the directive that prescribes that thefunction be performed. Within each basic series there is a pro-vision for "general correspondence;" a distinction is made betweenretention periods in peacetime and during mobilization or theconduct of military operations, where this applies; and the appli-cability of The Privacy Act of 1974 is pinpointed where this isappropriate.

1-3. Applicability. This regulation applies, for purposes of thepilot study, only to record-keeping in the 5th Battalion, 73rdArmored Regiment, 194th Armored Brigade.

U S

•p .

AR 340-XX (Test)

1-4. Responsibilities. The commander of a unit or the officer incharge of an activity is responsible for its records; however, an-other individual is usually charged with managing the records pro-gram within the unit or activity. These duties will be performedin connection with records management by that individual:

a. Informally survey or appraise the organization's records atleast once yearly and prescribe corrective action where such isindicated.

b. Insure that people working with the Modern Army Record-Keeping System (MARKS, see paragraph 1-6) are familiar with andtrained to use the system. This can be through classroom training,on-the-job training, or both; taking part in classes given by theinstallation records manager will satisfy this requirement.

c. Insure that office equipment and supplies are managed andcontrolled according to AR 340-4 (files equipment), AR 340-8 (wordprocessing), AR 340-20 (copiers), and AR 340-22 (micrographics).

d. Identify and dispose of records by:

(1) Insuring that all recorded information, regardless of --

location, volume, or characteristics, is identified and labeled.

(2) Insuring that disposable records are destroyed only at theend of the retention periods set forth in appendix A.

(3) Transferring appropriate records to the Records HoldingArea or the Federal Records Center shown in appendix B.

1-5. References. Required and related publications are listed inappendix C.

1-6. Explanation of terms. a. The Modern Army Record-keepingSystem (MARKS). A system for identifying and arranging Armyrecords for reference and disposition according to the directive,usually an AR, which prescribes their creation, maintenance, anduse. Each record series bears a file number which is the same asthe number of the prescribing directive. An unsuffixed number isprovided within each basic series for general correspondence whichcannot logically be identified with any of the specific numbersassociated with that category, as in this abbreviated example (seeappendix A for full description and disposition):

1-2

......................... ..........-....-........-.... -. ....... ... ...............- i..b-C.. ':".- .~b.L,' ', . ,. ,"., ... .-- '.. .. ,'....-...-.-..-....-,....-. -..-....-.- ,.,-..-,..-,......-,..-....- -,."-,.-...-...-,...-..-...--,.......,.

AR 340-XX (Test)

This is the publication

series number and title;see Table 4-1, or seeAR 310-2.

40: MEDICAL SERVICES

Number TitleThe prescribing 40 General medical service corres-directive for pondence filesthese recordsis AR 40-66, 40-66a Health record filesMedical Recordand Quality 40-66b Dental health record filesAssurance Admin-istration

b. Retention period. The length of time a record must be keptafter it becomes cut off (or inactive) and before it is destroyed.Records that will never be destroyed because of their historical orarchival value are called permanent records (see file number 870-5ain appendix A for an example).

c. Disposition instructions. Instructions (appendix A, usedin conjunction with Table 5-1 or 5-2) that specify the date orevent upon which to cut off, transfer, retire, or destroy records.

d. Cutoff. The termination of a file at specified times.

e. Record copy. That copy of a document kept for record fromtime of creation until final disposal. It does not include readingfile copies, daily file copies, or others kept for convenience orreference.

f. Records center. An activity that receives, maintains, ser-vices, and disposes of records retired from Army organizations,from records holding areas, and from oversea command recordsholding areas. Records stored in records centers are inactive, andhave been retired so they can be maintained more economically andefficiently in a central facility.

g. Records holding area (RHA). A facility at an installa-tion, activity, or field command for holding cutoff files pendingdestruction or retirement; or, an activity in a major overseacommand for holding cutoff records pending destruction or retire-ment to a CONUS records center. These facilities have less val-uable space and low-cost filing equipment. When located outsideCONUS, these facilities are referred to as oversea command recordsholding areas (OCRHAs).

1-3

AR 340-XX (Test)

h. Records. All recorded information (regardless of type)made or received and maintained by an organization. This informa-tion is kept in order to transact the Army's business and becauseof legal obligations. Excluded from this definition are libraryand museum material, extra copies of documents kept purely forreference purposes, stocks of publications, and blank forms.

i. Record series. A group of documents described under asingle file number in appendix A to this regulation.

j. Permanent. This term applies to those record series sodesignated inappendix A; for an example, see the dispositioncolumn for file number 220-15a in appendix A. In each such case,the Archivist of the United States has determined that the recordshave sufficient historic and legal value to warrant their perma-nent retention.

k. Retirement. Shipment of records to a Federal RecordsCenter.

1. Transfer. Shipment of records to RHAs, OCRHAs, anotherArmy organization, or to a Government agency other than a FederalRecords Center.

1-7. Abbreviations. Common abbreviations used within MARKS, "especially for use on file labels, are:

CFA current files areaCOFF cutoff; cut offdest destroyFARC Federal Archives and Records CenterNPRC National Personnel Records CenterOCRHA oversea command records holding areaPIF place in the inactive fileRefP reference papersret retire; retirementRHA records holding areaMARKS Modern Army Record-keeping Systemtrf transferRCPAC Reserve Components Personnel and Administration

CenterWNRC Washington National Records Center

1-4

I ..,

: ~. • . ° ' . . . . . . ..oo , . •• -•b•• . .* .. ... ","• ',•o* " % . .*

II

AR 340-XX (Test)

Chapter 2

STANDARD FILE SUPPLIES

2-1. Purpose. This chapter provides for file supplies to be usedin maintaining files.

2-2. Explanation of terms. File supplies include folders, guides,folder labels, fasteners, binders, label holders, and boxes used intransferring or retiring records.

2-3. File supplies, a. With the exception of fiberboard boxesused to transfer or retire records, and file folders, any filesupplies normally available from the Federal Supply Schedule (FSS)or the administrative self-service support center may be used.

b. The following boxes will be used as standard recordshipping containers to transfer or retire paper records:

(1) For letter- and legal-size documents: Box, fiberboard,14 3/4" x 12" x 9 1/2", NSN 8115-00-117-8344.

(2) For index cards and other small records: Box, fiberboard,14 3/4" x 9 1/2" x 4 7/8", NSN 8115-00-117-6338.

c. Other specialized boxes designed for magnetic tapes andmicrofiche are available from the FSS..

- d. The following standard file folders will be used to"" maintain paper records:

(1) Folder, file, letter-size, manila, vertical, plain bottom,9.5-point, 3/4" expansion, 8 1/2" x 11 3/4", square cut, NSN7530-00-291-0098.

(2) Folder, file, legal-size, manila, vertical, plain bottom,. 9.5-point, 3/4" expansion, 9 1/2" x 14 3/4", square cut, NSN

7530-00-285-1732.

(3) Folder, file, letter-size, kraft, vertical, plain bottom,11-point, 3/4" expansion, 9 1/2" x 11 3/4", square cut, NSN7530-00-663-0031.

(4) Folder, file, legal-size, kraft, vertical, plain bottom,11-point, 3/4" expansion, 9 1/2" x 14 3/4", square cut, NSN7530-00-200-4308.

2-1

AR 340-XX (Test)

Chapter 3

OFFICE COPYING AND FILE EQUIPMENT

3-1. Purpose. This chapter has general information for acquiringoffice copiers and file equipment.

3-2. Explanation of terms. a. File equipment. File equipmentincludes all file containers, machines, devices, and furniture usedfor maintaining files. Exceptions are items used for storingrecords in holding areas and records centers, such as fiberboardboxes, wooden boxes, pallets, racks, and shelving. It alsoexcludes equipment that contains publications and blank formsstocked for issue.

b. Office copiers (copying equipment) are those machines witha copier-per-minute output of 99 copies or less. They are used tomake 1 to 25 copies of each original document, needed in support ofadministrative requirenents, and not requiring special operatortraining.

3-3. Criteria. a. File equipment requests will be processedunder AR 340-4.

b. Office copier requests will be processed under AR 340-20.

16

.

3-1

V...

. . .°

i /

I

AR 340-XX (Test)

Chapter 4

FILE NUMBERS

4-1. General. A file number will be assigned to each record main-tained by a unit. Follow these steps:

a. By scanning the series numbers and titles in Table 4-1,select the basic series which relates to the subject matter of therecord to be identified. The numbers and titles in Table 4-1 havebeen extracted from AR 310-2, and represent administrative-typepublications (AR's, Pamphlets, Circulars) of the Army. If needed,further reference may be made to DA Pam 310-1, Index of Adminis-trative Publications (microfiche), which lists all series numbersand titles for regulations, pamphlets, and circulars.

b. Referring to appendix A, select the specific file numberwithin the basic series that covers the record to be filed. If therecord relates to the series generally but not to one of thespecific numbers thereunder, use the first file number (unsuffixed,"General Correspondence Files").

4-2. Files not described by this regulation. If a record cannotbe identified by reference to Table 4-1 and appendix A, it will bebrought to the attention of the servicing records manager, whowill:

a. Determine what directive prescribes the creation,'S maintenance and use of the record.

b. Establish file numbers (and alpha suffixes) based on thenumber of the prescribing directive and the general format inappendix A, and furnish it to the requesting unit for their interimuse, pending eventual publication in this regulation or itssuccessor. The disposition instruction for this provisionalidentification of records will read, "Hold in current files areauntil disposition instructions are pubUshed in AR 340-XX (Test)."Figure 4-1 illustrates a local records manager's response to thiskind of request for help.

c. The servicing records manager will furnish information onthe records in question (including identification of the pre-scribing directive and an unclassified sample of the records) toHQDA (DAAG-AMR-P) Alexandria VA 22331 for evaluation and publi-cation.

4-3. List of file numbers. As a filing, reference, and training ptool, and to help eliminate constant referral to appendix A, eachfiles station within 5th Battalion, 73rd Armor will prepare a listof file numbers in the format shown in Figure 4-2. A command orinstallation form may be used for this purpose. The list, whenapproved, will be filed as the first document in the front drawer

* of the unit files. When the list is first drawn up or changed itwill be sent to the servicing records manager for approval; therecords manager's initials or signature on the return copy willindicate such approval.

4-1., . ..

. . . . . . . . . . . . . . .. . . . . ... .

AR 340-XX (Test)

BASIC SERIES NUMBERS AND TITLES

The following list is extracted from AR 310-2, and is for use as a"finding aid" in connection with the MARKS numbers in appendix A:

SERIESNUMBER TITLE

1 Administration10 Organization and Functions20 Inspections and Investigations27 Legal Services28 Welfare, Recreation and Morale30 Food Program37 Financial Administration40 Medical Services58 Motor Transportation65 Postal Service75 Explosives95 Aviation

105 Communications-Electronics140 Army Reserve145 Reserve Officer Training Corps (ROTC)190 Military Police210 installations220 Field Organizations . ..230 Nonappropriated Funds and Related Activities310 Military Publications340 Office Management350 Army Training380 Security381 Military Intelligence385 Safety500 Emergency Employment of Army Resources525 Military Operations600 General Personnel601 Personnel Procurement606 Personnel Identification608 Personal Affairs624 Promotions630 Personnel Absences638 Deceased Personnel640 Personnel Records672 Decorations, Awards, and Honors680 Personnel Information Systems710 Inventory Management735 Property Accountability750 Maintenance of Supplies and Equipment870 Historical Activities

Table 4-1

AR 340-XX (Test)

ATZK-AG 14 July 1983

SUBJECT: Identification of Records

Commander5th Bn, 73rd Armor p194th Armored BrigadeATTN: AdjutantFort Knox, KY' 40121:

1. Reference your verbal request of 6 July 1983 for files assist-ance.

2. The nuclear surety records and reports which you maintain areprescribed by AR 50-5, Nuclear Surety. We have forwarded a requestto TAG, HQDA, to have this category of records added to AR 340-XXor its successor for use by all TOE units to which it may apply; inthe interim, you are authorized to use the following for theserecords:

50: NUCLEAR AND CHEMICAL WEAPONS AND MATERIEL

These records concern the operating procedures, safety, andreliability of nuclear weapons and related material, includingprevention of weapons accidents, incidents, unauthorizeddetonation, and safe jettison. Also includes storage,handling, transportation, maintenance, stockpile-to-targetsequences, and related accounting and reporting of naclearweapons and materiel.

Number Description Disposition

50 GENERAL NUCLEAR SURETY CORRES- Retain in CFA untilPONDENCE FILES. disposition instruc-KEYWORDS: Nuclear, Surety, tions are published

Accident, Incident in AR 340-XX (Test)Documents on nuclear surety or successor. -"

which cannot logically be filedthe detailed records listed below.

S-oS Figure 4-1":""

4-3

:'o°~~~~~~~~~~~. '.-.o.. . .. . . .... ° ,. .. .. ........ ,..•. .. ,.. .. %.... %.. .. . . . . . . .

AR 340-XX (Test)

ATZK-AGSUBJECT: Identification of Records


50-5a NUCLEAR WEAPONS PERSONNEL RELI- Same as Number 50ABILITY RECORDS. above.KEYWORDS: Personnel, Reliability,

TrainingDocuments concerning the screening,evaluation, training, qualification,disqualification, and requalificationof personnel assigned nuclear weaponsresponsibilities.

50-5b NUCLEAR WEAPONS TRANSPORTATION Same as Number 50RECORDS. above.KEYWORDS: Nuclear, TransportationDocvuments relating to loading, tie-down, unloading, security, and re-porting of the movement of nuclearweapons.

3. Point of contact is Howard Smith, RMO, telephone 41945. •

FOR THE COMMANDER:

W. GRAHAM JOHNSONCPT, AGCAssistant Adjutant General

Ficure 4-1 (Continued)

4-4

•. .........................-...... ,-.., . -.. ..-.. .. . ....................... ...........- ,,............,.......... ..

.

AR 340-XX (Test)

This figure illustrates an abbreviated List of File Numbers. Inpreparing the list, wGeneral Correspondence Files" (the generalnumber at the start of each basic series) need not be listed.

LIST OF FILE NUMBERS

1st Battalion, 93rd Infantry

Does Privacy Actapply? If so,give System ID #

Number Title

10-la Organization Files

20-ra IG Inspection Files

27-lb Special Courts-Martial Files

30-la Dining Facility Operations Files

37-2a Office Financial Files

58-la Dispatcher Organizational Control Records

58-lb Equipment Daily Use Files

65a Postal Personnel Designation Files

65j Unit Mailroom Inspection Files

105-la Office Message Reference Files

210-130a Laundry/Dry Cleaning Files A1427.01aDALO

220-la Unit Status Reporting Files

220-lb Personnel Readiness Files

220-45b Duty Roster Files

(etc.)

Figure 4-2 -- List of File Numbers

4-5

.. . . . . ........-

pI

AR 340-XX (Test)

Chapter 5

DISPOSITION INSTRUCTIONS

5-1. General. Retentionperiods for records accumulated by unitsusing this regulation are in appendix A. "

5-2. Disposition instructions. Taking the general dispositionstandard from appendix A, translate it into specific dates forcutoff and destruction or retirement, using the instructions infigure 5-1. Bear in mind that retention periods begin whenthe record is cut off at the end of the calendar or fiscal year, atsuch other time as may be specified in appendix A, or on theoccurrence of a specific act or event which makes the recordinactive.

5-3. Changes to retention periods. Retention periods for Armyrecords sometimes change because of statutory, legal, financial,and administrative requirements. These general rules apply:

a. Increased retention period. If a change increases theretention period, apply the new period to all records of that filenumber, regardless of when they were created or where they aremaintained (current files area or records holding area).

b. Decreased retention period. This could be either a changefrom PERMANENT to a definite time period, or from a definite period

% to a lesser period (for example, from "Destroy after 10 years" to'Destroy after 2 years"). In such cases, the new retention periodwill be applied to current records. It will also be applied toinactive records if it is practical to do so, but not if a lot oftime and money would be required. For example, a change from 5years retention to 4 years involving several hundred records wouldtake a major effort to apply and it would, therefore, be cheaper toretain the records for the extra year.

5-1

,~~~~~~~~..-...-..............- .....-.-• , - .... .... ...... . ...... ,....- ..

AR .340-XX (Test)

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45AR 340-XX (Test)

Chapter 6

FILING ARRANGEMENTS

6-1. General. This chapter outlines the arrangements that may beused for subdividing files within a single MARKS number.

6-2. Date arrangement. This is used only for material withinfolders. When used, arrange records chronologically.

6-3. Simple number arrangement. Papers are arranged in simplenumerical sequence; records that are filed by unit designation aresuited to this arrangement.

6-4. Alphabetical arrangement. The two basic methods of arrangingrecords alphabetically are:

a. Subject. Under this method, subject titles are used andarranged alphabetically. For example, Organizational HistoryFiles, described in appendix A under number 870-5a, might besubdivided by Assumption of Command, Ceremonies, Clippings, Honors,and Lineage. These subjects would be filed alphabetically behindthe number 870-5a, either in separate folders or within the basicfolder, depending on volume.

b. Name. Records are arranged by the name of persons, places,or organizations. The principal use is in arranging personnel-type% jO' records. These are examples of the name arrangement method:

(1) Personal names -- file by surname, then by first name andmiddle initial. Example:

Brown, Robert J.Doe, John L.Smith, Stanley S.

(2) Place names -- file first by name of larger place, andthen by specific location. Example:

Alabama, TroyPennsylvania, New BrightonVirginia, Richlands

(3) Organization names -- file first by general name, such asarsenal, battalion, company, or depot; then file by specific name.Example:

Arsenal, WatervlietDepot, Red RiverMilitary Ocean Terminal, Bayonne

6-1

. . . . . . . . . ...L- , _ . . , . - . . _ , . - , . " . " . - ._ - - . ' . '. _

AR 340-XX (Test)

Chapter 7

FILING PROCEDURES

7-1. General. This chapter describes methods of filing andretrieving records from files.

7-2. Assembly of records for filing, a. Correspondence to befiled will be assembled in the order shown in figure 7-1.

b. If reference needs require, related records on the samesubject may be combined by stapling or clipping the two recordstogether.

7-3. Fastening. Documents will normally be stapled; when thevolume becomes too great for stapling, other fasteners may be used.Documents will not be attached to file folders, except for special-design folders such as DA Form 201 (Military Personnel RecordsJacket, or MPRJ).

7-4. Entering the file number. The file number may be entered ona record at the time it is created by placing it in parentheses tothe immediate right of the reference symbol, as in this abbreviatedexample of a military letter:

DEPARTMENT OF THE ARMY811th Explosive Ordnance Disposal Detachment

Fort Wall, Kansas 62121

AFZQ-EOD (75-15a)

SUBJECT: Quarterly EOD Status Report, 2Q FY 83

Commander93rd Inf Div & Fort WallATTN: AFZQ-MRM-ORDFort Wall, KS 62121

This procedure (allowing the file number to be entered on therecord at the time it is created) differs from TAFFS, where thedocument was marked with the file number only at time of filingbecause one document might have several different numbers,depending on the function of each office where it was filed. WhenMARKS is implemented Army-wide, the above procedure will beincluded in AR 340-15, Preparing Correspondence; until that time,this paragraph is authority for test units to use this newprocedure.

7-1

AR 340-XX (Test)

7-5. Labeling files, a. General. All file folders and recordcontainers will be labeled. This is essential for accurate filing,retrieval, and disposition of records.

b. Label entries. Type or write entries on file labels.Drawer and binder labels will be prepared on card stock.Abbreviations in AR 310-50 and paragraph 1-7, this regulation, maybe used. Folder labels will include file number, file title, dis-position instructions, and (where appropriate) the year of fileaccumulation. Samples and further instructions for folder labels,drawer labels, and guide cards are illustrated at figure 7-2.

7-6. Position of folder labels. Under TAFFS, there was a require-ment that folder labels be placed in the left, center, or rightposition to denote ultimate disposition of the file. This require-ment no longer exists.

7-7. Arrangement of folders in annual blocks. Cutting off foldersat the end of the year and setting up new folders for the new yearis a "blocking system." Under this system, set up new records onor near the first workday in January or October (for the calendaror fiscal year, respectively); file those folders that continuefrom year to year, such as Policy and Precedent Files, in the newannual block. One-year-only folders from the previous year willremain in one block. For example, 1980 records and 1981 recordswould not be interfiled. If they are kept in the same drawer,use a guide card noting the years to separate them.

7-8. Removing documents from a file. When a document is removed,fill out a chargeout record and substitute it for the document inthis manner:

a. When suspense control is necessary or desired, use DA Form543 (Request for Records). Attach the original to the top of thefile being loaned; file the first copy in the suspense file underthe date on which the file is to be returned; and file the secondcopy in place of the charged-out file. When loaned files are notreturned by the suspense date, take action to get the file orarrange a new suspense date with the borrower.

b. When suspense control is not necessary, Optional Form 23(Chargeout Record) may be used. When charged-out files arereturned, line out the entry on the form and reuse it. Checkchargeout records in the files periodically so that material is notkept out too long.

7-2

S, , • , , - , o . , •,- o- ,,,••- - , - , - % ,,, ' - ' . % . , . '- " . ° ,.°, - ° ", -

AR 340-XX (Test)

7-9. Providing for expanding files. A file consisting of onefolder may require additional folders during the course of theyear, before the file is cut off. When the material in any folderreaches capacity, prepare a second folder, and-make a note on eachfolder to indicate the dividing point, as in this example:

I

S680-201a DEPARTURE CLNC FILES (A-L) 1983

COFF 31 Dec 83, Dest Jan 85

680-201a DEPARTURE CLNC FILES (M-Z) 1983COFF 31 Dec 83, Dest Jan 85

I

7-3

.. . . . . .

AR 340-XX (Test)

LATEST ACTION

(indorsement or comment)

The basic record

Other indorsements or comments,in order

Inclosures, in order

Any other pertinent documents

Figure 7-1 -- Assembly of records for filing.

7-4

.............................................

AR 340-XX (Test)

File # File Title

30-id Cash Receipt Files (82)COFF 31 Dec 82, Dest Jan 85

Year of accumulation, where appropriateDisposition instructions

37-103a Sched. of Coll. (82)

r371-I03a Sales Accounts (82)

37-103a Deposit Reports (82)

37-103a Collection Reports (82)

37-103a Collection Voucher Files (82)COFF 30 Sep 82, Dest Oct 85

(taped shut)

USE OF "DUMMY" FOLDER

When there are several folders under one number, you may use a"dummy" folder which contains the full label entries. Tape it shutso that no documents can be filed in it. Subsequent folder labelsneed only show the title of the folder contents; the number andyear of accumulation may be shown, as in the example above.

Figure 7-2 Label entries.

7-5

• •"° " ° •" " •" " " " " " •" ' " ° " " "". . . ." ° . .* '." * *" "" ° " " " * ° " "."...." . . . . %.

AR 340-XX (Test)

710-2e Property Officer DesignationsACTIVE. PIF on termination of designation. j

Sample label for a file that will be cut off(become inactive) on occurrence of a specific action or event.

710-2e Property Officer Designations (80)INACTIVE. COFF 31 Dec 80, Dest Jan 83.

/Sample label for the inactive file.

I ~~C :03aLOD Files (82)10 thru 58-lb (82) COFF 31 Dec 82, Trf RHA

Jan 85, Dest Jan 88 ISample label entry for drawer /Sample label entry for drawerthat contains two or more /that contains one (and onlyrecord series. No disposition one) record series, and con- . ..is shown on the label because tains all of that recordit varies among the several series. Note that the drawerrecord series in the drawer. label is identical to the

folder label in this case.

600-33a LOD Files (82 600-33a LOD Files (82)* (A-L) JI(M-Z)ICOFF 31 Dec 82, Trf COFF 31 Dec 82, TrfRHA Jan 85, RHA Jan 85,

p Dest Jan 88. fDestJan 88.

Sample label entries for drawers that contain onlypart of one record series. Note that the division(A-L, M-Z) is indicated on each label.

Figure 7-2 -- continued.

7-6

•"... . . . . . . . ....t ', ' , . - .. -' . " , .'.".-... .,.... .". '..'. ".."..-.. ' -... .-..

AR 340-XX (Test)

Chapter 8

DISPOSAL PROCEDURES

8-1. Methods of disposal. When the prescribed retention periodfor a record has expired, it will be destroyed as follows:

a. Destroy security classified records per AR 380-5.

b. Destroy unclassified records marked FOR OFFICIAL USE ONLYper paragraph 4-501, AR 340-17.

c. Destroy records subject to The Privacy Act per AR 340-21.

d. Destroy all other records by the most convenient meansavailable.

8-2. Emergency disposal of records, a. Under the RecordsDisposal Act of 1943, Army records may be destroyed at any time iftheir retention is prejudicial to the interests of the UnitedStates, provided --

(1) There is a state of war between the United States and anyother nation.

(2) Hostile action by a foreign power appears imminent.

b. When emergency disposal is complete, a list of those filesand the inclusive dates of each will be compiled, to the extentpossible, and sent to HQDA (DAAG-AMR-P), Alexandria, VA, 22331.

8-1-

u*

AR 340-XX (Test)

Chapter 9 -

REOCRD TRANSFER AND RETIREMENT PROCEDURES

Section I. TRANSFER TO RECORDS HOLDING AREAS OROVERSEA COMMAND RECORDS HOLDING AREAS

9-1. General. a. This section prescribes procedures forpreparing and distributing records transmittal lists to recordsholding areas (RHAs) and oversea command records holding areas(OCRHAs).

b. SF 135 and its continuation sheet, SF 135A, will be type-written. All ribbon copies of shipment forms will be fastenedtogether in box number sequence to form the records transmittallist. Carbon copies will be fastened together in the same manner.

c. When classified information is disclosed in titles onSF 135 or SF 135A, the forms will be classified accordingly. Formsprepared for transmitting classified files will not, in themselves,be classified if --

(1) Information on the form is not classified. Simple indi-cation of the degree of classification on SF 135 or SF 135A is notclassified information.

(2) General descriptions of classified files are used, insteadof the long title of the classified documents.

9-2. Preparing lists, a. Separate transmittals. Prepareseparate SF 135s for these records:

(1) Classified records.

(2) Unclassified records.

b. Number of copies. Prepare three copies for shipment toRHAs and four copies for shipment to OCRHAs. Make one extra copyon discontinuance.

c. Entries.

(1) Item 1: In the "TO" block, delete "Federal Archives andRecords Center, General Services Administration" by line-through,and enter the address or building number of the RHA.

(2) Item 2: Enter name and title of the head of the organi-zation transferring the records.

(3) Item 3: Enter name and telephone number of the records

custodian.

(4) Item 4: Omit.

9-1I o

p.

'- - - - -- ' ,- - - .. - .. - - . - --. .'....i -- .. .- < .-i~ L--'.........-.......-....-..--...........-...-..-...-.-.--.-.-..-..-.,..-...-....-...

AR 340-XX (Test)

(5) Item 5: Enter name and complete address of the organi-zation transferring the records.

(6) Items 6(a), 6(b), and 6(c): Omit.

(7) Item 6(d): Enter the number of boxes in the shipment.

(8) Item 6(e): Enter the box number and total number of boxesin the shipment. For instance, the third box of a total shipmentof twelve boxes would be indicated as "3/12.0

(9) Item 6(f): The following entries, where applicable, willbe made:

(a) Privacy statement. If the records being shipped aresubject to The Privacy Act (so indicated by the box under the filenumber in appendix A), include this statement:

"These records are an addition to a records systempreviously retired to the records center, and theinformation previously submitted by HQDA is stillapplicable."

If the files are a system of records as defined in paragraph 1-51,AR 340-21, but are not covered by a system notice in theAR 340-21 series, hold the records and send a notice promptly tothe servicing records manager (installation level), who will inturn notify HQDA (DAAG-AMR), Alexandria, VA 22331. HQDA willprepare a system notice or will provide special maintenance anddisposition instructions. If The Privacy Act does not apply to therecords being shipped, so state.

(b) Historical data. Indicate any historical data involvingthe organization that created the records. Include dates andauthorities for events during the period covered by the recordsbeing shipped. Examples are activation, changes of commandchannels, names and locations of next higher headquarters andinclusive dates of command jurisdiction, transfer of functions,changes of mission, redesignation, permanent changes of station,and so forth. On each successive shipment of records, bring thishistorical backaground information up to date.

(c) organization elements. Enter complete title of organi-zational element and location, and underscore. For example:"599th Military Police Battalion, Fort Johnson, Wyoming". Use only

authorized abbreviations.

9-2

9-2.

" ,

AR 340-XX (Test)

(d) Series description. Enter the file title, arrangement ofthe records (alphabetical, chronological, etc.), and the year ofaccumulation. The title will be the same as that shown in appendixA of this regulation. If the file series (MARKS number) iscontained in more than one box, indicate the contents of each boxopposite the box number, as in this example:

AGENCY SERIES DESCRIPTiONBOX

NUMBERS ( ich"w' de" ofra&)

LINE OF DUTY FILES (arranged alpha-betically). 1978.

1/4 A-D

2/4, E-K,

3/4 L-S

(e) Continuation pages. Use SF 135A.

(10) Item 6(g): Enter one of these codes to indicate restric-tions on use of the records (codes are further explained on reverseof SF 135):

T : TOP SECRET security classification

S = SECRET security classification

C = CONFIDENTIAL security classification

R = FOR OFFICIAL USE ONLY protective marking

N = Unclassified, with no restrictions

(11) Item 6(h): Enter the MARKS number for each title in item6(f).

(12) Item 6(i): Enter the month and year in which the recordsmay be destroyed. If the records are permanent, enter "Perm".

S 9-

• " " " "," . . .."

hR 340-XX (Test)

9-3. Distributing lists, a. Under normal circumstances (otherthan discontinuance). For records transferred to RHAs, send anoriginal and one copy to the RHA, and retain one copy for file.For records transferred to OCRHAs, send an original and one copy tothe OCRHA in advance of the shipment; place one copy in an envelopeand insert as the first item in the first box of the shipment; andretain one copy for file.

b. On discontinuance. Distribute copies according to theabove and send one copy to the records manager of the next higherheadquarters. Organizations reporting directly to HQDA will sendone copy to HQDA (DAAG-AMR-S), Alexandria, VA 22331.

9-4. Supplemental data when organizational status changes. Attachthe following to the original transmittal (SF 135):

a. Organization chart showing the new organization relation-ship.

b. Listing showing records transferred to another agency orretired directly to a Federal Records Center, when applicable.

9-5. Entries for files lost or destroyed. Inform RHAs and OCRHAsof accidentally lost or destroyed permanent records or records ofmore than 10 years' retention. Enter this data on SF 135 or SF135A prepared for the transfer of records that accumulated duringthe same period. Enter the file title and inclusive dates of thelost or destroyed records,.and (in item 6(f)) the phrase, "acci-dentally lost" or "accidentally destroyed."

9-6. Shipping containers. The standard records shipping con-tainer described in chapter 2, this regulation will be used fortransferring records to RHAs and OCRHAs. See paragraph 9-7 belowfor an exception. Records shipped to CONUS records centers from anoversea location will be packed in Triwall containers, NSN8115-00-774-6562.

9-7. Containers for odd-size records. When the box described inchapter 2 does not meet shipping requirements because of odd sizes(due to blueprints, maps, ledgers, etc.), pack and ship the recordsso they will not be damaged enroute. Select boxes for odd-sizerecords from those in GSA stock catalogs; the servicing recordsmanager (installation-level) can assist in this selection.

9-8. Packing procedures. a. General arrangement. Regardless ofthe type of container used for packing records, fill containerswith only one row of file folders. When transferring records toRHAs or OCRHAs, pack permanent files in the first boxes of theshipment, followed by boxes of temporary records. Each group ofrecords will be packed in file number sequence.

b. Arrangement of records packed in fiberboard boxes.

(1) Place letter-size files in boxes so that the file folders

9-4

. ......... ... ~ . ... .. . "--*.

AR 340-XX (Test)

are parallel with the end of the box. If a small number of legal-size documents are filed with the letter-size material, fold thebottom ends of the documents into the file folder to preventtearing. When filled, each box holds 15" of material.

(2) Place legal-size files in boxes so that the file folderscontaining the records are parallel with the sides of the box.When filled, each box will hold one linear foot of files. Com-pletely fill the fiberboard boxes, but take care that boxes are notpacked so tightly that the records cannot be seerviced in thecontainers. Do not ship partially-filled boxes to a FederalRecords Center; however, in a multibox shipment, the last box neednot be full. In this case, pack crumpled paper in the unused spaceto prevent movement during shipment. Do not use excelsior,shredded paper, wax paper, additional file material, or surplusfile folders as packing material.

9-9. Identifying record shipping containers. Before shipping toan RHA, OCRHA, or records center, enter the box number and totalnumber of boxes in the shipment on the end of the box, in the upperright-hand corner. If a shipment consists of three boxes, for ex-ample, they will be marked 1/3, 2/3, and 3/3.

Section II. RETIREMENT OF RECORDS TO A FEDERAL RECORDSCENTER AND TRANSFER TO OTHER UNITS AND ORGANIZATIONS

9-10. Retirement of records to a Federal Records Center, GSA.Normally, the records of a unit are not retired directly to aFederal Records Center, but are transferred to the RHA or OCRHAwhich, in turn, retires records of long-term or permanent value.However, when direct retirement to a Federal Records Center is

*. necessary, AR 340-18-1 will apply. Installation-level recordsv manager can assist in this process.

9-11. Records shipments by USAR units, a. General. USAR unitswill essentially follow the same instructions for listing, packingand shipping records as stated above. However, records to beretired to a records center will be sent to the location assignedby the CONUS Army commander or major oversea commander.

b. Consolidated shipments. Records of all USAR units andactivities will be retired by the organizations designated by theCONUS Army or nrajor oversea commander as follows:

(1) Reserve unit attendance files (number 140-185a) and ROTCcadet MPRJ files (residue of number 145-1d) will be retired to USARCPAC, 9700 Page Boulevard, St. Louis, MO 63132.

(2) Publication record set files and other records eligible• for retirement will be shipped to WNRC, GSA, Washington, DC 20409.

9-12. Transfer to other units and organizations. Forinstructions, check with installation or activity records manager.

9-5

A .

- . *1AR 340-XX (iest)

Chapter 10

DISPOSITION OF RECORDS ON CHANGE OF STATUS

10-1. General. Any unit changing status during the course of thistest will dispose of its records in accordance with existing in-structions in Chapter 10, AR 340-2.

II

i0-

10-

am I l m l i iS i l i ~ l .. ... " - ' " :. . . .. " -

AR 340-XX (Test)

Appendix A

RECORDS DISPOSITION STANDARDS

A-i. This appendix has file numbers, descriptions, and instruc-tions for disposing of records created and maintained by Armyorganizations listed in paragraph 1-3 and participating in thistest. Where the term "office" is used, it refers to any placewhere records are created or maintained. This may be a formaloffice, a supply room, a dining facility, a command post in thefield, a unit, or any other entity to which this regulationapplies.

A-2. For each basic category of records (Table 4-1) listed in thisappendix, a file number is provided without suffix that is to beused for general correspondence that falls within the subject area,but which cannot logically be filed with the detailed records thatare prescribed by the regulations in tdhat category.

A-3. If a test unit creates records that are not described in thisappendix, they will call this to the attention of the servicingrecords manager as outlined in paragraph 4-2.

A-4. In the case of certain record series in this appendix, theprescribing directive is not an Army Regulation. Where thisoccurs, the records have been identified, for purposes of con-sistency, with a basic series number from Table 4-1. Each suchinstance is explained in the lead-in paragraph for that category.This situation occurs in the following places in this appendix:

4ARXSFile No. Title

65a thru 65j Postal Service105-24b Radio Efficiency Reporting Files220-lb Personnel Readiness Files310-2a Housekeeping Instruction Files310-2b Policy and Precedent Files310-2f Training Media Files340a thru 340d Office Management Files381a Intelligence Reporting Files525a Command Reporting Files600a thru 600h Personnel - General680a thru 680d SIDPERS Reporting Files750a thru 750g Maintenance of Supplies and Equipment

I

A-5. Prior to preparing labels, retention periods in thedisposition column of this appendix ("Destroy after 2 years," etc.)will be converted to cutoff, transfer, destruction, or retirementdates using figure 5-1 or 5-2.

A- 1

U

.. .. .. . .. . . -.. . .

AR 340-XX (Test)

A-6. Record series in this appendix which are subject to ThePrivacy Act of 1974 (5USC552a) and which are Army-wide systems ofrecords (as opposed to command-wide or "unique" systems) are soidentified by a box under the file number, next to the descrip-tion. This is included to promote awareness of privacy programrequirements to identify and protect such records. Fullinformation and details on The Army Privacy Program are in theAR 340-21-series of regulations. Also, at Table A-i is a com-posite extract showing the -MARKS number and title of all Army- wideseries in this appendix to which The Privacy Act applies, and thecorresponding systems identification number and name.

A-7. Aids to automation: Another innovation of MARKS over TAFFSis that it will be amenable to future efforts to automate theArmy's record-keeping processes. This paragraph outlines two suchaids that are being incorporated in MARKS, and are discussed heresolely for the information of users of this test regulation, asthey do not have an immediate applicability during the test.

a. Standard Data Elements -- the general structure of MARKSrecord series has been standardized into Standard Data Elementsunder the program contained in AR 18-12, Catalog of Standard DataElements and Codes. This step will facilitate programming foreventual electronic record-keeping at some future date. The fol-lowing Standard Data Elements have been established:

STANDARD DATA ELEMENT MEANINGMARKS-SERIES-NO MARKS Basic Series NumberMARKS-SERIES-TITLE MARKS Basic Series TitleMARKS-PRESB-DIR MARKS Prescribing DirectiveMARKS-PRESB-DIR-PREFIX MARKS Prescribing Directive PrefixMARKS-PRESB-DIR-NO MARKS Prescribing Directive NumberMARKS-PRESB-DIR-TITLE MARKS Prescribing Directive TitleMARKS-SERIES-DESCR MARKS Basic Series DescriptionMARKS-GEN-CORR-ID MARKS General Correspondence Identi-

ificationMARKS-GEN-CORR-FILE-NO MARKS General Correspondence File

NumberMARKS-GEN-CORR-NO-SUFFIX MARKS General Correspondence File

Number SuffixMARKS-GEN-CORR-DESCR MARKS General Correspondence File

DescriptionMARKS-GEN-CORR-DISPO MARKS General Correspondence File

DispositionMARKS-FILE-ID MARKS File IdentificationMARKS-FILE-NO MARKS File NumberMARKS-FILE-NO-SUFFIX MARKS File Number SuffixMARKS-FILE-TITLE MARKS File TitleMARKS-KEYWORD MARKS KeywordsMARKS-FILE-DESCR MARKS File DescriptionMARKS-FILE-DISPO MARKS File DispositionMARKS-PRIVACY-ACT-ID MARKS Privacy Act Identification

A--2A-p .

... *** '* *. . .. . . . . . . . . .J. .

AR 340-XX (Test)

b. Keywords -- Within each record series, between the titleand the description, is a "keyword line" which lists several keywords that may be used to search an automated data base. Whileusers of this test regulation will not be doing keyword searches ofcomputer files, we have included this line for general familiari-zation purposes.

A-8. Suspense files may accumulate in connection with any of therecord series in this appendix; they are reminders that an actionis required by a given date. MARKS numbers need not be used onsuspense papers or the file drawers or folders in which they arekept. Some examples of suspense files are:

a. A note to submit a report or to take some other action; thenote would be destroyed after the report is submitted or the actionis taken.

b. An outgoing communication filed by the date on which areply is expected. When the reply is received, the communicationis withdrawn and filed (if it is the record copy) or destroyed (ifit is an extra copy).

- t1

-..

A-2.1

IV

. .-.

AR 340-XX (Test)

Table A-i

RECORD SERIES IN AR 340-XX (TEST) SUBJECT TO THE PRIVACY ACT(ARMY-WIDE SYSTEMS OF RECORDS) 5

MARKS NUMBER AND TITLE CORRESPONDENCE SYS ID # AND NAME

28-lb Recreation and Entertain- A1403.30a DAAG Commercial Entertain-ment Detail Files ment Transaction Rcds 0

37-104-3b Personal Financial Record A0305.10aDACA JUMPS-AA (Active Army)Files A0305.10bDACA JUMPS-RC (Res. Comp.)

40-66a Health Record Files A0917.01aDASG Medical TreatmentRecord Files

40-66b Dental Health Record A0917.01aDASG Medical TreatmentFiles Record Files

65a Postal Personnel Desig- A1108.05aDAAG Postal Personnel Des-nation Files ignation Files

65d Postal Directory Files A1108.16aDAAG Postal Directory Files

65e Standing Delivery Order A1108.18DAAG Standing DeliveryFiles Files

95-5a Aviation Accident and A0607.01bDAPE Accident/Incident CaseIncident Case Files Files; Army Safety

Mgt Info System

145-ic ROTC Cadet Record Files A0703.04aDAPC ROTC Member File

145-id ROTC Cadet MPRJ Files A0703.04aDAPC ROTC Member File

145-le ROTC Separated Cadet File A0703.04aDAPC ROTC Member File

145-ij ROTC Cadet Evaluation A0703.04aDAPC ROTC Member FileD Reporting Files

190-40a Serious Incident Re- A0508.24aDAPE Serious Incident Re-porting Files porting Files-

210-130a Unit and Organizational A1427.01aDALO Laundry and Dry Clean-Laundry and Dry Cleaning ing Accounting FilesFiles

340-17b FOIA Request Files A0239.01DAAG Request for Infor-mation Files

A-3

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AR 340-XX (Test)

Table A-I -- continued.

MARKS NUMBER AND TITLE CORRESPONDING SYS ID # AND NAME

380-5p Security Clearence Infor A0506.01DAMI Personnel Securitymation Files Clearance Information

Files

381-a Intelligence Reporting A0502.03aDAMI Intelligence Collect-Files ion Files

385-10a Accident and Incident A0607.01bDAPE Accident/Incident CaseCase Files Files; Army Safety Mgmt

Info System

385-10c Operator's Examination A1207.08aDAPE Operator's Examinationand Qualification and QualificationRecord Files Record Files

600c Supervisory or Manager A0102.04aDAPE Supervisor/ManagerEmployee Record Files Employee Record Files

600e Separation for Military A0102.04aDAPE Supervisor/ManagerService Files Employee Record Files-

600h Office Military Per- A0102.13DAPC Office Military Per-sonnel Files sonnel Files

600-21c EO & EEO Complaint Files A0614.03aDAPE RR/EO&EEO ComplaintFiles

600-33a Line of Duty Files A0708.18aDAAG Line of Duty Investi-gations

600-55a Operator's Examination A1207.08aDAPE Operator's Examinationand Qualification and QualificationRecord Files Record Files

601-280a Reenlistment Eligibility A0702.04bDAPC Eligibility Deter-Files mination Files

606-5a Military ID Card Appli- A0509.02aDAAG Security Badge/IDcation Files Card Files

608-5a Legal Assistance In- A0402.0DAJA Legal Assistance In-terview Record Files terview Record Files

640-10a Military Personnel A0708.0laDAPC Military PersonnelRecord Jacket (MPRJ) Records JacketFiles Files

A-4

, .- "" " -. -. '. --....- .- .... .. . . .. -.. -....... . - -," _ _-....... ".•- ..... .... ..... ........ •••"' ,,.... . - J. .. a- '- '

....... - '

AR 340-XX (Test)

Table A-1 -- continued.

MARKS NUMBER AND TITLE CORRESPONDING SYS ID # AND NAME

672-5-ic Military Award Case A0718.01DAPC Military Award Case

Files File

680b Personnel Data Card Files A0715.0laDAPC Personnel Data Card

680-lb Military Personnel Reg- A0716.04aDAAG Military Personnel Reg-ister Files ister Files

680-ic Informational Personnel A0703.01DAPC Military PersonnelFiles Action Files

680-201a Departure Clearance A0706.02DAAG Departure ClearanceFiles Files

710-2c Hand Receipt Files A1416.16DALO Hand Receipt Files

710-2e Property Officer Desig- A1416.05DALO Property Officer Des-nation Files ignation Files

710-2f Personal Property A1416.20DALO Personal Property .

Accounting Files Accounting Files _i

710-2g Soldier Issue Files A1416.16DALO Hand Receipt FilesA1416.34DALO Personal Clothing

Record Files """

--

-6 .

A-5

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AR 340-XX (Test)

(This page intentionally blank)

A-6

AR 340-XX (Test)

1: ADMINISTRATION

Prescribing Directive(s): AR 1-21, Administrative Space Management

These records concern administrative functions, such as control of - -office space, visits, attendance at meetings and conferences, gifts anddonations, and other support functions NOT SPECIFICALLY PROVIDED 'FOR INOTHER SERIES. p


1 GENERAL ADMINISTRATION CORRES- Destroy after 2 years.PONDENCE FILES.KEYWORDS:Use this number for general corres-pondence relating to Army administrationthat cannot logically be filed withthe detailed records listed below.

1-21a OFFICE SPACE ASSIGNMENT FILES. Destroy when supersededKEYWORDS: or obsolete.

" Documents showing administrativespace assigned to an office. |Included are space assignmentrecords and related documents.

A

I

I

A-7;!i

. .. .. . . . . . .

AR 340-XX (Test)

10: ORGANIZATION AND FUNCTIONS

Prescribing Directive(s): AR 10-1, Functions of the Department ofDefense and its Major Components

These records concern the organization, mission, responsibilities,duties, and functions of commands and units.


10 GENERAL ORGANIZATION AND Destroy after 2 years.FUNCTIONS CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to organizationand functions that cannot logicallybe filed with the detailed recordslisted below.

10-1a ORGANIZATION FILES. Destroy when superseded,KEYWORDS: obsolete, or no longerDocuments relating to the needed for current op- 09organization and functions of an erations.Army element. These documentsare duplicated in the comptroller,management, or similar element thatdetermines the organization andfunctions of the unit. Includedare--

a. Functional charts and state-ments.

b. Copies of documents relatingto staffing and personnel strength,such as manpower surveys and auth-orization vouchers.

c. Tables of Distribution andAllowances (TDA's).d. Documents reflecting minor

changes in the organization.e. Similar information.

A-

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C-1AR 340-XX (Test)

11: ARMY PROGRAMS

Prescribing Directive(s): AR 11-27, Army Energy Program

These records concern policies, procedures, and scope of majorprograms related to the Army mission. Publications concerningprograms in specific subject areas are placed in the appropriatesubject series.


11 GENERAL ENERGY CONSERVATION COR- Destroy after 2 years.RESPONDENCE.KEYWORDS: Energy, ConservationUse this number for general corres-pondence relating to energy conservationthat cannot logically be filed withthe detailed numbers below.

11-27a ENERGY SURVEY AND STUDY FILES. Destroy after 2 years.

KEYWORDS: Energy, Survey, StudyDocuments relating to investigations,surveys, and studies of energy -inage-ment, fuel consumption, and pot tialimprovement of fuel savings, includingsurveys by other agencies or contractorsusing visual and instrumental tech-niques. Included are surveys andstudy reports, and related documents.

11-27b ENERGY CONSERVATION PROJECT FILES. Destroy 5 years after

Documents relating to projects in completion of project.the Energy Conservation InvestmentProgram (ECIP), Equipment EnergyConservation Investment Program (EQ-ECIP),and other programs for planning, develop-ing, designing, and construcing facilitiesfor installation of equipment to reduceenergy requirements in new or existingfacilities. Included are documents relatingto preparation and review of energy resourceimpact assessments or statements.

11-27c ENERGY CONSERVATION REPORTING FILES. Destroy after 2 years.KEYWORDS: Energy, Conservation, ReportDocuments and reports on energy con-sumption, projiected fuel requirements,fuel availability and storage capacity,boiler plant equipment data, and similarreports. Included are Defense EnergyInformation System (DEIS) reports, Depart-ment of Energy data requirements, andinformation collected for higher levelagencies, and related documents.

A-8.1

~........

C-1

AR 340-XX (Test)

20: INSPECTIONS AND INVESTIGATIONS

Prescribing Directive(s): AR 20-1, Inspector General Activitiesand Procedures

These records concern inquiries, investigations, and inspections intoactivities and matters pertaining to the performance of mission and thestate of discipline, efficiency, and economy of the Army by TheInspector General and other inspectors general. It does not includesecurity and criminal investigations or materiel inspections, which are *in other appropriate series.


20 GENERAL INSPECTION AND INVESTI- Destroy after 2 years.GATION CORRESPONDENCE.KEYWORDS:Use this number for general corres-pondence relating to inspections andinvestigations that cannot logicallybe filed with the detailed recordslisted below.

20-la INSPECTOR GENERAL'S INSPECTION Destroy 1 year afterFILES. next comparable in-KEYWORDS: spection. However, de-Documents from Inspector Gen- stroy special and Fed-erals' inspections. Included eral recognitionare annual, general, procurement, inspection reportspecial, technical proficiency, files 1 year after theand Federal recognition in- next annual generalspection reports, and related inspection.information.

* A-9

.. . .. . . . . . .. ..

.

C-iAR 340-Xx (Test)

27: LEGAL SERVICES

Prescribing Directive(s): AR 27-10, Military Justice pAR 27-20, Claims

These records concern trial by courts-martial, including pretrial,trial, and post trial procedures; administration of nonjudicialpunishment; and investigation, processing, settlement, and paymentof claims against or on behalf of the Government when the Army isinvolved.


27 GENERAL LEGAL SERVICES CORRESPONDENCE. Destroy after 2 years.KEYWORDS:Use this number for general correspondencerelating to legal services that cannotlogically be filed with the detailed recordslisted below.

27-l0a SUMMARY COURTS-MARTIAL FILES. Destroy I year afterKEYWORDS: notice of final actionThese files consist of copies of by the supervisoryformal record of trial of military authority.personnel by summary courts-martial,and related papers.

* 27-l0b SPECIAL COURTS-MARTIAL FILES. Destroy 1 year after

KEYWORDS: notice of final actionThese files include retained copies by the supervisoryof charge sheets with related papers; authority.correspondence from the officer whohas immediate general courts-martialjurisdiction over the command; copiesof courts-martial orders (the originalshaving been sent to the officer exer-cising general courts-martial jurisdiction);and related documents.

* 27-10c COURTS-MARTIAL LOCATOR FILES. Destroy after 3 years

KEYWORDS: or 3 years after com-Documents used to control cases that pletion of the case,are to be tried or have been tried, as applicable. KeepIncluded are index cards, registers, in current files area.and similar documents.

A- 10

c-[ C-1

AR 340-XX (Test)


*27-10d SPECIAL COURTS-MARTIAL FILES (BCD). Destroy 1 year afterKEYWORDS: notification of com-Trial records of special courts- pletion of final acticmartial involving bad conduct dis-charges, whether or not suspended,which have been approved by the officerexercising general courts-martialjurisdiction over the command. In-cluded are copies of trial record,copies of charge sheets and relatedpapers, reviews by staff judge advocates,courts-martial orders, copies of decisionsby appellate agencies, and similar papers.

*27-i0e GENERAL COURTS-MARTIAL FILES. Destroy 1 year after

KEYWORDS: notification of com-Trial records of general courts- pletion of final acticmartial, military commissions, andcourts of inquiry. They originate

41 at the various courts-martial juris-dictions in the continental UnitedStates and oversea commands. Includedare copies of the trial record, copiesof charge sheets and related papers,reviews by staff judge advocates,courts-martial orders, copies of decisionsby appellate agencies, and similar papers.

*27-10f NONJUDICIAL PUNISHMENT FILES. Withdraw individual

KEYWORDS: actions and destroyCopies of DA Form 2627 which are upon expiration ofretained by the unit for monitoring period of suspension,suspended punishments under Article unless withdrawn earli15, UCMJ. for forwarding with

supplementary action.

27-20a PERSONAL PROPERTY CLAIM FILES. Destroy 10 years after,KEYWORDS: final action on theCase files relating to claims case.against the Government by membersof the Army and the Army NationalGuard for damage, loss, or destructionof personal peroperty incident to theirservice.

A-11

6-

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AR 340-XX (Test)


27-20b FOREIGN CLAIM FILES. Destroy 10 years afterKEYWORDS: final action on theCase files relating to claims case.against the US by inhabitants of aforeign country or by a foreigngovernment or political subdivisionthereof for damage, loss, or destruc-tion ofprivate property, or for per-sonal injury or death caused by Armypersonnel or civilian employeesstationed in the country concerned.

27-20c LOCAL FOREIGN CLAIM FILES. Destroy 10 years afterKEYWORDS: final action on theCase files relating to claims case.arising in foreign countriesfor death or personal injury;damage, loss, or destructionof personal property: or in 4

connection with provisions ofcontracts, leases, or otherinstruments. They are limitedto those claims which cannotbe settled under provisions ofArmy Regulations and which must, V..therefore, be settled underlocal laws, regulations, oragreements.

1.

A-12

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c- 1;.R 340-XX (Test)

28: WELFARE, RECREATION, AND MORALE

Prescribing Directive(s): AR 28-1, Army Morale Support Activities

These records concern procedures for operation of programs forentertainment, sports participation at various levels, crafts,motion picture services, libraries (other than law), service clubs,and other forms of recreation and welfare.


28 GENERAL WELFARE, RECREATION, Destroy after 2AND MORALE CORRESPONDENCE. years.KEYWORDS:Use this number for generalcorrespondence relating towelfare, recreation, and moralethat cannot logically be filedwith the detailed recordslisted below. 4

-- ------------------------------------------------------

28-la RECREATION AND ENTERTAIN- Destroy after 2MENT CASE FILES. years.KEYWORDS:Documents related to planning,approving, and conductingspecific contests, Army shows,entertainment, sports activ-ities, or other recreationalevents that are sponsored or-sanctioned by the Army. includedare plans, letters, promotionalmaterial, and related documents.

28-lb RECREATION AND ENTERTAIN- Destroy after 24 MENT DETAIL FILES. years.

PRIVACY KEYWORDS: 5ACT: Documents created in accomp-A1403.30a lishing administrative de-DAAG . tails concerning a specific

contest, show, entertainment,sports, or other recreationalevent. Included are documentsreflecting itineraries, trans-portation arrangements, officialluncheons, distribution ofmaterials, information on con-

, test procedures, and relateddocuments.

A-12.1

AR 340-XX (Test)


28-ic RECREATION SERVICES RE- Destroy after 2PORTING FILES. years.KEYWORDS:Documents reflecting statis-tical information concerningArmy recreation servicesactivities. Included areletters, forms, and relateddocuments.

A1

S. . .. .. . . . . . . . . . . . . . . . .

AR 340-XX (Test)

30: FOOD PROGRAM

Prescribing Directive(s): AR 30-1, The Army Food Service ProgramAR 30-16, Food Service Data Feedback

ProgramAR 30-18, Army Troop Issue SubsistenceActivity Operating Procedures

These records concern commodities, resources, and services used,facilities operated, and functions performed in the supply and ser-vice of food.


30 GENERAL FOOD PROGRAM CORRES- Destroy after 2 years.PONDENCE.KEYWORDS: Food, Subsistence,

ServiceUse this number for general cor-respondence relating to the foodprogram that cannot logically befiled with the detailed recordslisted below.

30-la DINING FACILITY OPERATIONS Active Army:FILES. a. Meal Card ControlKEYWORDS: Dining, Meals, Registers and Memorandum

Headcount Book Registers: DestroyDocuments pertaining to the 1 year after filled ordining facility, regardless otherwise rendered In- -of whether they are main- active.tained in the dining facil-ity, the Bn PAC, or else-where. Included b. Other records:.-are DA Form 4809-R, Meal Destroy after 6 months.Card Control Register;memorandum book registers usedto control meals; cooks' Reserve Components:worksheets; headcount Destroy after 1 year.records; and inventory.

30-lb DINING FACILITY ACCOUNT Destroy after 1 year.REVIEW FILES.KEYWORDS: Dining, Account,

ReviewDocuments relating to reviewof facility operation files,inspections, and contractorperformance evaluations.Included are reports; summary

A- 14

... : * .. .. . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . .. * *... •. . . . . . . .

AR 340-XX (Test)


of account status review; relateddocuments concerning findingsand recommendations; QualityDeficiency Reports (QDRs), andEquipment Improvement Reports(EIRs).

-30-4c ., MENU FILES. Destroy when superseded.KEYWORDS: MenuCopies of the Master Menu,cyclic menus, special menus,and proceedings of menuboards.

30-id CASH RECEIPT FILES. Destroy after 2 years.KEYWORDS: Cash, Meal, Payment,

CollectionReceipts for cash and documentsreflecting collections. In-cluded are cash meal paymentsheets; cash collection vou-chers; cash register tapes;memorandum book for recording cashregister clearings; control ofcash meal payment books; docu-ments on purchase, billing andpayment of catered meals orunprepared subsistence; reports ofinvestigation in accordance withAR 15-6 for missing cash or cashmeal payment sheets; and meal paymentthrough payroll deduction.

------------------------------------------------------------------------

30-16a UNSATISFACTORY SUBSISTENCE Destroy after 1 year.FILES.KEYWORDS: Subsistence, Quality,

ReportDocuments on reporting ofsubsistence which is dis-covered to be unsatisfactoryfor its intended use. In-cluded are DA Form 1608-R, Un-satisfactory Material Report, orsimilar forms; coordination withveterinarians and Troop Issue

* Subsistence Activity; letters orother narrative reports, andsimilar documents.

------------------------------------------------------------------------

A-15

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AR 340-XX (Test)


30-18a FIELD RATION REQUISITION, Issue activities: DestroyISSUE, AND DELIVERY FILES. after 2 years.KEYWORDS: Ration, Requisition,

Issue, Delivery Dining facilities:Documents relating to the a. Active Army: De-issue, such as subsistence stroy after 6 months.reports and field ration b. Reserve Components:requests; issue and turn-in Destroy after 1 year.slips not used for receipt of

cash; delivery tickets; machine

printouts; certificates ofdonation; and status of rationaccounts.

I

I

* . . .* .

S*.',*****~%~**-** °*'* _

AR 340-XX (Test)

37: FINANCIAL ADMINISTRATION

Prescribing Directive(s): AR 37-2, Distribution of Funds and FundDocumentation

AR 37-101, Organization and Functions ofFinance and Accounting Offices

AR 37-101-1, Field Organization andOperating Instructions under theJoint Uniform Military Pay System -Army (JUMPS-ARMY)

AR 37-103, Finance and Accounting forInstallations - Disbursing Operations

AR 37-104-3, Military Pay and AllowancesProcedures, Joint Uniform MilitaryPay System (JUMPS-ARMY)

These records-concern policies, procedures, direction, and super-vision of financial functions, including budgeting, accounting,funding, entitlement, pay, expenditures, and related reporting.


37 GENERAL FINANCIAL ADMINISTRA- Destroy after 2TION CORRESPONDENCE. years.KEYWORDS:Use this number for general cor-respondence relating to financialadministration that cannotlogically be filed with thedetailed records listed below.

37-2a OFFICE FINANCIAL FILES. Destroy after 1KEYWORDS: year.Documents that relate tospending. Included are--

a. Itineraries andtravel estimates, and re-quests for travel funds.b. Requests for long-

distance telephone callfunds.

c. Notices of availablefunds.d. Reports of funds used.

A-15.

AR 340-XX (Test)


37-l01a SIGNATURE CARD FILES. Destroy 3 yearsKEYWORDS: after revocation ofThese identify signatures of the designation.certifying officers who cer-tify vouchers. Included aresignature cards and relateddocuments.

------------------------------------------------------------------------37-101-la TRANSMITTAL LETTER FILES. Destroy after 6

KEYWORDS: months.Copies of transmittal lettersused for forwarding allotmentforms and similar documents.

37-103a COLLECTION VOUCHER-FILES. Destroy after 3KEYWORDS: years, except thatCopies of documents sent to when these documentsdisbursing officers by sales are part of accountsofficers and other officials. or files describedThese people are authorized elsewhere, disposeto accept amounts due the of them in the sameUnited States from indiv- way as thoseiduals, organizations, or accounts or files.governmental agencies. Notincluded are files accumulatedby fiscal officers. Collec-tion voucher files include -.a. Deposit reports.b. Collection report for

sales of services and supplies(other than subsistence).c. Sales accounts of public

property sold at publicauction or on sealed proposals.d. Schedule of collections.e. Comparable documents.

37-104-3a MISCELLANEOUS MILITARY PAY Destroy after 1VOUCHER FILES. year, or earlier ifKEYWORDS: they have servedDocuments relating to the their purpose.general administration of themilitary pay voucher system.Due to their general nature,these are not filed in the PFR.Included are--a. Copies of Laundry/Dry

Cleaning Roster and Statement.b. Ordersc. Finance checklists.P d. Similar payroll suspense

documents.

A-17

S . . -. •"• ".- -,> o.-

•.

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o.-. .. . . - -. - - . . .. .. ... - . - -,

AR 340-XX (Test)


37-104-3b PERSONAL FINANCIAL RECORD Destroy on separa-FILES. tion or retirementKEYWORDS: of individual afterA personal financial record Is final payment ismaintained for each military made.member on active duty, except forpersonnel serving in a status of

PRIVACY 6 months or less active duty forACT: training. For personnel in theA0305.10a latter category, a Financial DataDACA Records Folder will be maintained(and) as prescribed by AR 37-104-3.A0305.10b Filing instructions for documentsDACA constituting the PFR are prescribed

by AR 37-104-3, and include--a. Leave record election of

pay option.b. Authorization to start and

stop basic allowance for quarters.c. Application for basic allow-

ance for quarters for member withdependent(s).d. Allotment change or correction.e. Allotment authorization.f. Commercial insurance soli-

citation record.g. Withholding exemption

certificate and forms.h. Determination of with-

holding allowance for itemizeddeductions.

i. Military pay voucher.J. Internal Revenue notice of

exception.k. Pay adjustment authorization.1. Casual payment receipt.m. Cash collection voucher.n. Statement to substantiate pay-

ment of family separation allowance.o. Request and authority for leave.p. Allotment documents and discon-

tinuance notices.q. Statement of service.r. Report of pay change.s. Local payment receipt, pay, and

allowance inquiries.t. Notices of indebtedness.u. Leave and earnings statement.v. Memoranda affecting member's pay,

such as promotion orders, reduction orders,courts-martial and Article 15 orders, andincentive pay orders.-

A-18p .

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L

j

AR 340-XX (Test)

40: MEDICAL SERVICES

Prescribing Directive(s): AR 40-66, Medical Record and QualityAssurance Administration

These records concern the administration and operation of Army ,]medical treatment facilities; medical, dental, and veterinary care;and medical, dental, and veterinary equipment and supplies.


40 GENERAL MEDICAL SERVICE Destroy after 2CORRESPONDENCE. years.XEYWORDS:Use this number for generalcorrespondence relating tomedical services that cannotlogically be filed with thedetailed records listed below.

40-66a HEALTH RECORD FILES. Disposition Is go-KEYWORDS: verned by AR 40-66.Health Record Jackets ofReserve Component members thatare maintained by the unitof assignment.

40-66b DENTAL HEALTH RECORD Permanent. Transfer# FILES. and disposition will

PRIVACY KEYWORDS: be in accordanceACT: Documents reflecting dental with AR 40-66.A0917.01aI treatment for Reserve Com-DASG ponent personnel. Included

are dental health recordsand corresponding X-rays foreach individual.

---19

.. .....- , . .o. -.. .... .............. . .. ..... .. ... ,... ........- - .. - , .,°.. . . . .', . . , , . .

AR 340-XX (Test)

58: MOTOR TRANSPORTATION

Prescribing Directive(s): AR 58-1, Management, Acquisition, andUse of Administrative Use MotorVehicles

These records concern the administration, registration, operation,and management of motor vehicles and motor pools.


58 GENERAL MOTOR TRANSPORTA- Destroy after 2TION CORRESPONDENCE. years.KEYWORDS:Use this number for generalcorrespondence relating tomotor transportation thatcannot logically be filed withthe detailed records listedbelow.

58-la DISPATCHER ORGANIZATIONAL Destroy after 1CONTROL RECORD FILES. month.KEYWORDS:Documents used to reflect thedispatch of equipment. Nor-mal information includes nameof user, time out, destination,equipment identification, andestimated time of return.

58-lb EQUIPMENT DAILY USE FILES. Destroy after re-KEYWORDS: quired transfer ofDocuments completed by dis- information to otherpatcher and operator to records unless re-provide information on the quired for accidentdaily use of equipment, investigation or

state gasoline taxNote. This number is purposes.

used when the equipment log-book is not used.

A-20

~ . ..".

AR 340-XX (Test)

65: POSTAL SERVICE

Prescribing Directive(s): Mail and postal matters at the unitlevel are prescribed by DOD Postal Man-ual 4525.6-M, Vol II, "Mail Handlingand Delivery Procedures for Mail Roomsand Postal Service Centers"; however,for consistency of numbering withinMARKS, they are identified here with therelated AR 65-series on Postal Service.

These records concern policies, procedures, and instructions onArmy postal service, including postal finance services; transmis-sion systems for mail; unit mail service; postal supplies andequipment; and postal reports and records.


65 GENERAL POSTAL CORRESPONDENCE Destroy after 2 years.FILES.KEYWORDS: Postal, MailUse this number for generalcorrespondence relating topostal service that cannotlogically be filed with thedetailed records listed below.

--------------------------------------------------------------------------------

65a POSTAL PERSONNEL DESIGNA- Destroy 3 years after term-TION FILES. ination of designation.t KEYWORDS:

PRIVACY Documents designating militaryACT: postal clerks, custodians ofA1108.05a postal effects, and unit mailDAAG clerks. Included are:a. Designating and relieving

documents.b. Oaths of office and

appointment affidavits.c. Related papers.

65b POSTAL LOSS AND SHORTAGE Destroy 1 year after com-FILES. pletion of investigation.KEYWORDS:Documents are --a. Recording, reporting, and

investigating losses and short-ages of postage stamps, stampedpaper, and funds from their

0 sale.b. Losses or shortages of

money order forms or funds.c. Losses or destruction

of mail, including delay,

AR 340-XX (Test)


accident, or loss through theftor rifling, involving mail.d. Message reports with facts

about the loss or shortage.e. Investigation progress

reports.f. Records of postal claims.g. Records of lost or rifled

mail.h. Related papers.

65c POSTAL DIRECTORY SOURCE FILES. Destroy after posting toKEYWORDS: the locator cards.Documents used to prepare andmaintain postal directorycards. Included are copies oforders, memorandums, admiss-ion/disposition sheets, andsimilar documents.

65d POSTAL DIRECTORY FILES. An inactive file will not* KEYWORDS: be established. Withdraw

PRIVACY Cards used to maintain a and destroy locator cardsACT: locator system to facilitate 1 year after transfer, de-A1108.16a mail delivery to individ- parture, or separation ofDAAG uals. Included are locator related individuals, except

cards and file inspection that cards on trainees atrecords. Army training facilities,

patients at hospitals, andstudents at service schoolswill be withdrawn and de-stroyed 6 months after de-parture. Destroy inspec-tion record 1 year aftercard is filed.

65e STANDING DELIVERY ORDER Destroy 3 years afterFILES. revocation of authorization.

PRIVACY KEYWORDS:ACT: Documents that authorize rep-A1108.18 resentatives to pick up mailDAAG on a continuing basis. In-

cluded are standing deliveryorder forms or comparableforms used for the samepurpose.

A-22

.-.. ..

_ _, - -, . .. '..".. .... .....-......-.- ' ', .,.-"-' '.2-.' "-" -. ' ..- . "-.-.".- ".... N" " "

I

AR 340-XX (Test)


65f UNIT MAILROOM ACCOUNTABLE Destroy after 3 years.MAIL RECEIPT FILES.KEYWORDS:Documents reflecting the re-ceipt of registered, certified,and numbered insured mail. In-cluded are --a. DD Form 434 (Record of

Accountable Mail).b. USPS Form 3883 (Firm De-

livery Book Record -- Regis-tered, Certified, and NumberedInsured).

c. USPS Form 3813 (Receipt forInsured Mail).d. USPS Form 3806 (Window

Registration Book).e. USPS Form 3877 (Firm

Mailing Book).

65g MAIL CALL AND HOURS OF Destroy when obsolete or whenCOLLECTION FILES. intended purpose has beenKEYWORDS: served.Documents relating to hoursof mail collection and dis-patch. Included are mail callforms, hours of collectionforms, and related documents.

65h UNIT MAIL CLERK RECEIPT Destroy after 2 years.FILES.KEYWORDS:Documents used by unit mailclerks to show receipt forfunds for money orders, stamps,and envelopes when it is im-practical for individuals to makepurchases personally. In-cluded are unit mail clerk'sreceipt for funds and purchaserecord forms or comparable formsused for the same purpose.

65i POSTAL LOCKBOX ASSIGNMENT Place in inactive file uponFILES. termination of assignment.KEYWORDS: Destroy upon reassignmentDocuments used to record the of lockbox.assignment of individualpostal lockboxes.

A-23

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AR 340-XX (Test)


65j UNIT MAILROOM INSPECTION Destroy after 1 year.FILES.KEYWORDS:Documents relating to inspect-ions of mailroom operations.Included are DA Form 4783 (UnitMail Service Inspection Check-list), similar forms, andrelated documents.

A-2

I

A- 24"""

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~, .~* ~ . . *':.c~ .* ~ * * .-. -. -.

AR 340-XX (Test)

75: EXPLOSIVES

Prescribing Directive(s): AR 75-15, Responsibilities and Proce-dures for Explosive Ordnance Disposal

These records concern responsibilities and procedures in connectionwith use, safety, and disposition of explosives, and explosiveordnance disposal activities.


75 GENERAL EXPLOSIVE CORRESPONDENCE. Destroy after 2KEYWORDS: years.Use this number for general correspondencerelating to explosives that cannot logicallybe filed with the detailed records listed below.

75-15a EXPLOSIVE ORDNANCE INCIDENT EOD Control Detach-REPORTING. ments: DestroyKEYWORDS: after 6 years.

a. Reports on --

(1) Data on the Notifi- Other offices:fication. Destroy after 2(2) Requests for assis- years.tance.(3) Action taken concerning

explosive ordnance that constitutes apotential hazard to operations, installa-tions, personnel, or materiel.

(4) Assistance provided to civilauthorities on disposal of non-militarycommercial-type explosives, chemicals,or other dangerous articles.

b. Included are --

(1) Reconnaissance reports.(2) Explosive ordnance incident

reports.(3) Supporting documents.(4) Related papers.

75-15b EXPLOSIVE ORDNANCE DISPOSAL (EOD) EOD staff offices:ACTIVITY REPORTING FILES. Destroy after 6KEYWORDS: years.

a. Reports reflecting summariesof EOD activities and workload Other offices:status used in planning, pro- Destroy after 2gramming, and revising EOD years.activities. Included are ac-tivity reports and related documents.

A-24.1

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AR 340-XX (Test)

95: AVIATION

Prescribing Directive(s): AR 95-5, Aircraft Accident Prevention,Investigation, and Reporting

These records concern Army flight regulations and operations; Armyaviator flying proficiency and instrument qualification, ratings,logging of flying time, and records; investigation of flightviolations; flying safety; and personal qualifications involvedin flight training.


95 GENERAL AVIATION CORRES- Destroy after 2PONDENCE. years.KEYWORDS:Use this number for general cor-respondence relating to aviationthat cannot logically be filedwith the detailed records listedbelow.

95-5a AVIATION ACCIDENT AND INCI- Reviewing offices:DENT CASE FILES... Destroy after 5

PRIVACY KEYWORDS: years.ACT: Documents relating to in-A0607.01b dividual accidents. Offices initiatingDAPE [Included are reports of reports and Inves- .

accidents and investiga- tigations: Destroy

tions involving Army air- after 2 years.craft and property damageresultant therefrom.

95-5b INDIVIDUAL FLIGHT RECORD Forward with MPRJ onI FILES. reassignment, change

PRIVACY KEYWORDS: of duty status, re-ACT: Documents that record the tirement, dischargeAlll.01a experience of individuals or death of indlvi-DAPC piloting Army aircraft. dual.

Included are--a. Individual Flight records.b. Aeronautical rating orders.c. Flying status orders.d. Qualification records.e. Reports of annual physicals.f. Related Records.

o

" ~A- 2 5 "'

mI

AR 340-XX (Test)

Number DescrIption Disposition

95-33a ARMY AIRCRAFT INVENTORY, STATUS, Destroy after 1AND FLYING TIME REPORTING FILES. year.KEYWORDS:Documents accumulated in Army commandsand organizations as a result of reportingto higher headquarters data pertaining toaircraft held on an accountable basis.They consist of such reports as DA Form1352, Army Aircraft Inventory, Status andFlying Time; comparable forms; prooflistings; transmittal listings, and relatedpapers.

A-2S.l

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. . . .. . . . . . .. . *° * *.-..

.......

AR 340-XX (Test)

105: COMMUNICATIONS-ELECTRONICS

Prescribing Directive(s): AR 105-1, Telecommunications ManagementAR 105-24, Radio Frequency and Call Sign

Assignments for US Army Communica-tions-Electronics Activities

These records concern testing and operation of communications andelectronics systems, such as radio, telephone, teletypewriter, andradar.

Note: Radio efficiency reporting files (number 105-24b, below) areprescribed by DOD Instruction 4850.1; however, for convenience andconsistency within MARKS, they are identified here with relatedradio frequency records under AR 105-24.


105 GENERAL COMMUNICATIONS-ELECTRO- Destroy after 2NICS CORRESPONDENCE. years.KEYWORDS:Use this number for general correspon-dence relating to communications elec-tronics that cannot logically be filedwith the detailed records listed below.

105-la OFFICE MESSAGE REFERENCE FILES. Destroy after 1KEYWORDS: year.Incoming and outgoing messages innumerical or date order for referencepurposes in offices other than signalcommunications centers, and officialmail rooms. Official copies ofmessages must be filed in the office'sMARKS files.

105-24a RADIO FREQUENCY FILES. Correspondence rela-KEYWORDS: ting to concurrenceDocuments concerning the autho- of the Federal Com-rizing, allocating, assignment, munications Com-and use of radio frequencies mission: Destroyand call signs. after 1 year.

Other documents:Destroy on super-session, cancella-tion, or on discon-tinuance of theassignment or use.

A-26

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*.. *.*..

AR 340-XX (Test)


105-24b RADIO EFFICIENCY REPORTING Destroy after 6FILES. months.KEYWORDS:Reports of communications efficiencyand data such as --a. Time lost because of poor

operating conditions.b. Equipment adjustment operations.c. Errors.d. Scheduled maintenance of equipment.e. Summary of frequencies used.f. Radio circuit efficiency reports.g. Circuit operational summaries.h. Similar documents.

A-27

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AR 340-XX (Test)

140: ARMY RESERVE

Prescribing Directive(s): AR 140-111, Enlistment and ReenlistmentAR 140-158, Enlisted Personnel Classifi-

cation, and ReductionAR 140-185, Training and RetirementPoint Credits and Unit Level StrengthAccounting Records

These records concern the mission, organization, administration,and training of the US Army Reserve, including but not limited tofacilities, management, and separation of USAR personnel.


140 GENERAL ARMY RESERVE CORRESPON- Destroy after 2DENCE. years.KEYWORDS:Use this number for general correspon-dence relating to Army Reserve thatcannot logically be filed with thedetailed records listed below.

140-111a WAITING LIST FILES. Destroy 2 yearsKEYWORDS: after last name hasDocuments with names of appli- been deleted.cants for membership in a reserveunit, and related personnel data.Included are bound notebooks andrelated documents.

140-158a MOS CLASSIFICATION CORRESPON- Destroy after 2DENCE. years.KEYWORDS:Copies of proceedings covened toevaluate or reevaluate enlistedpersonnel of the Army Reserve andto decide action to be taken.Examples are reclassification,reaasignment, reduction, or dischargebecause of mental or physicalinability, emotional instability,inefficiency, or other reasons.

A

A-28 ...

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- . . - . . . . . . . * . .

AR 340-XX (Test)


140-158b ENLISTED PROMOTION FILES. Destroy on promotionKEYWORDS: of individual.Documents related to considering Forward with MPRJ onenlisted personnel for promotion. change of MPRJIncluded are-- custodian.a. Approved and disapprovedp requests.b. Orders.c. Promotion lists.d. Related documents.

140-185a RESERVE UNIT ATTENDANCE RECORD Cut off yearly andSET. transfer to organ-KEYWORDS: ization assigned byAttendance records of members of CONUS Army commanderReserve Component units and or major overseaactivities during training or commander; hold 1drill periods. Included are year, then retire tooriginal DA Forms 1379 and RCPAC, 9700 Pagesupporting documents. Any data Blvd, St Louis, MOon the attendance reference 63132.copy that is vital to determiningretirement point credits will beentered on the DA Form 1379. Theform should be folded and placed inletter-size folders.

140-185b RESERVE UNIT ATTENDANCE REFERENCE Destroy after 1SET. year.KEYWORDS:Documents used as worksheets andreference when the original attend-ance record is not available withinthe unit. Included are carbon copiesof DA Form 1379, DA Form 1380, andrelated documents. Data entered onthese documents, which are vital todetermining retirement point credits,will be posted to the original DAForm 1379 and maintained under thisnumber.

A-29• .p

AR 340-XX (Test)

145: RESERVE OFFICER TRAINING CORPS (ROTC)

Prescribing Directive(s): AR 145-1, Senior ROTC Program Organiza-tion, Administration, and Training

These records concern functions, responsibilities, organization,and procedures in the administration of the Army ROTC program.


145 GENERAL ROTC CORRESPONDENCE. Destroy after 2KEYWORDS: years.Use this number for general correspon-dence relating to ROTC that cannotlogically be filed with the detailedrecords listed below.

145-la ROTC ENROLLMENT REPORTING FILES. Destroy after 3KEYWORDS: years.Documents relating to ROTCenrollment data reported toTRADOC. Included are--

a. Forms.b. Consolidated reports.c. Related documents.

145-lb ROTC CAMP FILES. Destroy 1 year afterKEYWORDS: completion ofDocuments of operating and admi- subsequent camp.nistering annual camp trainingof ROTC students.

145-1c ROTC CADET RECORD FILES. Destroy in CFA 5# KEYWORDS: years after cadet

PRIVACY DA Forms 131 (ROTC Cadet Record) terminates enroll-ACT: reflecting data of enrollment, ment in ROTC, orA0703.04a training and disposition of ROTC 5 years after with-DAPC cadets. These files are not drawal of unit from

needed for institutional pur- the institution. Ifposes after the student leaves cadet transfers toor after the unit is withdrawn. another ROTC insti-

tution, transferrecord to thegaining institutionon request as provi-ded in AR 145-1.

A-30

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AR 340-XX (Test)


145-id ROTC CADET MPRJ FILES. On appointment inKEYWORDS: the USAR or on

PRIVACY | Documents relating to ROTC disenrollment, with-ACT: cadets. These documents are draw documents ex-A0703.04a filed in DA Form 210 (MPRJ). cept those to beDAPC Included in each MPRJ are-- sent in the MPRJ.

a. The record of military File under numberstatus of registrant. 145-le. Forward

b. Armed Forces security MPRJ to firstquestionnaire. assigned organiza-c. Acknowledgement of under- tion, appropriate

standing of service requirement. area commander,d. ROTC graduate branch selec- or RCPAC, as indi-

tion record. cated in AR 145-1.e. Report of medical exami-

nation.f. Photographs.g. Letters of commendation.

Note. ROTC cadet records (DA Form131) are maintained under number145-ic.

145-le ROTC SEPARATED CADET FILES. Destroy after 1 yearKEYWORDS: ... or on withdrawal of

0 [PRIVACY I Documents are maintained in unit from ROTCACT: manila folders. In each of the program.A0703.04a former cadet's file are--DAPC a. The Armed Forces security

questionnaire.b. Deferment agreement.c. ROTC graduate branch selection

record.d. Report of medical examination.e. Photographs.f. Letters of commendation.

Note. ROTC cadet records (DA Form131 ) are maintained under number 145-1c.

145-If ROTC SCREENING TEST ANSWER SHEET Destroy after 3FILES. months.KEYWORDS:Documents related to administeringthe General Screening Test or AOTCQualifying Examination. Included arescored answer sheets and relateddocuments.

A-31

.. .. . .. . .. . . .. . .. . .. . . .. . .. . .

AR 340-XX (Test)


145-ig ROTC UNIT PAY AND ALLOWANCE Destroy after 3FILES. years.KEYWORDS:Files created under the military payrecord system. Included are organi-zational payroll records created bythe unit, such as--a. Papers used in preparing

vouchers pertaining to pay, travel,or other allowances.b. Vouchers, copies of which have

been sent to the disbursing officerfor payment.

145-1h ROTC COMMUTATION OF UNIFORM Destroy 3 yearsFILES. after the end of theKEYWORDS: school year in whichDocuments of commutation of commutation of uni-uniform funds received and dis- forms for a classbursed for ROTC students, will no longer con-Documents are filed by aca- tinue.demic class year. Included arecontrol ledger card sheets and Note. The activerelated documents. period is 4 years

for institutionsdrawing commutationfor advanced stu-dents only.

145-1i ROTC MILITARY PROPERTY FILES. Destroy after 2KEYWORDS: years.Documents relating to accountabilityof property held by ROTC activities.Included are vouchers, requisitions,stock record cards, voucher registersand reports.

145-li ROTC CADET EVALUATION REPOR- Destroy 2 yearsTING FILES. after graduation,

PRIVACY KEYWORDS: or forward toACT: Documents of cadet evaluations, higher command whenA0703.04a which are prepared by Profes- requested.DAPC sors of Military Science and

commanders prior to graduation.Included are evaluation reports andrelated documents.

A-32

. . .• . ..

::.:-:~ ~~ :- : :. :.i:_:_i :: , , c-: ... . iih: - :, A-L. m :.-/...-:. -.-.- ,. - . - .. :- .-. ,- ,-- .:-:-:-- --.-.... :..

AR 340-XX (Test)

190: MILITARY POLICE

Prescribing Directive(s): AR 190-13, The Army Physical SecurityProgram

AR 190-40, Serious Incident Report

These records concern enforcement of military discipline; physicalsecurity; traffic control; control over firearms and dangerousweapons; and apprehension, restraint, confinement, administration,sentences, parole, restoration, and disposition of prisoners.


190 GENERAL MILITARY POLICE Destroy after 2CORRESPONDENCE. years.KEYWORDS:Use this number for general corre-spondence relating to Military Policethat cannot logically be filed with thedetailed records listed below.

190-13a GUARD REPORTING FILES. Destroy after 1 yearKEYWORDS:Copies of DA Form 904 (Guard Report).

190-13b GATE GUARD FILES. Destroy after 6KEYWORDS: months.Documents relating to measures takento guard government facilities andmilitary prisoners (US Armed Forcespersonnel). Included are--a. Assignment Sheets.b. Gun registers.c. Registers reflecting movement

of personnel or vehicles into or outof Government facilities.d. Package passes.e. Routine or negative reports.f. Similar documents.

190-40a SERIOUS INCIDENT REPORTING FILES Destroy 1 year afterKEYWORDS: completion or re-

PRIVACY Reports of serious incidents ceipt of finalACT: which may embarrass or be of report.A0508.24a concern to the DA or DOD.DAPE Included are initial, supplemental,

terminal, and special interestfollow-up reports, and related

* documents.

A-33

AR 340-XX (Test)

210: INSTALLATIONS

Prescribing Directive(s): AR 210-130, Laundry/Dry CleaningOperations

These records concern the use by organizations and units ofinstallation laundry and dry cleaning facilities.


210 GENERAL INSTALLATION CORRESPON- Destroy after 2DENCE. years.KEYWORDS:Use this number for general correspon-dence relating to installations thatcannot logically be filed with thedetailed records listed below.

210-130a UNIT AND ORGANIZATIONAL LAUNDRY Destroy after 1 yearfAND DRY CLEANING FILES.

PRIVACY KEYWORDS:ACT: Documents relating to laundry and dry

1A1427.01a( cleaning service for unit members.DALO Included are laundry and dry cleaning

lists and related documents.

A-3

A- 34l

......................................................................

AR 340-XX (Test)

220: FIELD ORGANIZATIONS

Prescribing Directive(s): AR 220-1, Unit Status ReportingAR 220-15, Journals and Journal FilesAR 220-45, Duty Rosters

These records concern actions affecting field units such asmovement, training, mission readiness, and unit documents (rostersand journals).

Note: Personnel Readiness Files (number 220-lb, below) are notprescribed by an Army Regulation; however, for convenience andconsistency within MARKS they are identified here with related unitreadiness records under AR 220-1.


220 GENERAL FIELD ORGANIZATION Destroy after 2CORRESPONDENCE. years.KEYWORDS:Use this number for general correspon-dence relating to field organizationsthat cannot logically be filed withthe detailed records listed below.

220-la UNIT STATUS REPORTING FILES. Destroy after 2

KEYWORDS: years.Documents relating to the status andactual readiness conditions of anorganization. Included are--

a. Individual and consolidatedunit readiness reports.b. Personnel status reports.c. Logistic readiness reports.d. Papers concerning the actual

readiness of the 'organization.e. Related documents.

220-lb PERSONNEL READINESS FILES. Transfer with MPRJKEYWORDS: in accordance withDocuments of personal information AR 640-10. Destroyon soldiers subject to rapid when superseded, -

deployment in support of contin- obsolete, or whengency plans. Included are-- the soldier is

a. Checklists. separated.b. Change of address card.c. Record of emergency data.d. Bailment agreement.e. Application for storage, trans-

portation, and shipment of personal* effects.

A-35

p - - .''- : l -, .'? i"i' -.... '' .,.i ' '- -i. .. ii i ..' ' -. .< - - ... -... -

AR 340-XX (Test)


f. Application for basic allowancefor quarters.g. Related papers.

220-15a DAILY JOURNAL, STAFF JOURNAL, AND Peacetime: DestroyTACTICAL OPERATIONS CENTER (TOC) after 5 years.LOG FILES.KEYWORDS: Mobilization:Documents reflecting a chronolo- a. Units in agical record. of events affecting combat environmenta headquarters, a TOC, or an or designated asorganization during a given combat supportperiod of time. Included are elements, andjournals and logs, and documents offices of HQDA:necessary to support entries Permanent.thereon, such as copies of b. Other Offices:orders, periodic reports of a Destroy after 5unit and its subordinate or years.attached units, periodic reportsof higher and lateral units whenapplicable, personnel reports, ammunitionexpenditure charts, other statisticaldata, and similar documents. Excluded are --

daily activity reports of a house-keeping nature as described in 220-45a,b, and c below.

Note: Related records are identi-Me in numbers 525a, 525b, 870-5aand 870-5b.

220-45a DUTY REPORTING FILES. Destroy after 6KEYWORDS: months.Documents prepared by duty officerof the day or by personnel oncharge of quarters duty. Included aredaily activity reports and relateddocuments.

220-45b DUTY ROSTER FILES. Destroy 3 monthsKEYWORDS: after last entry.Documents used for recording routineduties performed by personnel, plusspecial duties performed on arotating basis.

A-36

.. . . .. . . . . . . ......" '"" '. ' o.• . "o...... ... . " ° ' "" ,"" • '°'"".'..'' " %""." 1%" " m." ,=° t'".'°'". " °°.'O"". "°I• °. q °.°I "°'.........."....................................... ,.................,.. • .

AR 340-XX (Test)

230: NONAPPROPRIATED FUNDS AND RELATED ACTIVITIES

Prescribing Directive(s): AR 230-1, The Nonappropriated FundSystem

These records concern the administration of and accounting for non-appropriated funds (NAF) and activities financed therefrom.


230 GENERAL NONAPPROPRIATED FUNDS AND Destroy after 2RELATED ACTIVITIES CORRESPONDENCE. years.KEYWORDS:Use this number for general correspon-dence relating to NAF that cannotlogically be filed with the detailedrecords listed below.

230-la NAF ACCOUNT FILES. Destroy after 3KEYWORDS: years.Documents relating to the admin-istration of activities financed byunit funds. Included are--a. Inmates' welfare funds,

stockade welfare funds, andcommandants' welfare funds.b. Checkbooks.c. Loose cancelled checks.d. Loose check stubs.e. Bank deposit slips.f. Bank statements.G. Monthly bank account

reconciliations.h. Statements of operationsand net worth.

i. Reports of audit.j. Cash property and recon-

ciliation records.k. Property receipts.1. Security safekeeping receipts.m. Similar documents.

A-37

.. o .. o .o ~ ~~~. . ... . .. . . . . . . .. . . . . . -.. .. . . ..

- .1

AR 340-XX (Test)

310: MILITARY PUBLICATIONS

Prescribing Directive(s): AR 310-2, Indentification andDistribution of DA publications andIssue of Agency and Command Admini-strative Publications

AR 310-10, Military OrdersAR 310-31, Management System for Tables

of Organization and Equipment (TheTOE System)

AR 310-49, The Army AuthorizationDocument System (TAADS)

These records concern policies and procedures for preparation,review, approval, production and distribution of officialpublications, media and numbering.

Note: Although numbers 310-2a, 310-2b and 310-2f are notspecifically prescribed by AR 310-2, they are included here forconvenience and ease of identification under MARKS.

310 GENERAL MILITARY PUBLICATIONS Destroy after 2CORRESPONDENCE. years.KEYWORDS:Use this number for general correspon-dence relating to military publicationsthat cannot logically be filed with thedetailed records listed below.

310-2a HOUSEKEEPING INSTRUCTION FILES. Destroy whenKEYWORDS: superseded orMemorandums of instruction deal- obsolete.ing with internal administra-tive procedures.Note: This number does not applyto instructions issued on missionfunctions, which are filed with themission records.

310-2b POLICY AND PRECEDENT FILES. Destroy eachKEYWORDS: document whenExtra copies of policy or prece- superseded ordent documents for future and obsolete. Destroycontinuing action. Normally, entire file onthese files are maintained discontinuance ofat the operating level, the element to

which it relates.II

A-38

-7 . . . . . . .

AR 340-XX (Test)


Included are--a. Standing operating procedures.b. Statements of policy or procedure.c. Examples of typical cases.d. Other documents duplicated in

the office's files.

310-2c REFERENCE PUBLICATION FILES. Destroy whenKEYWORDS: superseded, obsoletePublications from any Army ele- or no longer neededment, other Government agencies, for reference, ex-and non-governmental organiza- cept that accounta-tions kept for reference within ble publicationsa unit or office. Also includes will be returned totechnical material, such as supply channels.motion pictures, sound recordings,still photographs, transparencies,charts, and maps retained forreference.

310-2d PUBLICATION REFERENCE SET FILES. Destroy whenKEYWORDS: superseded, obsoleteOffices that issue publications or no longer neededwill maintain one set for refer- for current opera-ence purposes. It also includes tions.copies of other publicationsissued by the office for which a"Record Set" is not required (suchas DD Form 1610, TDY travel orders,indorsements to orders, invitationaltravel orders, daily or weekly bul-letins, and similar documents). Markeach folder or binder in this set"Reference Set" and keep posting upto date.

310-2e PUBLISHING OFFICE BACKGROUND Destroy after 1FILES. year.KEYWORDS:Document accumulated by officesresponsible for collecting andpublishing material prepared by otheroffices. These are also filed inappropriate functional files.Included are--a. Articles.b. Documents used to prepare

personnel-type orders.c. Items for inclusion in daily,

weekly, or monthly bulletins.

A-39

~~~~~~~~~~~....,.....'.'.. ......................... . ...... ...... . .. ...... .. . ... .. ,.... .... ,. .. •,.... -_' ''- -. ''. .'. . . . . ..'...-""" . . ,, .".". -. ","."." "," ",."." , ,"-. ." " ",.. ".".".... .",.. .".. . " ,, ',". ,"" "

4

AR 340-XX (Test)

Number Decrpion Disesiton

d. Similar data for inclusion Inother Government publicatione. Comparable documents, but not

those for the job jacket file.

31C-2f TRAINING MEDIA FILES. Lesson plans:-KEYWORDS: Destroy when super-Documents accumulated by activi- seded or obsolete.ties engaged in training opera-tions, particularly the conduct Other documents:of training. included are Destroy after 1 yeartraining schedules, programs,lesson plans, memoranda, direc-tives, and related documents.

310-i0a PERSONNEL TYPE ORDER FILES. Organizations notKEYWORDS: converting the dataAnnouncements of promotions, to microform: De-separations, courtsmartial, stroy after 56certain travel, And certain years. Retire topersonnel actions issued by any Washington Nationalelement of the Army, per the Center.specific non-permanent formatsIn AR 310-10. Does not include Organizations con-DD Form 1610 (Request and Autho- verting the data torization for TDY Travel of DOD microform under anPersonnel) or Invitational tra- approved MICRODIS:vel orders, for which see 310-2d. a. original docu-

ments: Destroyafter verificationthat the microformmeets prescribedquality standardsand that the micro-form is an adequatesubstitute for theoriginal documents.b. Microforms:

(1) Originalmicroforms: Destroyafter 56 years.Retire to WashingtonNational RecordsCenter.

(2) Other m~icro-.form copies: Destroywhen no longerneeded for current

P operations. -

A-40

,P-

AR 340-XX (Test)


310-l0b PERMANENT ORDER BACKGROUND FILES. Offices not conver-KEYWORDS: ting the data toDocuments relating to the prepa- microform: Destroyration, review, and issue of after 25 years.permanent orders per the specificpermanent orders formats in AR Offices converting310-10. Included are studies, the data to micro-documents reflecting coordinating form under anactions, recommendations or con- approved MICRODIS:currences, and similar documents a. Originalthat provide a basis for issuance documents: Destroyor contribute to the content, after verification

that the microformmeets prescribedquality standardsand is an adequatesubstitute for theoriginal documents.b. Microforms:

(1) Originalmicroforms: Destroyafter 25 years.

(2) Othermicroform copies:Destroy when nolonger needed forcurrent operations.

310-10c PERMANENT ORDER RECORD SET. Offices not conver-KEYWORDS: ting the data to"Records Set" of permanent orders microform: Permanent.issued by any element of the Army Retire with the nextEach folder, binder, or microform regular shipment.will be distinctly marked "RecordSet" and will not be charged out Offices convextingor posted. These orders pertain all data to micro-to such matters as organizational form under MICRODIS:actions, awards, and decorations. a. Original

documents: Destroyafter verificationthat the microformmeets prescribedquality standardsand that the micro-form is an adequatesubstitute for theoriginal documents.

A-41

.% .. ~~~..-o.. .-............... . .. ......... .... ...

AR 340-XX (Test)

Number Description D isposit ion

b. Microforms:(1) One silver

halide microform setand one diazo orvesicular copy:Permanent.

(2) Othermicroform copies:Destroy when nolonger needed forcurrent operations.

310-31a ORGANIZATION AND ALLOWANCE FILES. Published documents:KEYWORDS: Destroy whenDocuments relating to setting up superseded, obsoleteor changing an organization, or no longer re-personnel allowances, and equip- quired for currentment allowances. Included are operations.published TOEs and MTOEs or TDAsand MTDAs, and comments or chan- Other documents:ges to them, plus related docum- Destroy after 3ments, years.

310-31b EQUIPMENT TABLE FILES. Destroy when super-KEYWORDS: seded or obsolete.Documents that govern the issue andauthorization to have equipment onhand. Included are MTOEs, letters ofauthorization, and related documents.

310-49a ACTIVATION AND STATUS CHANGE Destroy 5 yearsFILES. after transfer,KEYWORDS: discontinuance, orDocuments related to activating, disbandment of rela-deactivating, reorganizing, ted unit.relocating, disbanding, or dis-continuing Active Army, USAR, ROTC,and ARNG units. Included are--a. Request for publication of DA

letters directing change in status.b. DA letters or other forms of

implementing instructions.c. Copies of published general

orders.d. Affiliation agreements.e. Coordination actions.f. Related cocuments.

A-42

AR 340-XX (Test)

340: OFFICE MANAGEMENT

Prescribing Directive(s): AR 340-XX (Test), Modern Army Record-Keeping System (MARKS) for TOE andCertain Other Units of the Army

AR 340-3, Official MailAR 340-4, Files EquipmentAR 340-8, Army Word Processing ProgramAR 340-17, Release of Information and

Records From Army FilesAR 340-20, Office CopiersAR 340-21, The Army Privacy ProgramAR 340-22, The Army Micrographics

Program

These records concern receipt, distribution, preparation, andtransmission of mail; control and methods of transmitting officialmail; maintenance, evaluation, disposal, retirement, storage ofrecords for which the Army is responsible; filing equipment;document reproduction; safeguarding nondefense information; andrelease of information and records contained in Army files.

Note: Although numbers 340a through 340d are not specificallyprescribed by the AR 340-series, they are included here forconvenience and ease of identification under MARKS.

- Number Description Disposition

340 GENERAL OFFICE MANAGEMENT Destroy after 2CORRESPONDENCE. years.KEYWORDS:Use this number for generalcorrespondence relating to officemanagement that cannot logically befiled with the detailed records listedbelow.

340a OFFICE MANAGEMENT FILES. Destroy after 1 yearKEYWORDS:Documents relating to theadministration of an office. Thesedocuments concern--

a. Internal office procedures,hours of duty, and individual dutiesthat are not continuing.b. Charitable affairs, such as

blood donations and contributions.

A-43

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AR 340-XX (Test)


c. Public relations and informationactivities such as open-house programsand special events (not articles, newsreleases, or similar items that promoteor publicize the office's mission).d. Emergency evacuation procedures,

such as fire or civil defense.e. Protective services, parking,

traffic control, and allied matters.f. Office safety.g. Routine use of ADP.h. Administration, but other than

those described elsewhere in thisappendix.

340b OFFICE SERVICE AND SUPPLY FILES. Destroy I year afterKEYWORDS: completion ofDocuments relating to an office's action, exceptordinary supplies and equipment, destroy pinpointcommunications, transportation, distribution filescustodial or other services re- (DA Form 12-series)quired by an office, and to the when superseded orgeneral maintenance of an office. obsolete.Included are--a. Requests and receipts for

supplies, equipment, and similaritems.b. Request and other documents

about issuing keys and locks to anoffice.c. Requests for publications and

blank forms and other papers relatingto supply and distribution ofpublications to an office.d. Documents relating to local

transportation and drayage services.e. Documents relating to custodial

services.f. Requests to install telephones,

floor plans showing location oftelephone extensions, requests forchanges to telephone directories, andsimilar papers.g. Documents relating to office

heating, lighting, ventilation,cooling, electrical, and plumbingsystems.h. Documents relating to painting,

partitioning, repairing, or otheraspects of maintenance.

A-44

." "-',','~~~~~~~~~ ~~~.. '".. . . . ............" '."'...".". ."'."- . . ... -'.' ." -"" ." ' .,.. '.'- 'i i .<''<,[. . ./ . . .-- ~~~~~~... .... .... ..... 4. 4 *,& ,& ' "' "'-'" .4 4 -" 4 . . . ..'......,".'_.-.- .. .. ._-4. <

AR 340-XX (Test)


i. Documents relating to otherlogistical services required by anoffice.

340c OFFICE PROPERTY RECORD FILES. Destroy whenKEYWORDS: superseded,Cards, lists, and receipts, or obsolete, or whencomparable documents showing the property isaccountable property charged to turned in.the office, but not including theformal supply accounting recordsdescribed in number 710-2a of thisappendix.

340d READING FILES. Destroy after 1 yearKEYWORDS:Copies of outgoing communications,arranged by date, for period reviewby staff members.

340-XXa OFFICE LISTS OF FILE NUMBERS. Destroy whenKEYWORDS: superseded.Approved lists of file numbers

0 used at the files station.Note: The list may be filed in thefront cabinet drawer; if this is done,omit this file number.

340-XXb OFFICE RECORD TRANSMITTAL FILES. Destroy when noKEYWORDS: longer needed forCopies of transmittal lists administrative orshowing files transferred or reference purposes.retired.

340-3a OFFICE MAIL CONTROL FILES. Accountable mailKEYWORDS: receipts: Destroy inDocuments that pertain to con- CFA after 2 years.trolling incoming and outgoing Other documents:mail by offices other than Destroy after 3official mail rooms and months.postal activities. Includedare routing and suspense slips,records of messenger trips, mailreceipts, and similar documents.

A-4 5

AR 340-XX (Test)


340-4a FILING EQUIPMENT FILES. Destroy approvalKEYWORDS: documents whenDocuments showing the approval, equipment is removeduse, and management of files from inventory.equipment. Included are-- Destroy othera. Approval documents, records when nob. Documents showing individual longer needed for

and cumulative repairs and use. current operationsc. Similar documents.

340-8a WORD PROCESSING EQUIPMENT FILES. Destroy approvalKEYWORDS: documents whenDocuments showing the approval, equipment :s re-use and management of word moved from inven-processing equipment. Included tory. Destroy otherare-- records when noa. Approval documents, longer needed forb. Documents showing individual current operations.

and cumulative repairs and use.c. Similar documents.

340-17a FOIA ADMINISTRATIVE FILES. Destroy after 2KEYWORDS: years.Documents relating to thie generalimplementation of the FOIA. Includedare routine correspondence, memoran-dums, notices and related documents.

340-17b FREEDOM OF INFORMATION ACT (FOIA) Destroy after 2£ REQUEST FILES. years.tKEYWORDS:

PRIVACY Documents relating to request forACT: information under FOIA. IncludedA0239.01 are--DAAG a. The original request.

b. A copy of the reply grantingaccess, stating inability to identify,or nonexistence of requested records.c. Related documents.

A-46

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AR 340-XX (Test)

Number Description Dispostion

340-20a OFFICE COPIER FILES. Destroy approvalKEYWORDS: documents whenDocuments showing the approval, copier is removeduse and management of office from inventory.copiers. Included are: Destroy other

a. Approval Documents. records when nob. Documents showing indivi- longer needed for

dual and cumulative repairs and current operations.use.

c. Similar documents.

340-21a PRIVACY ACT REPORT FILES. Destroy after 2KEYWORDS: years.Documents accumulated from pre-paring and submitting reportsrelating to implementing ThePrivacy Act of 1974. Includedare statistical and feeder inputand related documents.

340-21b PRIVACY DISCLOSURE ACCOUNTING Whenever possible,FILES. disclosure accoun-KEYWORDS: ting files will beDocuments or information accu- maintained with andmulated in accounting for and transferred with therecording disclosures under the records from whichPrivacy program. Included are the disclosure wasforms, correspondence, disclosure made.consent authorizations, and relatedinformation.

a. Files accumulated for dis- Destroy 5 yearsclosure from ADP tape or disks after the disclo-that are periodically updated, sure; 5 years afterand copies of files that kept transfer of thewhen records are transferred record from whichto non-DOD agencies. the disclosure was

made; or upondestruction orblanking of the ADPtapes or disks fromwhich the disclosurewas made, whicheveris later.

A-47

AR 340-XX (Test)


b. Files accumulated for Destroy 5 yearsperiodic mass disclosures, after discontinuance

of the policy orprocedure prescri-bing the periodic .disclosures, orupon destruction ofthe record fromwhich the periodicdisclosure was made,whichever is later.(Also see Note 1.)

c. Files accumulated for Destroy 5 yearsdisclosures made from records after last disclo-having a retention period sure. (In thisof less than 5 years. situation, maintain

the disclosure filesseparate filesseparate from therecords for whichthe disclosure wasmade.)

d. Files accumulated for Destroy with thedisclosures made from records records from whichhaving a retention period of the disclosure was5 years or more years. made, except as

indicated in Note1 below.

e. Files accumulated for The disclosuredisclosures made from records files become a part

designated as being PERKANENT. of the permanentrecord and aredisposed ofaccordingly.

Note 1. In eachof these situations,if the disclosurefile is maintained

* with the record fromwhich the and dis-closure is madedestruction of therecord occurs beforethe last disclosureis 5 years old, thedisclosure file must

be withdrawn and re-tained until thelast disclosure is 5

years old beforebeing destroyed.

A-48-A

AR 340-XX (Test)


Note 2. Disclosurefiles for one-timedisclosures in whichthe request andreply serve as boththe disclosure fileand the record dis-closed will be main-tained and disposedof in accordancewith the dispositioninstructions forthe disclosedrecord, providedthat Note 1 aboveis complied with.

340-21c PRIVACY CASE FILES. Destroy after 4KEYWORDS: years.Documents accumulated in proces-sing request and approval actions.Included are requests, copies of therequested records, coordination actions,and related documents.

340-22a MICROGRAPHICS SYSTEM FILES. Destroy approvalKEYWORDS: documents whenDocuments showing the approval, equipment is re-use, and management of micro- moved from inven-graphics equipment. Included tory. Destroyare-- other records

a. Approval documents, when no longerb. Documents showing needed for current

individual and cumulative operations.repairs and use.c. Similar documents.

A--49

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AR 340-XX (Test)

350: TRAINING

Prescribing Directive(s): AR 350-1, Army Training

These records concern instruction of personnel in performance ofmilitary functions and tasks and exercises involving units toincrease combat readiness. Includes basic training; individualtraining in military techniques; doctrine, and tactics.

Note. Army Physical Fitness Evaluation Scorecards, DA Forms705, are prescribed by FM 21-20; however, for consistency of number-ing within the MARKS scheme, they are identified here with therelated AR 350-1 records.


350 GENERAL TRAINING CORRESPONDENCE Destroy after 2FILES. years.KEYWORDS:Use this number for general corres-pondence relating to training thatcannot logically be filed with thedetailed records listed below.

350-la TRAINING INSPECTION FILES. Destroy after 1KEYWORDS: year.Documents related to scheduledtraining and training inspections.Included are training schedules,training Inspection reports, andrelated documents.

350-lb PHYSICAL FITNESS TRAINING FILES. Forward with theKEYWORDS: MPRJ on transferArmy Physical Fitness Evaluation of individual.Scorecard, DA Form 705, and Destroy fullsimilar or related records, such cards on trans-as "Run For Your Life," dealing fer of informa-with fitness of unit members. tion to new

card. Destroyon retirement,separation, ordeath of indiv-idual.

Le A-50

AR 340-XX (Test)

380: SECURITY

Prescribing Directive(s): AR 380-5, Department of the Army Supple-ment to DOD 5200.l-R (DODISPR)

These records concern identification, classification, downgrading,declassification, dissemination, and protection of defense infor-mation; storage and destruction of classified information; accessto classified data; and other matters pertaining to security.


380 GENERAL SECURITY CORRESPONDENCE. Destroy after 2KEYWORDS: years.Use this number for general cor-respondence relating to security thatcannot logically be filed with thedetailed records listed below.

380-5a SECURITY BRIEFING AND DEBRIEFING Destroy after nextFILES. comparable inspect-KEYWORDS: ion or survey.Documents relating to securitybriefing and debriefing of pers-onnel with access to classifiedmaterial. Included are briefingand debriefing statements andrelated documents.

380-5b SECURITY INSPECTION AND SURVEY Destroy after nextFILES. comparable inspect-KEYWORDS: ion or survey.Documents relating to surveysand inspections primarily con-ducted by security officers.They determine if adequatemeasures are being taken to pro-tect security classified infor-mation from fire, explosion,sabotage, and unauthorized access.Included are reports, recommend-ations and related papers.

380-5c SECURITY AWARENESS FILES. Destroy after theKEYWORDS: next periodic appli-Documents that concern cation.compliance with securityregulations by all personnel.

A-51

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AR 340-XX (Test)


380-5d RECORD ACCESS FILES. Destroy when super-KEYWORDS: seded or made ob-Documents received or prepared solete by theby an office or unit that authorization docu-identify individuals authorized ment, or when theaccess to official records, par- individual has beenticularly classified material, transferred, separ-Included are -- ated or relieved.a. Requests and approvals

for access.b. Rosters of those authorized

access.c. Similar documents.

380-5e SECURITY CONTAINER RECORD FILES. Destroy the dayKEYWORDS: following the lastForms that are a record of entry on the form,entry, and are placed on safes, except that formscabinets, or vaults that con- involved in an in-tain classified documents. vestigation will be

kept until it isNote. These individual completed.

forms do not need folder labels.

380-5f SECURITY CONTAINER INFORMATION Destroy when super-FILES. seded or when theKEYWORDS: container is turnedUp-to-date records of all in.office safe and padlock combi-nations. Also other informationto identify and locate the safesor containers, and the individualswho know the combinations.

380-5g CLASSIFIED DOCUMENT RECEIPT Destroy after 2FILES. years.KEYWORDS:Receipts for classified documentsissued or transferred. If thereceipts are used concurrently as aregister or control file, they willbe Identified and disposed of undernumber 380-5h.

380-5h CLASSIFIED DOCUMENT REGISTER OR Destroy 2 yearsCONTROL FILES. after all classifiedKEYWORDS: documents recordedDocuments reflecting identity have been trans-and location of classified docu- ferred, destroyed,ments for which the office is declassified, oraccountable. Included are DA entered on a newForms 455 and 3964 and similar sheet.forms used for control.

A-52

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AR 340-XX (Test)


380-51 TEMPORARY INTERNAL RECEIPT FILES. Destroy on return ofKEYWORDS: the classified docu-Documents used in making temp- ment.orary loans of classified docu-ments within the office. Theseare normally of short duration andare often returned the same day.

380-5j TOP SECRET DOCUMENT CONTROL FILES. Destroy 5 yearsKEYWORDS: after related docu-DA Form 969 (TOP SECRET Document ment is downgraded,Record) or comparable forms to transferred, orinsure positive control of TOP destroyed.SECRET documents. The following

are also included --

a. Information of the documents'classification.

b. Document and distribution dates.c. Intraoffice routing.d. Names of individuals handling

the documents or having access totheir contents.

380-5k SECURITY CLASSIFICATION AND RE- Offices responsibleGRADING FILES. for issuance:KEYWORDS: Destroy 10 yearsDocuments relating to administer- after final declass-ing security classification and ification action.downgrading systems. Includedare --a. Correspondence or memor- Other offices:

anda on downgrading. Destroy 3 yearsb. Reports on security after all documents

classification, have been annotated.c. DA Form 1575, circulars, and

similar documents authorizing re-grading of security classifieddocuments.

(NOTE: File number suffixed "L" not used.)

380-5m CLASSIFIED MATTER INVENTORY Destroy after nextREPORTING FILES. inventory.KEYWORDS:Documents that account for allclassified matter from a physicalinventory.

A-53

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AR 340-XX (Test)


380-5n NONREGISTERED CLASSIFIED DOCUMENT Destroy after 2DESTRUCTION CERTIFICATE FILES. years, or earlierKEYWORDS: when approved by - -

Forms or other documents that HQDA (DAMI-CIS),reflect the destruction of WASH DC 20310.classified documents andaccountable forms.

(NOTE: File number suffixed *01 not used.)

380-5p SECURITY CLEARANCE INFORMATION Destroy on transferFILES. or separation ofKEYWORDS: person or on super-

PRIVACY Documents containing information session, asACT: about the security clearance of applicable.A0506.01 individual soldiers and theDAMI accreditation of personnel for

access to classified filesrequiring special access author-izations. Included are --

a. Cards.b. Printouts.c. Other lists or indexes.

Note. This description doesnot--clude reports of investigation,counterintelligence case files,or clearance documents filed in theofficial personnel folder.

A- 54

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AR 340-XX (Test)

381: MILITARY INTELLIGENCE

Prescribing Directive(s): Intelligence reporting is prescribed byDefense Intelligence Agency Manual(DIAM) 58-2. However, for consistencyin the MARKS numbering sequence, it isidentified here with the relatedAR 381-series on military intelligence.

IThese records concern collection, identification, evaluation, con-trol, classification, and dissemination of general intelligencedata.


381 GENERAL MILITARY INTELLIGENCE Destroy after 2CORRESPONDENCE FILES. years.KEYWORDS:Use this number for general cor-respondence relating to militaryintelligence that cannot logicallybe filed with the detailed recordslisted below.

381-a INTELLIGENCE REPORTING FILES. Destroy after 2A KEYWORDS: years.These files consist of copies of

PRIVACY documents that have been sub-ACT: mitted to higher headquarters.A0502.03a Included are --

DAMI a. Foreign positive intelligenceinformation.b. Technical intelligence

information.c. Related documents.

A-55

"[1 [.i 'A- 5 5

_ c_.. . . . . . . . '. : . .' .,. .' . "-j , -. " ......'.".., ,'..,. . ." ,' " .. ,. . ..- " . . ",".". .. . .,-,... ~ *.. . . . . .I ". ". . . .. ... ... . .. ," " '" . . S.".

"-" .. ' '. ,.'

AR 340-XX (Test)

385: SAFETY

Prescribing Directive(s): AR 385-10, Army Safety Program

These records concern administration of the Army safety program,which is directed toward accident prevention Army-wide. Thedescriptions and dispositions shown below apply to officesinitiating reports and investigations, and to reviewing offices.


385 GENERAL SAFETY CORRESPONDENCE. Destroy after 2KEYWORDS: years.Use this number for general cor-respondence relating to safetythat cannot logically be filed withthe detailed records listed below.

385-l0a ACCIDENT AND INCIDENT CASE FILES. Peacetime: DestroyKEYWORDS: after 5 years.E Documents relating to individualPRIVACY accidents and incidents. In- Mobilization: t.

ACT: cluded are reports of accidents a. Reports ofA0607.01b and incidents, and investigations -artillery misfiresDAPE thereof, involving: and harmful chemical

a. Army motor vehicles, and radiological orb. Army marine equipment. biological exposuresc. Fires, explosives, and accumulated by units

damage to Army property. in a combat environ-d. Harmful chemical and bio- ment or designated

logical exposures. as combat supporte. Injury to or death of elements: Permanent.

military or civilian personnel.f. Artillery; misfires and

accidents. b. All otherg. Similar documents. records: Destroy

after 5 years. -..

Note. Not included are recordson aircraft safety and accidents,for which see number 95-5a.

A-56

AR 340-XX (Test)Number Description Disposition

385-l0b TARGET PRACTICE SAFETY FILES. Destroy after 1 yearKEYWORDS: except destroyDocuments on the firing safety safety cards aftermeasures taken, the organization 2 years.doing the firing, the areainvolved, types of weapons used,and the time of firing of liveammunition.

385-10c OPERATOR'S EXAMINATION AND QUAL- Operator qualifica-IFICATION RECORD FILES. tion record: Trans-KEYWORDS: fer with MPRJ or

PRIVACY DA Form 348 (Equipment Opera- Civilian PersonnelACT: tor's Qualification Record), Folder, as appli-A1207.08a driver tests, and examinations, cable.

Tests and exams:Destroy after re-cording on quali-fication record.

385-10d SAFETY AWARENESS FILES. Destroy after 2KEYWORDS: years.Documents on developing orselecting safety materials tomake personnel aware of safetyhazards. Included are --

a. Posters.b. Placards.c. Cartoons.d. Newspaper items.e. Photographs.f. Letters.g. Similar materials.

A-57

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AR 340-XX (Test)

500: EMERGENCY EMPLOYMENT OF ARMY AND OTHER RESOURCES

Prescribing Directive(s): AR 500-SO, Civil Disturbances

These records concern Army perticipation and support in matters ofcivil disturbance, disaster relief, and civil defense, includingemergency actions and measures taken to minimize and assist in con-trolling riots, demonstrations, and other disorders; floods; earth-quakes; storms; fires, and accidents.


500 GENERAL EMERGENCY EMPLOYMENT Destroy after 2CORRESPONDENCE. years.KEYWORDS:Use this number for generalcorrespondence relating to emergencyemployment of Army and otherresources that cannot logically ]be filed with the detailed recordslisted below.

500-50a EMERGENCY PLANNING FILES. Destroy when super-KEYWORDS: seded, obsolete, orDocuments relating to planning no longer needed.for continuity of operations,domestic disturbances, disasterrelief, civil defense, and otheremergencies. Included are in-structions and changes to plans,and coordinating actions.

500-50b EMERGENCY PLAN, TEST, AND Destroy after 2EXERCISE FILES. years.KEYWORDS:Documents accumulated from testingemergency plans. Included are --

a. Announcements of tests.b. Instructions to participants.c. Staffing assignments.d. Test messages.e. Estimates of simulated damage.f. Estimates of costs.g. Resources required to repair

simulated damage.h. Estimates of available resources.I. Critique sheets and reports.j. Similar documents.

A-58

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AR 340-XX (Test)

525: MILITARY OPERATIONS

Prescribing Directive(s): To be determined.

These records concern Army and DCD requirements for combatoperational information, including activities and functions insupport of military operations; resources and equipment used; andlessons learned.

Number Description Dispsition

525 GENERAL MILITARY OPERATIONS Destroy after 2CORRESPONDENCE FILES. years.KEYWORDS:Use this number for generalcorrespondence relating to mili-tary operations that cannot logicallybe filed with the detailed recordslisted below.

525a COMMAND REPORTING FILES. Reports prepared byKEYWORDS: units in combatDocuments relating to command areas and by unitsreports in which commanders directly supportingsubmit information, evaluations, troops in combat:and recommendations on combat Permanent.operations. Included are --

a. Command reports. Reports prepared byb. Special and status reports. units not in combatc. Operational Reports - areas or by units

Lessons Learned (ORLL). not directly sup-d. Comments and evaluations, porting troops ine. Recommendations. combat: Destroyf. Copies of maps, directives, after 2 years.

sketches, overlays, and photo- However, documentsgraphs supporting the reports. forming the basis

for other officialaction (such asissuance of a dir-ective or trainingmanual) will befiled and disposedof with thatofficial action.

a A-59

*.'° "*.-°....''. °.'° ° °° . . ... -- o ." °"- "°-"•..'- "-. - - - °.. .. . -o - .. . .. .. . . . . . . . . . . . . .. . i:

: e •,o ,• •o . ••°% "°,% ' ." q , ,° o°.' Qo " .% ' ,-,'", 'oo

.' ° % '•°%•'o.° , °- % % • % b%.° °, . .' " . . . ."' "" '" "". 1

C-2

AR 340-XX (Test)

600: PERSONNEL GENERAL i

PrescribinQ Directive(s): *AR 600-9, The Army Weight Control ProgramAR 600-21, Equal Opportunity Program in theArmy

AR 600-31, Suspension of Favorable PersonnelActions for Military Personnel in NationalSecurity Cases and Other Investigations orProceedings

AR 600-33, Line of Duty InvestigationsAR 600-50, Standards of Conduct for Depart-

ment of the Army PersonnelAR 600-55, Motor Vehicle Driver - Selection,

Testing, and LicensingAR 600-85, Alcohol and Drug Abuse Prevention

and Control Program

These records concern subjects which pertain to military and civilianpersonnel not specifically provided for in other 600 series, or whichcontain procedures pertaining to more than one series.

Note. Numbers 600a through 600h are not specifically prescribed byan Army Regulation, but are identified here with the basic 600-seriesnumber for consistency under the MARKS numbering scheme.


600 GENERAL PERSONNEL CORRESPONDENCE. Destroy after 2 years.KEYWORDS:Use this number for general cor-respondence relating to personnelmatters that cannot logically beassociated with the detailed recordslisted below. These are documentsthat relate to daily administrationof military and civilian personnel.Included are --a. Papers on attendance, overtime,

and notices of holidays and hours worked.b. Notices about athletic events and

employee unions.c. Notices and lists of employees to

receive Government medical services, suchas x-rays and immunizations.d. Notices and lists of individuals

to receive training.e. Related papers.

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A-60

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II

AR 340-XX (Test)


600a OFFICE PERSONNEL REGISTER FILES. Destroy after 6KEYWORDS: months.Documents used to account foroffice personnel and to controloffice visitors. Included areregisters reflecting personnelarrival, departure, leave, and TDYtravel. Does not include officialpersonnel registers used in preparingSIDPERS inputs, for which see number680-lb.

600b OFFICE PERSONNEL LOCATOR FILES. Destroy when theKEYWORDS: person is separatedDocuments with the name, address, or transferred.telephone number, and similardata for each employee.

600c SUPERVISORY OR MANAGER EM- Review at end ofPLOYEE RECORD FILES. each year andKEYWORDS: destroy when super-

PRIVACY Documents that pertain to each seded or no longerACT: civilian employee and contain applies.A0102.04a the same actions as those in theDAPE Official Personnel Folder or

related files maintained in acivilian personnel office. Eachfile is kept by employee name,and contains --

a. Cards with complete em- Send to the servic-ployee information, positions, ing personnel officeand actions in process. In- when the employee iscluded are SF7B (Service Record) transferred or sep-and DD Form 1435 (Cryptographic arated. There itMaintenance Training and Exper- will be checked forience Record), when required. documents that

should be perma-nently filed in theOfficial PersonnelFolder.

b. Notices of persons cleared Withdraw and placefor access to classified in number 600e formaterial and other personnel employees separatedsecurity documents, for military service

who have restorationrights.

(Continued on next page ....)

A-61

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AR 340-XX (Test)


c. Reports. Send to gainingd. Papers relating to indiv- official for em-

Idual injuries. ployees transferrede. Letters of appreciation and within the same

commendation, authority on aninstallation.

f. Training records. When employees areg. Assigned responsibilities separated or trans-

of individuals. ferred to an instal-h. Performance appraisals and lation having a

counseling, different appointingi. Other duplicates of forms authority, destroy

filed in the official personnel file, except thatfolder. DD Form 1435 will be

sent to the gainingauthority within theFederal Government.

600d JOB DESCRIPTION FILES. Destroy when posit-KEYWORDS: ion is abolished,Documents describing positions job descriptionin an office. Included are is superseded, orDA Form 374 (Job Description) for not needed forcivilian personnel and job reference.description forms for militarypersonnel.

600e SEPARATION FOR MILITARY SERVICE Return to activeFILES. file if employee isKEYWORDS: restored at the endSSF-7 (Service Record) used to of the obligation

PRIVACY consider employees, who are period. DestroyACT: separated for military service, if restored.A0102.04a for civilian positions in absentia.DAPE

600f PENDING REQUEST FILES. Destroy when theKEYWORDS: requested actionoperating officials' or suspense is complete.copies of SF 52 (Request forPersonnel Action), for such thingsas accessions, position changes,rate-of-pay changes, and separations.

600g TEMPORARY DUTY TRAVEL FILES. Destroy after 1KEYWORDS: year.Request and authorizations formilitary personnel TDY and civilianpersonnel TDY and PCS travel, andrelated documents.

A-62

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C-2AR 340-XX (Test)


600h OFFICE MILITARY PERSONNEL FILES. Destroy 1 year afterKEYWORDS: transfer or separation

fDocuments about supervising of the individual.

PRIVACY military personnel on duty in aACT: staff office. Included are papers

A0102.13 pertaining to classification, pro-DAPC motion, orders, sponsors, indebted-

ness, leave, enlistment, waivers,statements of service, bonuses,evaluations, identification, grouplife insurance, applications foremployment, academic and individualtraining reports, instructional eval-uations, and related documents.

*600-9a WEIGHT CONTROL FILES. Retain in unit files as

KEYWORDS: active during period thatDocuments accumulated at the unit individual is in thelevel in administering the Army program.Weight Control Program. Included File in MPRJ upon trans-are requests for preliminary fer or separation, or uponmedical evaluation, results of satisfactory completionexamination by medical activity, of program by thenotifications by commander to the individual.individual soldier and responses

thereto, records of reexamination,certification by commander thatthe individual has met requirementsof the program, and similar information.

600-21a EO AND EEO REPORTING FILES. Destroy after 2 years.KEYWORDS:Documents with information onactivities and conditions relatedto equal opportunity (EO) for mil-itary personnel and equal employmentopportunity (EEO) for civilian em-ployees. Included are statistical

and narrative reports, trainingreport information, summaries andconsolidations, and related informa-tion.

600-21b EO AND EEO SURVEY FILES. Destroy after 2 years.KEYWORDS:Documents relating to surveys madeof the implementation and effective-ness of EO and EEO. Included arereviews, appraisals, recommendations,

6 final reports, and related documents.

A- 63

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C-2AR 340-XX (Test)

Number Description Di sposi ti on

600-21c EO AND EEO COMPLAINT FILES. Destroy after 2 years.KEYWORDS:Documents of complaints on EO and

PRIVACY EEO. Included are complaints, in-ACT: vestigative data and summaries,A0614.03a findings of fact statement, finalDAPE disposition reports, acceptance statements,

withdrawal notices, and related information.

600-31a PERSONNEL ACTION SUSPENSE REPORT- Destroy on submission ofING FILES. final status report.KEYWORDS:Copies of reports for suspension offavorable personnel actions. Also,these documents are used to flag andreport information that warrants sus-pension of personnel actions underAR 600-31 and AR 604-10. Maintain asprovided for in those two regulations.

600-33a LINE-OF-DUTY FILES. Destroy after 5 years.KEYWORDS:K O, Documents related to deciding the

PRIVACY line-of-duty status, and the in-ACT: vestigation of incidents that requireA0708.18a a line-of-duty determination. Included .-

DAAG are --

a. Statements of medical examinationsand duty status.b. Reports of investigations - line-of-

duty and misconduct status, notificationsof findings, and related information.

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600-50a STANDARD OF CONDUCT FILES. Destroy after the next per-KEYWORDS: iodic application of the . -

Documents relating to procedures procedure, or 1 year afterto assure that all personnel obsolescence of the procedure.fully understand the standards ofconduct required of them.

-------------------------------- --------------------------------------------------

600-55a OPERATOR'S EXAMINATION AND Operator qualification record:,''.."

QUALIFICATION RECORD FILES. Transfer with MPRJ or Civiliar,KEYWORDS: Personnel Folder, as applicabl

PRIVACY DA Form 348 (Equipment Operator'sACT: Qualification Record), driver Tests and exams: Destroy

A1207.08a tests, and exams. after recording on qualifi-

DAPE Ication record.

A-64

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AR 340-XX (Test)


600-85a ALCOHOL AND DRUG ABUSE Destroy after 2 years.MANAGEMENT FILES.KEYWORDS:Documents on implementation andstatus of the Alcohol and Drug AbusePrevention and Control Program.Included are --a. Reports and lessons learned.b. Identification.c. Treatment and rehabilitation.d. Evaluation.e. Research and development.

600-85b ALCOHOL AND DRUG ABUSE Destroy after 6 years.DEPENDENCY INTERVENTION COUNCIL(ADDIC) MEETING FILES.KEYWORDS:Documents on periodic meetingsof interservice, command, orinstallation ADDDIC's. Included arenotices, agenda, minutes, ofmeetings, and related documents.

600-85c ALCOHOL AND DRUG ABUSE Destroy when no longerSTATISTICAL FILES. needed.KEYWORDS:Documents reflecting statisticson the Alcohol and Drug AbusePrevention and Control Program.Included are compilations andrelated information.

A-6 5

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AR 340-XX (Test)

601: PERSONNEL PROCUREMENT

Prescribing Directive(s): AR 601-280, Army Reenlistment Program

These records concern enlistment and reenlistment of enlisted personnel,recruiting activities, and other matters relating to the entry ofpersonnel into the Army.


601 GENERAL PERSONNEL PROCUREMENT Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for generalcorrespondence relating to personnelprocurement that cannot logicallybe filed with the detailed recordslisted below.

601-280a REENLISTMENT ELIGIBILITY FILES. Forward with MPRJ inKEYWORDS: accordance with

PRIVACY Reenlistment data cards or AR 640-10. DestroyACT: individual forms with data on reenlistment ofA0702.04 personnel records. The cards are the soldier or onDAPC maintained to determine soldier's scheduled

reenlistment eligibility of date of separation.enlisted soldiers and to recordreenlistment counselling.

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AR 340-XX (Test)

606: PERSONNEL IDENTIFICATION

Prescribing Directive(s): AR 606-5, Identification Cards, Tags, andBadges

These records concern the preparation, issue, use, accountability, anddisposition of cards, tags, badges, and fingerprint records required toidentify Department of the Army personnel for various reasons.


606 GENERAL PERSONNEL IDENTIFICATION Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to personnelidentification that cannot logicallybe filed with the detailed recordslisted below.

606-5a MILITARY IDENTIFICATION CARD Destroy after 1 year.A APPLICATION FILES.

KEYWORDS: .

PRIVACY j Documents of applications for mili-ACT: tary identification cards. IncludedA0509.02a are copies of DA Form 428 (ApplicationDAAG for Identification Card) and related

information.

606-5b IDENTIFICATION CARD REGISTER Destroy after 5 years.FILES. Destroy bound registersKEYWORDS: 5 years after last -

Documents used to maintain entry.accountability for militaryidentification cards. Includedare registers and similardocuments.

606-5c IDENTIFICATION CARD REQUISITION Destroy in CFA after 5FILES. years.KEYWORDS:Documents used to requisition, drawdown, or request stocks of blankidentification cards, submitted byan end-use activity. -

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AR 340-XX (Test)

608: PERSONAL AFFAIRS

Prescribing Directive(s): AR 608-15, Army Savings ProgramAR 608-50, Legal Assistance

These records concern matters of personal interest to the soldier, his orher dependents, and the community, such as insurance, social security,voting, citizenship, and handling and responsibility for personalproperty.


608 GENERAL PERSONAL AFFAIRS Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general corres-pondence relating to personalaffairs that cannot logically befiled with the detailed recordslisted below.

608-15a SAVINGS BOND REPORTING FILES. Destroy after 3 years. .. .KEYWORDS:Documents relating to bond sales andpurchases. Included are payrolldeductions, bond reports, andrelated documents.

608-50a LEGAL ASSISTANCE INTERVIEW RECORD Destroy after 1 year.FILES.KEYWORDS:

PRIVACY Documents containing--ACT: a. Personal data concerning eachA0402.07 person given legal assistance.DAJA b. The attorney consulted.

c. A summary of the problemsconsidered.d. Advice rendered.e. Referrals made.

A-68

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AR 340-XX (Test)

630: PERSONNEL ABSENCES

Prescribing Directive(s): AR 630-5, Leave, Passes, Permissive TemporaryDuty, and Public Holidays

These records concern leaves of military personnel, including types,entitlement, computations, and recording; procedures pertaining to mill-tary personnel who are absent without leave or in a desertion status;absences from regular duty or post due to pass; authorized administrativeabsence, and public holidays.


630 GENERAL PERSONNEL ABSENCE Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to personnelabsences that cannot logically befiled with the detailed recordslisted below.

Se- 630-5a LEAVE OF ABSENCE FILES. Destroy after 6 months.KEYWORDS:Copies of DA Form 31 (RequestAuthority for Leave) used torequest and grant leave forsoldiers.

630-5b LEAVE CONTROL LOG FILES. Destroy after 1 year.KEYWORDS:DA Form 4179-R used to controlabsences from unit. Included arelogs and related information.

A-69

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C-1AR 340-XX (Test)

635: PERSONNEL SEPARATIONS

Prescribing Directive(s): AR 635-200, Enlisted Personnel

These records concern separation of soldiers through relief orrelease from active duty, discharge, retirement, resignation,elimination, and dropping from the rolls; types of dischargeand reasons therefor; and physical evaluation of individuals forretention, separation, or retirement.


635 GENERAL SEPARATIONS CORRESPONDENCE. Destroy after 2 years.KEYWORDS:Use this number for generalcorrespondence relating to personnelseparations that cannot logically befiled with the detailed recordslisted below.

635-200a DISCHARGE BOARD PROCEEDINGS FILES. Files o soldiers

KEYWORDS: confined by civilDocuments about considering authorities: Destroyindividual soldiers for separ- 2 years after discharge.-'-ation by reason of convenienceof the government, dependency or Files on other soldiersthardship, defective enlistment or Destroy after 2 years.induction, pregnancy, alcohol orother drug abuse, good of theservice, unsatisfactory performance,misconduct, or homosexuality.Included are individual dischargecases; excluded are documents whichare to be filed in the OMPF or MPRJ.

A-.70

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AR 340-XX (Test)

638: DECEASED PERSONNELI

Prescribing Directive(s): AR 638-1, Disposition of Personal Effectsof Deceased and Missing Persons

These records concern the disposition of personal effects of deceased andmissing persons.


638 GENERAL DECEASED PERSONNEL Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to deceasedpersonnel that cannot logically befiled with the detailed recordslisted below.

638-la PERSONAL EFFECTS CASE FILES. Destroy 2 years afterKEYWORDS: disposition of theDocuments relating to receipt effects, except thatand disposition of personal files connected witheffects of a soldier, and casualties from armedGovernment property that was in conflict will bethe soldier's possession. destroyed 2 years afterIncluded are -- cessation of the

a. Inventories. conflict or dispositionb. Certificates of removal of of the effects," which-

prohibited items from baggage; ever is later.c. Lists of miscellaneous

collections.d. Tally sheets and shipping

lists.e. Related information.

A0

A-70 1 [-..

o . • . .• ° .- ° -. .. . . . . .. - . * °. ..o . . o-.. ° . -. ... . .* .x-• . - -,%°.. ., .= o .* .•° - . * * . .

I

AR 340-XX (Test)

640: PERSONNEL RECORDS

Prescribing Directive(s): AR 640-10, Individual Military PersonnelRecords

These records concern the initiation, transmittal, maintenance, anddisposition of personnel files; documents authorized for inclusion inpersonnel files; location of military personnel records; and access torecords by authorized individuals.


640 GENERAL PERSONNEL RECORDS Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general corres-pondence relating to personnelrecords that cannot logically befiled with the detailed recordslisted below.

640-i0a MILITARY PERSONNEL RECORDS JACKET Maintain, forward, andJ (MPRJ) FILES. dispose of DA Form 201

PRIVACY KEYWORDS: (MPRJ) and its contentsACT: Documents that pertain to the in accordance withA0708.01a soldier's career and current AR 635-10 and AR 640-10.DAPC assignment are in this file.

The jacket goes with the soldier onchange of assignment. These papersare restricted to those authorizedby AR 640-10.,

640-l0b QUALIFICATION RECORD EXTRACT Destroy on transfer orFILES. separation of soldier.KEYWORDS:Documents of data from personnelqualification records, such asDA Form 2 and DA Form 2-1.

A-71

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AR 340-XX (Test)

672: DECORATIONS, AWARDS, AND HONORS

Prescribing Directive(s): AR 672-5-1, Military Awards

These records concern eligibility, presentation, and wearing of medals,decorations, badges, and tabs; unit awards and streamers; special awardsand honors for outstanding service or accomplishment; honors and cere-monies accorded distinguished visitors; and salutes, honors, and visitsof courtesy.


672 GENERAL DECORATIONS, AWARDS, AND Destroy after 2 years.HONORS CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to decorations,awards, and honors that cannotlogically be filed with the detailedrecords listed below.

672-5-la UNIT AWARD CASE FILES. Destroy after 1 year.KEYWORDS:Documents on recommending, reviewing,and approving or disapproving awardsfor units. Included in each case areapproved or disapproved requests,certificates, and related information.

672-5-lb AWARD CEREMONY FILES. Destroy after 2 years.KEYWORDS:Documents on presenting awards.Included are requests for troopsupport, diagrams, citations, andrelated information.

672-5-1c MILITARY AWARD CASE FILES. Destroy after 2 years.KEYWORDS:

PRIVACY Documents on recommending, reviewing,ACT: and approving or disapproving mili-A0718.01 tary awards for individual soldiers.DAPC Included are requests and related

information.

Note. The two-year retention of these records appliesonly to the documentation retained at the level of theoriginating (recommending) unit, to which this regulationapplies. The official record of the award is maintained(and retired) by the approving authority, at a higherechelon, in accordance with file numbers 713-05 and •0718-06 in AR 340-18-7.

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AR 340-XX (Test)

680: PERSONNEL INFORMATION SYSTEMS

Prescribing Directive(s): AR 680-1, Unit Strength Accounting andReportingAR 680-31, Military Personnel Asset Inventoryand Strength ReconciliationAR 680-201, Enlisted Accession Cards (RCSMILPC-6)

These records concern the functions and procedures involved in personnelaccounting, and reporting of data concerning military and civilianpersonnel.

Note. Records relating to SIDPERS (numbers 680a through 680d, below)are prescribed by the DA Pamphlet 600-8-series, SIDPERS User Manuals;however, for consistency of numbering under MARKS, they are identifiedhere with the related AR 680-series.


680 GENERAL PERSONNEL INFORMATION Destroy after 2 years.SYSTEMS CORRESPONDENCE.Use this number for general cor-respondence on personnel informationsystems that cannot logically befiled with the detailed recordslisted below.

680a SIDPERS REPORTING FILES. Dispose of in accordanceKEYWORDS: with DA Pam 600-8-series.Computer-generated reports per-taining to strength accounting,organizational and personnelrecord-keeping, information exchangewith other automated systems, commandand staff reporting designed for use bythe functional manager, personnel man-ager, and data analysts (but not in-cluding Personnel Strength Zero BalanceReport, SIDPERS C-27, for which seenumber 680c below).

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AR 340-XX (Test)


680b PERSONNEL DATA CARD FILES. Destroy 75 years afterKEYWORDS: last entry. Retire to

PRIVACY DA Forms 2475-2 (Personnel National PersonnelACT: Data - SIDPERS) reflecting Records Center (MPR)A0715.01a historical, legal, and personnel after 1 year in CFADAPC data plus SIDPERS change report or RHA.

remarks on members assigned orattached to a unit. Included arepersonnel data cards.

680c PERSONNEL STRENGTH ZERO BALANCE Unit Office of Record:REPORT FILES. The "reconciled" C-27KEYWORDS: report will be cut offThis report (SIDPERS C-27) is a annually or when theproduct of the Standard In- reporting unit is reducedstallation/Division Personnel to zereo strength; heldSystem (SIDPERS), which is a 1 year in CFA or RHA, andstandard, automated, integrated retired to Nationalpersonnel system designed Personnel Records Centerto provide personnel data (MPR) with next regularsupport at corps, division, shipment. Destroy 56brigade, battalion, and unit years after cutoff.levels. It replaced the MorningReport, for which phase-out beganin 1973. SIDPERS is an integralpart of the Army's Personnel In-formation System. The two majorfunctions of this report are (1)strength accounting, and (2) correctduty status of each member of theArmy on the last day of each month.Only the SIDPERS C-27 Report will bemaintained and retired under thisnumber after reconciliation bythe reporting unit.

680d INDIVIDUAL PERSONNEL CHANGE FILES. Dispose of in accordanceKEYWORDS: w/DA Pam 600-8-series.

Documents for reporting an updateof the data processing activityfile. Include4d are punched cards,DA Forms 3815, and relatedinformation.

680-la PERSONNEL SUSPENSE CARD FILES. Transfer with MPRJ as* KEYWORDS: prescribed in AR E40-10.

Documents used by personnel Destroy on separation.offices to assure that personnelactions are done on time.

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AR 340-XX (Test)


680-lb MILITARY PERSONNEL REGISTER FILES. Destroy after 6 months.#KEYWORDS:,

PRIVACY Documents with signatures used toACT.: record absences, time of departure -

A0716.04a or arrival, individual authorizingDAA absence, destination and address,

length of absence, and similarinformation.

680-ic INFORMATIONAL PERSONNEL FILES. Destroy after 3 yearsKEYWORDS: or destroy 1 year after

PRIVACY Documents accumulated at various transfer or separation ofACT: command levels exercising admin- the individuarl (which-A0703.01 istrative jurisdiction or as a ever is most convenientDAPC result of routing correspondence for the office main-

through normal channels. In- taining the records.)cluded are copies of documentsfiled in the MPRJ, transmittingdocuments, and documents reflectingduty assignments and appointments,changes in personnel data, leaveauthorizations, branch transfers anddetails, authorization for separaterations, wearing civilian clothing,and r.elated information.

680-31a ARMY STRENGTH REPORTING FILES. Destroy when no longerKEYWORDS: needed for currentDocuments compiled to report operations.actual or projected strength ofthe Army and various segments orcategories thereof. Included are --

a. Printouts and listings.b. Personnel Asset Inventories.c. ADP summaries.d. Related information.

680-201a DEPARTURE CLEARANCE FILES. Destroy after 1 year.0 KEYWORDS:

PRIVACY Documents of clearance proceduresACT: for departing soldiers. IncludedA0706.02 are clearance certificates, check-DAAG lists, and related information.

6

A-75

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AR 340-XX (Test)

710: INVENTORY MANAGEMENT

Prescribing Directive(s): AR 710-2, Supply Policy Below the WholesaleLevel

These records control of supply items, including establishing and main-taining requisitioning objectives and maintaining inventory data on thequality, location, and condition of supplies and equipment due in, onhand, and due out, to determine the quantities of materiel availableand/or required for issue; and to facilitate distribution and manage-ment of materiel.


710 GENERAL INVENTORY MANAGEMENT Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to inventorymanagement that cannot logicallybe filed with the detailed recordslisted below.

710-2a PROPERTY BOOK AND SUPPORTING Destroy after 2 years,DOCUMENT FILES. except:KEYWORDS: a. Open document num-Documents of the description, bers in the supportingreceipt and turn-in of property document file will befor which the property book transferred to theofficer is accountable. In- current calendar yearcluded are -- document file (see note

a. Property books (install- following dispositionation or organization property of number 710-2b).record.) b. DA Forms 3643b. Documents showing issues (Daily Issues of Petro-

of petroleum products and leum Products) will bemonthly abstracts of issues. destroyed after 1 year

c. Receipts. (however, the monthlyd. Turn-in slips, abstract contained one. Inventory adjustment DA Form 3644 is retained

reports. for 2 years.)f. Other documents supporting

entries to the property book.

Note. When an activity is to be discontinued, the installa-to commander will have the pertinent property books exam-ined by a qualified representative to determine that theyhave a zero balance. Re/she will verify that all propertyhas been turned in or otherwise accounted for. if theexaminer is satisfied and feels that a formal audit isunnecessary, the installation commander will insure that therecords are destroyed on completion of the examination ordiscontinuance of the activity.

A-760i

AR 340-XX (Test)


710-2b DOCUMENT REGISTER FILES. Destroy after 2 years.KEYWORDS:Registers listing the document Note. At the end ofnumber and type of supply action the year, fiscal or cal-taken on documents that support endar -- however theentries to the property book. record is maintained --

Included are document registers the register becomesfor supply actions and compar- inactive and a new regis-able forms. ter is started. The old

register is held in theCFA for 2 years; duringthat 2 years, any opentransactions that arecompleted are closed out(posted) on the old,inactive register. Atthe end of the 2-yearretention period, theopen numbers (if anystill exist) are trans-ferred to the newdocument register, andthe old, inactive regis-ter is then destroyed.

710-2c HAND RECEIPT FILES. Destroy on return orKEYWORDS: other complete accounting

PRIVACY Receipts relating to the for item involved.ACT: loan and return of property andA1416.16 supplies. Included are hand receipts,DALO requests, issue slips, turn-in slips,

and related papers. Excluded arehand receipts for Soldier Issue Files,for which see number 710-2g below.

710-2d PROPERTY RECORD INSPECTION Office conducting inspec-REPORTING FILES. tion: Destroy after 3KEYWORDS: years.Documents relating toinspections of unit property Office inspected:records and procedures, with Destroy after 1 year.results of semiannual inspec-tion. Included are reports,replies, and related documents.

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AR 340-XX (Test)

Number Descriction Disposition

710-2e PROPERTY OFFICER DESIGNATION Destroy 2 years afterFILES. termination of

PRIVACY Documents that designate prop- appointment.ACT: erty officers. Included areA1416.05 letters of appointment,DALO revocations, and related

information.

710-2f PERSONAL PROPERTY ACCOUNTING Destroy 2 years afterI FILES. disposition of property.

PRIVACY Documents showing items ofACT: personal property of individualsA1416.20 absent without leave or sickDALO in medical facilities. Included

are inventories of personalproperty and related information.

710-2g SOLDIER ISSUE FILES.KEYWORDS:Documents reflecting accountabilityfor items signed for by individualsoldiers. Records are maintainedat unit level in single, by-namefolder for each soldier. Included are --

PRIVACY a. Hand receipts for bedding, Destroy upon return or%|ACT: linen, foot lockers, and simi- other complete accountinglA1416.16 lar items issued by the unit for items involved.SDALO supply room.

PRIVACY b. Personal clothing records, Installation ClothingACT: consisting of DA Form 3078 and Initial Issue Point:A1416.34 similar forms. Destroy after 2 years.DALO Active Army: Destroy

after 6 months pro-vided inventory has beenaccomplished withoutdiscrepancy.Reserve Components:Destroy on separation.

c. organizational Clothing Issue Point: Destroy 6and Equipment (OCIE) records, months after transfer ofconsisting of DA Form 3645 and individual or othersimilar forms. relief from accounta-

bility.Unit: Forward to gainingorganization on transfer;destroy on separation.

(See next page for illustration .......

A-78

AR 340-XX (Test)

Note. When number 710-2g, SOLDIER ISSUE FILES,is used, a dummy folder will be prepared for thebeginning of the series as illustrated below. Thelabel of the dummy folder will show all three ofthe disposition instructions; the individualfolders that follow need only show the identifyingdata of the individual concerned.

Individual BILLINGSLEY, Charles F.folders

ADAMS, William R.

710-2g SOLDIER ISSUE FILESDummy ACTIVE. PIF or Destroy as indicated:folder HR - Destroy on rtn or other complete

(Taped acctg for items. 3078 -Destroy -shut)after 6 months. 3645 - Fwd togaining orgn on transfer; destroyon separation.

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AR 340-XX (Test)


710-2h ACCESS CONTROL RECORDS.KEYWORDS:Information used to maintain accounta-bility for keys, inventory keys and locks,and to record entry into containers orvaults. These records are used in thephysical security of conventional arms,ammunition, explosives, and medicallysensitive materiel storage programs.Included are --

a. Key control registers. Destroy 90 days afterreturn of all keys.

b. Key and lock inventory Destroy after 1 year.records.

c. Forms used to record entry Destroy after completioninto vaults or containers, of first entry on new

form.

710-21 PROPERTY LOSS, THEFT, AND Weapon inventories:RECOVERY REPORTING FILES. Destroy after 1 year.KEYWORDS:Weapon inventories, and reports Loss, theft, andrelating to the loss, theft, recovery reports:and recovery of firearms, Destroy 1 year afterammunition, and related items. recovery of item or

after 5 years, which- .

ever Is first. Retainin CFA.

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AR 340-XX (Test)

735: PROPERTY ACCOUNTABILITY

Prescribing Directive(s): AR 735-11, Accounting for Lost, Damaged,and Destroyed Property

These records concern accounting for lost, damaged, and destroyedproperty, and fixing responsibility therefor.

Number DescriDtion Disposition

735 GENERAL PROPERTY ACCOUNTABILITY Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to propertyaccountability that cannot log-ically be filed with the detailedrecords listed below.

------------------------------------------------------- --------------

735-11a REPORT OF SURVEY FILES. Reports involving pecun-KEYWORDS: iary liability: DestroyReports that describe the cir- 5 years after completioncumstances, and recommend action of final action (officeconcerning the loss, damage, or taking final action).destruction of Government prop-erty. Included are reports of Other reports: Destroysurvey and supporting documents. 3 years after completion

of final action.

735-11b REPORT OF SURVEY CONTROL Destroy after 5 years.REGISTER FILES. -

KEYWORDS:Registers and related documentsmaintained to control reports ofsurvey.

* 735-11c RELIEF FROM RESPONSIBILITY DD Form 1131: Destroy

(LIABILITY ADMITTED) FILES. 3 months after completionKEYWORDS: of collection action.Retained unit copies of state-ments of charges or cash collec- DD Form 362: Destroy 3tion vouchers on property which months after verificationhas been lost, damaged, or that all amounts have beendestroyed, and for which collected from the soldier'.liability is admitted by the pay.responsible individual. In-cludes DD Form 1131, Cash Collec-tion Voucher; DD Form 362, State-ment of Charges; and similar forms

- and records. DOES NOT INCLUDEthose copies of forms that supportentries to the property book, whichare filed under 710-2a.

A-81

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C-IAR 340-XX (Test)

750: MAINTENANCE OF SUPPLIES AND EQUIPMENT

Prescribing Directive(s): The maintenance records in this sectionare prescribed by TM 38-750, The ArmyMaintenance Management System (TAMMS).However, for consistency of numberingwithin MARKS, they are identified herewith the related AR 750-series dealingwith equipment maintenance.

These records concern actions taken to retain materiel in a serviceablecondition or to restore it to serviceability. Maintenance actionsinclude inspect-ion, testing, servicing, classification as to service-ability, repair, rebuild, and reclamation. Also included are activitiesand operations responsible for maintenance functions.


750 GENERAL MAINTENANCE CORRESPONDENCE. Destroy after 2 years.KEYWORDS:Use this number for general cor-respondence relating to maintenanceof supplies and equipment thatcannot logically be filed with thedetailed records listed below.

750a MAINTENANCE SUMMARY AND MANAGE- Consolidated reports andMENT FILES. summarizations: DestroyKEYWORDS: when no longer needed forDocuments relating to data current operations.summaries of maintenance manage-ment operations and functions. Feeder reports: Destroy

a. Copies of prepared forms on extraction of data.(control forms) used in managingthese maintenance functions: Other reports: Destroy

(1) Forecasting workloads, when no longer neededand scheduling and routing for current operations.work flow.

(2) Work time standards.(3) Cost and quality control.(4) Operation and equipment

improvement.b. Machine-prepared reports

giving data on:(1) Cost, time, and labor use.(2) Repairs, services, and parts.

- (Continued on next page ......... )

A-82

L. . . . . . . . . . . . . . . . . °. .. . . . ,- -. -K '- -; ,? -... :-" "" ""- - --'- '.: - -. -'- '. .,. -.. "-'..., " .: '. .:.. .,.< -'. ,.'-.i.l..,f'.',r. .: , .. .' --. -'- . . . . . ,

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AR 340-XX (Test)


(3) MWO progress by end item orWO number.

(4) Equipment status, improvement,inventory, and deadline data.

(5) Combined maintenance and partsfailure.

(6) Materiel readiness.(7) Related information.c. Included are reports, summaries,

listings, tabulations, machine runs,and control copies with supportingdata.

750b HISTORICAL RECORD OR LOGBOOK Dispose of in accordanceFILES. with TM 38-750.KEYWORDS:TM 38-750 prescribes the use ofequipment logbooks and maintenancerecords. This record begins whenthe equipment is delivered. It isidentified and goes with the equipmentuntil it is uropped from the Armyinventory. The maintenance documentsprovide commanders with current dataon the readiness and condition of theequipment. Also, these records pro-vide maintenance workers with dataon past maintenance so they canquickly determine the next neededmaintenance.

TM 38-750 provides for the following:a. Lists the forms that comprise

the historical record.b. Provides transfer and disposition

instructions for the forms.c. Outlines disposition or transfer

procedures for documents related toequipment involved in MilitaryAssistance Program.

d. Lists each type of equipmentfor which a historical file is to becreated and maintained.

S A-83

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AR 340-XX (Test)


750c MAINTENANCE REQUEST FILES. Dispose of as provided byKEYWORDS: TM 38-750.a. Documents which request

maintenance services, reportcompletion of MWO's, record main-tenance performed, report receiptof defective materiel, and submitequipment improvement recommendations.

b. A single form is prescribed foruse as an individual work request,to report completion of modificationaccomplishments, as an equipmentimprovement recommendation, and inrecording two or all three of thesefunctions.c. Related records include transfer

and rejection memordandums, propertyissue and turn-in slips, labor timetickets, and similar information.

750d MAINTENANCE REQUEST REGISTER Destroy 6 months afterFILES. last entry.KEYWORDS:Documents (usually registers) usedto record and control maintenance work.

750e EXCHANGE TAG FILES. Destroy on return orKEYWORDS: issue of relatedDocuments (usually tags) used equipment.as receipts for replacement ofparts or components.

750f PREVENTIVE MAINTENANCE SCHEDULES. Destroy after transfer-KEYWORDS: ring the required infor-Documents used for scheduling mation to other records,periodic preventive maintenance or on disposition of theservices, load tests, and cali- related equipment, which-bration of assigned equipment. ever is first.This schedule should be trans-ferred with the related equipment.

750g EQUIPMENT INSPECTION AND MAIN- Destroy on posting toTENANCE WORKSHEET FILES. re'c ted equipment log-KEYWORDS: b- K; on enteringDocuments reflecting preventive duficiences on a newmaintenance inspection; services; form; or on completiondiagnostic checkouts, and spot- of next serviceabilitycheck inspection of equipment. test or check, as

applicable.

A-8 4

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AR 340-XX (Test)

870: HISTORICAL ACTIVITIES

Prescribing Directive(s): AR 870-5, Military History Responsibilities,Policies and Procedures

These records concern organizational history, lineage, and honors.


870 GENERAL HISTORICAL ACTIVITIES Destroy after 2 years.CORRESPONDENCE.KEYWORDS:Use this number for general cor-respondence relating to historicalactivities that cannot logically befiled with the detailed recordslisted below.

870-5a ORGANIZATIONAL HISTORY FILES.KEYWORDS:Documents reflecting the organi- Permanent. Transfer tozational history as described HQDA (DAMH-HSR), WASHin AR 870-5. Included are -- DC 20314 when the unit

% a. Unit history and annual is discontinued, dis-supplements. banded, inactivated, or

b. Copies of lineage and reduced to zero strength.honors certificates. They may also be trans-

c. Data on organizational ferred if the unit isflags, coats of arms, and dis- temporarily unable totinctive insignia, provide proper care ford. Citations for organiza- them.

tional decorations.e. Newspaper, book, and magazine

clippings.f. Unframed photographs, pic-

tures, certificates, letters, programs,and other data relating to historicalceremonies and organizational traditions.g. Names and social security numbers

of all commanders and dates of changesor assumptions of command.h. Copies of letters and orders

pertaining to activations, inactiva-tions, redesignations, reorganizations,reductions to zero strength,assignments, attachments, detachments,the entry into or release fromactive military service.

i. Other documents of value to thespecific organization.

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AR 340-XX (Test)

APPENDIX B

RECORD CENTERS AND MAJOR STORAGE AREAS

This appendix identifies the record centers and major storage areas towhich users of this regulation may have occasion to send inactiverecords. The installation or activity records manager should beconsulted if more information is needed.

Name/address of recordcenter or major storage area Type of records maintained

1. WASHINGTON NATIONAL RECORDS All Army records which are eligibleCENTER for retirement to a record center,

unless a different disposition isa. For shipments by USPS: specified in appendix A.

Washington, DC 20409

b. For common carrier shipments:

4205 Suitland RoadSuitland, MD 20023

. 2. NATIONAL PERSONNEL RECORDS File number 680b.CENTER, GSA (Military Records)9700 Page BoulevardSt. Louis, MO 63132

3. USA RESERVE COMPONENTS PERSONNEL File numbers 140-185a and 145-1d.AND ADMINISTRATION CENTER9700 Page BoulevardSt. Louis, MO 63132

4. Oversea command record holding All files designated for transferareas: under chapter 5, this regulation.

a. US Forces Support District (Norddeutschland)ATTN: OCRHAAPO NY 09069

b. OCRHA KoreaAPO SF 96259

c. USARJ OCRHAAPO SF 96343

B-1

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AR 340-XX (Test)

APPENDIX C

REFERENCES

Required Publications:

AR 340-21 The Army Privacy Program. Cited in paragraphs8-ic and 9-2c(2) (a).

AR 380-5 Department of the Army Supplement to DODISPR.Cited in paragraphs 8-la and 9-2c(9) (b).

Related Publications:

AR 37-104-3 Military Pay and Allowances Procedures.

AR 40-66 Medical Records and Quality Assurance Admin-istration.

AR 145-1 Senior ROTC Program Organization, Admin-istration, and Training.

AR 310-2 Identification and Distribution of DA Publi-cations.

AR 310-10 Military Orders.

AR 310-50 Authorized Abbreviations and Brevity Codes.

AR 340-2 Maintenance and Disposition of Records forTOE and Certain Other Units of the Army -

AR 340-17 Release of Information and Records from ArmyFiles.

AR 340-18-series The Army Functional Files System (TAFFS).

AR 340-20 Office Copiers.

AR 340-22 The Army Micrographics Program.

AR 380-13 Acquisition and Storage of Information Con-cerning Nonaffiliated Persons and Organiza-tions.

AR 15-6 Procedures for Investigating Officers andBoards of Officers

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AR 340-XX (Test)

Related Publications (Continued):

AR 600-31 Suspension of Favorable Personnel Actionsfor Military Personnel in National SecurityCases and Other Investigations or Pro-ceedings.

AR 604-10 Military Personnel Security Program.

AR 635-10 Processing Personnel for Separation.

AR 640-10 Individual Military Personnel Records.

AR 870-5 Military History Responsibilities, rol-icies and Procedures.

TM 38-750 The Army Maintenance Management System(TAMMS).

DA Pam 600-8-series MILPO Procedures / SIDPERS Users' Manuals.

C

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AR 340-XX (Test'

IThe proponent agency of this test regulation Iis The Adjutant General's Office. Users areinvited to submit comments and suggested im-provements as prescribed by test instructions,which will be furnished separately. -


E. C. MEYERGeneral, United States Army

Official: Chief of Staff

ROBERT M. JOYCEMajor General, United States Army

The Adjutant GeneralDN


~|

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HANDOUT#1.

The Modern Army Record-Keeplop System [MARKS]

Identifying records of theI5TH BATTALION,73RD ARMOR__

under MARKS

Prepared by

Administrative management Directorate

Office. of The Adjutant. General

Alexandria.. VA 2233I 1 Ne ep

Howard Smitli., Ft Knox HM0, tel.. 4917Enc#3John Vos,TAGO, AUTO VON 221-8044

Eni#3to Chapter 4

rI

IDENTIFYING RECORDS UNDER THE


1. This handout will help you identify the subject area intowhich a record falls. It is an extract of Table 2-1, AR 310-2,and contains the basic series numbers, titles, and descriptionsfor the Army's administrative-type publications. There are 102such series in all*.

2. To identify a document under MARKS, first scan this handoutfor the subject area which applies, then go to that section ofyour MARKS regulation.

FOR EXAMPLE: You want to file a letter announcingresults of the recent IG inspection of5/73rd Armor.

It is obvious that the subject of theletter is inspection.

You will see, on the next page, thatseries 20 deals with Inspectionsand Investigations.

In your MARKS regulation, under 20,you will find the exact file numberyou need --

Number Description

20-la IG Inspection Files

3. The relationship among the file number, the series number asshown in this handout, and the number of the prescribing direc-tive that requires the record be created (and maintained, andused) is shown here --

Series # = ) = Inspections & Investi-gations

Pre- = AR(21 Inspector General Activ-scribing ities and ProceduresDirective -

File # = "2-la IG Inspection Files

• Within 5/73 Armor, most of these series won't apply. We have

included all of the series numbers and titles here for your in-formation, but give you the full description only on those withwhich you might deal in your unit.

4. The following list represents all the subject areas in theArmy. REMEMBER...the series number lft-hand column) points youto the file number that you need in your MARKS regulation!

Series # Title Description

1 Administration Administrative functions, suchas control of office space,visits, attendance at meetingsand conferences, gifts anddonations, and other supportfunctions not specifically pro-vided for in other series.

5 Management (not normally used In 5/73)

10 Organization and Organization, mission, respon-Functions sibilities, duties, and

functions of commands, units,and organizations.

11 Army Programs (not normally used in 5/73)

12 Security Assistance (not normally used in 5/73)

15 Boards, Commissions, (not normally used in 5/73)and Committees

18 Army Automation (not normally used in 5/73)

20 Inspections and Inquiries, investigations, andInvestigations inspections into activities

and matters pertaining to theperformance of mission and thestate of discipline, efficiency,and economy of the Departmentof the Army by The InspectorGeneral and other inspectorsgeneral. Excludes criminal andsecurity investigations andmateriel inspections, which arein other appropriate subjectseries.

27 Legal Services Judiciary boards and pro-ceedings, decisions, opinions,and policies applicable tocivil law and military affairs;legal assistance for militarypersonnel and their dependents;policies and procedures rela-tive to patents, inventions,taxation, land litigation

7-. . .

- - - - - - - - - - -- - - - - - - - - - - - - .. . - . - - . . . . . ..

- --- -----

Series 4 Title Description

27 Legal Services (Continued)

involving the Army; trialby courts-martial, includingpretrial, trial, and post-trial procedures; nonjudicialpunishments; investigation,processing, settlement, and pay-ment of claims against or onbehalf of the Government whenthe Army is involved.

28 Welfare, Recreation, Responsibilities and proceduresand Morale for operation of the special

services program, which includesentertainment, sports partici-pation at various levels,crafts, motion picture services,libraries (other than law),service clubs, and other formsof recreation and welfare.

30 Food Program Commodities, resources, and ser-* - vices used, facilities operated,

and functions performed in thesupply and service of food.

32 Clothing and Tex- (not normally used in 5/73)

tile Materiel

34 Standardizaion (not normally used in 5/73)

36 Audit (not normally used in 5/73)

37 Financial Policies, procedures, direction,Administration and supervision of financial

functions, including budgeting,accounting, funding, entitle-ment, pay, expenditures, ArmyManagement structure and fiscalcode, and related reporting.

40 Medical Services Administration and operationof Army medical treatment facil-ities; medical, dental, andveterinary care; and medical,dental, and veterinary equipmentand supplies.

* 50 Nuclear and Chemical (not normally used in 5/73)Weapons and Materiel

3

Series * Title Description

55 Transportation and (not normally used in 5/73)Travel

58 Motor Transpor- Administration, registration,tation and management of motor

vehicles and motor pools; hiringof motor vehicles; inventorycontrol and reporting; mainten-ance cost reporting; safetyinspection of privately-ownedvehicles; transportation ofdependent school children; andutilization of highways.

59 Air Transportation (not normally used by 5/73)

60 Exchange Service (not normally used by 5/73)

65 Postal Service Policies, procedures, and in-structions covering worldwideArmy postal service. Includespostal finance services; trans-mission systems for mail; estab-lishment, operation, and dis-continuance of Army postoffices; unit mail service;ppstal supplies and equipment;customs requirements for itemssent through postal channels;and postal reports and records.

66 Courier Service (not normally used in 5/73)

70 Research, Develop- (not normally used in 5/73)ment and Acquisition

71 Force Development (not normally used in 5/73)

75 Explosives Responsibilities and proceduresin connection with use, safety,and disposition of explosives;and explosive ordnance disposalactivities.

95 Aviation Army flight regulations and op-erations; military aircraftidentification and security con-trol; Army aviator flyingproficiency and instrumentqualification, ratings, logging *of flying time, and records;

4

T~N 2 ,:,,. -, . 1 .'. . K,.; ;,"X,.~. • -.-.. *.- .'. ."°"-.,. . *- . . .-.. --.. -."-. - -.-..., ... . .. , .-. , "- i--

Series $ Title Description

95 Aviation (Continued)

investigation of flight viola-tions; flight information andnavigational aids; flyingsafety; airfields and heli-ports; techniques, procedures,and personal qualificationsinvolved in flight training.Publications pertaining to air-craft and aircraft materielas items of equipment or supplyare placed in the applicable700 series.

105 Communications- Policy, direction, planning,Electronics testing, and operation of

communications and electronicssystems, such as radio, tele-phone, teletypewriter, andradar.

108 Audio-Visual (not normally used in 5/73)Services

115 Climatic, Hydro- (not normally used in 5/73)logical, and Topo-graphic Services

130 Army National Guard (not normally used in 5/73)

135 ARNG and USAR (not normally used in 5/73)

140 Army Reserve Mission, organization, admin-istration, and training of theUS Army Reserve; functions re-lating primarily to the USAR,including but not limited tofacilities, equipment, logis-tical support, procurement,management, and separation ofUSAR personnel. Publicationsconcerning USAR personnel onactive duty are under theappropriate subject series.

145 Reserve officer's Functions, responsibilities,Training Corps organization, and procedures

concerning the administrationof the junior and senior div-isions of the Army ROTC programand divisions of the NationalDefense Cadet Corps.

5]

............................................................

4

Series i Title Description

165 Religious Activities (not normally used in 5/73)

190 Military Police Enforcement of military disci-pline; physical security;traffic control; control overfirearms and dangerous weapons;and apprehension, restraint,confinement, administration,sentences, parole,' restoration,and disposition of prisoners.

195 Criminal In- (not normally used in 5/73)vestigation

200 Environmental (not normally used in 5/73)Quality

210 Installations Administrative and managementfunctions pertaining to in-stallations and responsibilitiesof installation commanders.Subject areas include activa-tion and inactivation, site andmaster planning, quarters and _housing, commercial solicita-tion, financial institutions,sale of products and services,and similar functions at theinstallation level not speci-fically provided for in otherseries.

220 Field Organi- Mission, functions, organizationzations and status of field-type units

and activities such as activa-tion and inactivation, movement,training, mission readiness, andunit documents, such as rostersand journals.

230 Nonappropriated Administration of the accountingFunds and Related for nonappropriated funds andActivities activities financed from

nonappropriated funds.

235 industrialized (not normally used in 5/73)Activities andLabor Relations

290 Cemeteries (not normally used in 5/73)

310 Military Publi- Policies and procedures forcations preparation, review, approval,

...........................................

Series * Title Description

310 Military Publi- (Continued)cations

production and distribution ofofficial publications; media andnumbering; forms management;field printing and duplicating;and implementation of publiclaws and Government regulationson printing and duplicating.Procedure for preparation andpublication of authorizationdocuments (criteria for man-power and equipment require-ments are in the 570 series).Indexes, Army dictionary,abbreviations, and other iss-uances necessary to maintaincurrent and to understand Armypublications and DOD and otherpublications used by the Army.

325 Statistics (not normally used by 5/73)

335 Management Infor- (not normally used by 5/73)mation Control

340 Office Management Policies, procedures, andformats for preparing Armycorrespondence; channels ofcommunication; and officesymbols used by the Army.Receipt, distribu:ion, prep-aration, and transmission ofmail; control and methodsof transmitting official mail;mailing addresses; and othermatters relating to mailservice. Maintenance, eval-uation, disposal, retirement,and storage of records for whichthe Army is responsible; infor-mation pertaining to filingequipment; document reproduct-ion; safeguarding nondefenseinformation; and release ofinformation and records con-tained in Army files.

7

*:.< .

-1


350 Training Instruction of personnel in per-formance of military functionsand tasks and exercises involv-ing units to increase theircombat readiness. Includesbasic training; individualtraining in military techniques,doctrines, and tactics. Alsoincludes on-the-job training formilitary and civilian personnel,such as supervisory, management,first aid, security, recognit-ion, and physical. Excludessubjects included in 351, 352,and 621 series.

351 Schools (not normally used in 5/73)

352 Dependents' (not normally used in 5/73)Education

360 Army Public (not normally used in 5/73)Affairs

380 Security Identification, classification,downgrading, declassification,dissemination, and protectionof defense information; storageand destruction of classifiedmatter; industrial security;investigations involving compro-mise of classified information;access to classified data; andother matters pertaining tosecurity. Also policies,responsibilities, and functionsas they affect security anddefense on a national level.Protection and preservation ofthe military, economic, andproductive strength of theUnited States, including thesecurity of the Government indomestic and foreign affairs.

381 Military Collection, identification,Intelligence evaluation, control, classi-

fication, and disseminationof general and technicalintelligence data. Mattersrelating to subversion,espionage, and counter- .1intelligence activities.

I

• "-"Y~~~~~~~~~~~~~.". -"-"......"..', .-.. " ..... .... .. .. ... .. .. .. .- .. ... . ." . .. "'


385 Safety Administration of the Army psafety program, which isdirected toward accidentprevention Army-wide. Pro-gram responsibilities includeconducting studies and surveysto determine unsafe practicesand conditions, insuring thatmishaps are reported and inves-tigated, establishing reportingformat procedures, analyzing andevaluating accident reports,providing safety education, andmaintaining statistical dataon accident prevention. Pub-lications on flying safety,nuclear accidents and incidents,and some other elements ofsafety are placed in respectivesubject series.

405 Real Estate (not normally used in 5/73)

415 Construction (not normally used in 5/73)

420 Facilities (not normally used in 5/73)Engineering

500 Emergency Employ- Actions involved in preparingment of Army and for war or emergencies,Other Resources bringing the Army to a state

of readiness, assembling andorganizing personnel, supplies,and other resources for activemilitary service. Army parti-cipation and support in mattersof civil disturbance, disasterrelief, and civil defense, in-cluding emergency actions andmeasures taken to minimize andassist in riots, demonstrat-ions, and other disorders;floods, earthquakes, storms,fires, and accidents; and plan-ning and operations in supportof the National Civil DefenseProgram. Publications pertain-ing to specific subjects con-cerning emergency employment

. or mobilization are placed in

appropriate subject series.

9.. . .. . . . . . . . . . . . .. .

. .~ - - - - -- - - -


525 Military Operations DA Command and Control Systemand other requirements forcombat operational information;activities and functions insupport of military operations;resources and equipment used;lessons learned; search andrescue operations; strategicand tactical planning. Includesuse of propaganda and otherpsychological, political, mil-itary, economic, and ideologicalactions designed to create orinfluence in friendly, neutral,or hostile foreign groups theopinions, attitudes, and behav-ior in support of national andmilitary objectives.

530 Operations and (not normally used in 5/73)Signal Security

550 Foreign Countries (not normally used in 5/73)and Nationals

9570 Manpower and (not normally used in 5/73)

Equipment Control

Note. Subnumbers in the 600 through 680 series are assigned asfolows: 1 to 99 when applicable to more than one category ofpersonnel; 100 to 199 when applicable to commissioned and warrantofficers; 200 to 299 when applicable to enlisted personnel; 300to 399 when applicable to civilians.

600 Personnel - Subjects pertaining to militaryGeneral and civilian personnel not

specifically provided for inother 600 series, or which; con-tain procedures pertaining tomore than one series.

601 Personnel Appointment of officer per-Procurement sonnel, enlistment and reen-

listment of enlisted personnel,recruiting activities, and othermatters relating to the entryof military personnel into theArmy.

10

S , .. .: -. : -: ' . ... . ....: -: .... . . . .-. . . .. ..: .., . .... .. .. ... ...-. , .:


602 Man-Materiel Systems (not normally used in 5/73) 0

604 Personnel Security (not normally used in 5/73)Clearance

606 Personnel See Series # 640.Identification

608 Personal Affairs Matters of personal concernto the service member, hisor her dependents, and thecommunity, such as insurance,social security, voting,citizenship, and handling andresponsibility for personalproperty. Subjects such aswelfare and morale, ArmyEmergency Relief, and educationare placed in specific series.

611 Personnel Selec- (not normally used in 5/73)tion andClassification

612 Personnel (not normally used in 5/73)Processing

614 Assignments, (not normally used in 5/73)Details andTransfers

616 Personnel (not normally used in 5/73)Utilization

621 Education (not normally used in 5/73)

623 Personnel (not normally used in 5/73)Evaluation

624 Promotions Criteria relating to thepromotion in grade of officerand enlisted personnel. In-cludes procedures pertainingto selection boards, announce-ments of zones of considera-tion, and issuance of recommen-ded promotion lists.

. .. .


630 Personnel Leaves of military personnel,Absences including types, entitlement,

computations, and recording;procedures pertaining to mili-tary personnel who are absentwithout leave or in a desertionstatus; absences from regularduty or post due to pass,authorized administrative abs-ence, or public holiday.

632 Standards of (not normally used in 5/73)Conduct andFitness

635 Personnel (not normally used in 5/73)Separations

638 Deceased Responsibilities, organization,Personnel and procedures applicable to

the Mortuary Affairs Program,which provides for the recovery,identification, care, and dis-position of deceased personnelfor whom the Army is responsi-ble. Includes disposition ofpersonal effects of deceasedpersonnel.

640 Personnel Records Initiation, transmittal, main-and Identification tenance, and disposition ofof Individuals personnel files; documents

authorized for inclusion inpersonnel files; location ofmilitary personnel recordsand access to records byauthorized individuars. Prepar-ation, issue, use, account-ability, and disposition ofcards, tags, badges, andfingerprint records requiredto identify DA personnel forvarious reasons.

670 Uniform and (not normally used in 5/73)I signia

12

. . ." [ .. .

m--


672 Decorations, Awards, Design, eligibility, presenta-and Honors tion, and wearing of medals,

badges, and tabs; unit awardsand streamers; special awardsand honors for outstandingservice or accomplishment.Army Incentive Awards Program.Supply, manufacture, and saleof decorations and appurt-enances. Honors and ceremoniesaccorded distinguished visi-tors; and salutes, honors, andvisits of courtesy. *

680 Personnel In- Functions and procedures per-formation Systems taning to personnel accounting

and reporting of data concerningmilitary; and civilian per-sonnel. Preparation, trans-mission, and processing of dataand production of finishedreports, statistics, and otherforms of output pertaining topersonnel.

690 Civilian Personnel (not normally used in 5/73)

700 Lotistics (not normally used in 5/73)

701 Logistics Plans (not normally used in 5/73)

702 Product Assurance (not normally used in 5/73)

703 Petroleum Management (not normally used in 5/73)

708 Cataloging of (not normally used in 5/73)Supplies andEquipment

710 Inventory Management Control of items of supplywithin the supply system,including procedures forestablishing and maintainingrequisitioning objectivesand for maintaining inven-tory data on the quantity,location, and condition ofsupplies and equipment due-in,on-hand, and due-out, to deter-mine quantities of materielavailable and/or required forissue; and to facilitate dis-tribution and management ofmateriel.

13

**.. . . . . . .* *.-.* o-

,v rr . - 7rrr-- W. . 7 7--. -7.7


715 Procurement (not normally used In 5/73)

725 Requisition and (not normally used in 5/73)Issue of Suppliesand Equipment S

735 Property Authority, policies, andAccountability procedures governing accounting

for Army property in terms ofboth monetary value and quan-tity. Includes pricing; 0'accounting for lost, damaged,and destroyed property; reportsof surveys fixing responsi-bility; and financial inventoryaccounting for materials andproperty.

740 Storage and (not normally used in 5/73)Supply Activities

742 inspection of (not normally used in 5/73)Supplies andEquipment

746 Marking, Packing, (not normally used in 5/73)and Shipment ofSupplies andEquipment

750 Maintenance of Actions taken to retain mater- PSupplies and iel in a serviceable condition

or to restore it to service-ability. Maintenance actionsinclude inpection, testing,servicing, classification asto serviceability, repair,rebuild, and reclamation. Alsoincludes activities and operat-ions responsible for maintenancefunctions.

755 Disposal of (not normally used in 5/73)Supplies andEquipment

795 international (not normally used in 5/73)Logistics

840 Heraldic Activities (not normally used In 5/73) _

14

oO .

Series I Title Description

870 Historical Preparation and use of histor-Activities ical data and studies; admin-

istration of the Army HistoricalProgram; organizational history,lineage, and honors; establish-ment and maintenance of museumsand historical services; acqui-sition, accountability, anddisposition of historicalproperties.

920 Civilian (not normally used in 5/73)Marksmanship

L

152

• .I

HANDOUT #2

I The Modern Army Record-Keeping System IMARKS]

Identifying General Correspondence

ofthI TH BATTALION,73RD ARMORj

under MARKS

Prepared by

Adinisltrative Management Directorate

Office. of The Adjutant. General

Alexandria, VA 22331 Ne ep

Howard Smith, Ft Knox RMO. tel.. 49 17

LmnJ o hn Vos,. TAGOP AUTOVON 221-804Encl # 4 to Chapter 4

HANDOUT * 2

IDENTIFYING GENERAL CORRESPONDENCE UNDER MAR(S

1. Having (a) found the appropriate subject area from the listin Handout # 1, and (b) turned to that part of your MARKS regu-lation, you may find that while the document falls under thesubject area generally, it does not fit specifically under anyof the detailed numbers. It is for this purpose that we havecreated a new file number called GENERAL CORRESPONDENCE withineach basic MARKS series.

2. As an example, you work in unit supply and you want to filea DF from Bn S-4 that instructs all unit supply officers on"inventory discipline" --

"DISPOSITION FORM

TO All Unit FROM - DATE C.Sup Off CPT Williams

1. The purpose of this DF Is to emphasize thediscipline that is necessary to maintain 100%control of inventory within 5/73 Armor supplyoperations...etc., etc.

3. Handout #1 tells you that the correct series is 710, called

"Inventory Management:"

Series I Title Description

710 Inventory Control of items of supplyManagement within the supply system,

including procedures forestablishing...etc., etc.

(Go to the next page .................

1

............................ *. *~**4*

4. Your MARKS regulation gives you --

710: INVE!TORY 11ANAGE1ENT

Prescribing Directive: AR 710-2, Supply PolicyBelov the Wholesale Level

These records concern control of items of supply,in-"cluding establishing and maintaining requisitioningobjectives and maintaining inventory data on thequality, location, and condition of supplies andequipment due-in, on-hand, and due-out, to determinethe quantities of materiel available and/or requiredfor issue; and to facilitate distribution and man-agement of materiel.


T7O GENERAL INVENTORY MANAGE- Destroy afterMENT CORRESPONDENCE FILES. 2 years.KEYWORDM:Use this number for generalcorrespondence relating toinventory management thatcannot logically be filed withthe detailed records listed below.

7l0-2a PROPERTY BOOK AND SUPPORTINGDOCUMENT FILES.

T10-2b DOCUMENT REGISTER FILES.

710-2c HAND RECZIPT FILES.

710-2d PROPERTY RECORD INSPECTION RE-PORTING FILES.

710-2e PROPERTY OFFICER DESIGNATION FILES.

710-2f PERSONAL PROPERTY ACCOUNTING FILES.

71O-2g SOLDIER ISSUE FILES.

710-2h ACCESS CONTROL RECORDS

Tl0-2i PROPERTY LOSS, THEFT, AND RECOVERYREPORTING FILES.

5. As you can see, "Inventory Discipline" (the DF that youlip want to file) does not fall readily into any of the detailed

fle numbers, 710-2a through 710-21.

2

:.~ ~**.***... .. .*..%-.*. .-. . . . .* . . .. .-- 'o ~~~~~~~~~~~. . .. ... " " "e """"*"-°*

° o"•". •"...•" ... .. ......... ..........

6. The number to use, therefore, is --


T T10 GENERAL INVENTORY MANAGE- Destroy afterMENT CORRESPONDENCE FILES. 2 years.KErWORDS:Use this number for generalcorrespondence relating toinventory management thatcannot logically be filedwith the detailed recordslisted below.

6. This principle holds true for any record which falls into ageneral subject area, but doesn't fit into the detailednumbers; USE THE OGENERAL CORRESPONDENCE" NUMBER THAT ISPROVIDED AT THE BEGINNING OF EACH SERIES.

L

3.

S**... °

.. .. . . , *-%i*'.%~

PRACTICAL EXERCISE #1I

The MdernArmy Relcord-Keeplng System (MARKS)

PratialExercise in

Identifying records of the

15TH BATTALION,-73RD AR*MOR*-

u'nder -MARKSL

Prepared by.

Adillstrative Management Directorate

Office of The Adjutant. General

Alexadrla, IA 22331 Need help?

lHoward Smith,, Ft Knox DM0, tel.. 4917

JON Vol.TAGO,- AUTOVON 221-5014Etnc 5 to Chipter 4

I-I

Practical Exercise (PE) 1

1. PROBLEM:

a. As a clerk in 5/73 Armor one of your duties is to main-

tain the Battalion's administrative files.

b. During the past two weeks you have accumulated a number

of papers in the "to be filedw box.

c. The sample documents are attached, and consist of let-

ters, DF's, indorsements, comments, etc. on which action has

been completed.. ,. "o .* -.". . . . , o .° . ° . ° ..

2. ACTION TO BE TAKEN:

a. Identify and file the attached sample documents under

MARKS.

b. Use the following to help you do this:

(1) nlandout # 1, *Identifying Records of the 5th

Battalion, 73rd Armor under MARKS.0

(2) Handout # 2, 'Identifying General Correspondence

Records of the 5th Battalion, 73rd Armor under MARKS.*

(3) AR 340-XX (Test), *MARKS for TOE and Certain Other

Units of the Army."

a..°

" . . . . . . . . . .."- . - -- i-:.*--.-.-:%- *~......

DISPOSITION PORMFor use of raiS fo m. m AM 340-15: 1e ploononlt sou It TAGO.

REPERENCE On OPFICS SYMUOl. SUiJECT

Property Book Audit,

TO FROM DATE 4 JJf SM ?T1All 'nit Supply Cfficers S-4-

CP'r Willias/46"-'3

1. Property books and supporting documents for FY 83 for all elements of 5th Battalion, .. :73rd Armor will be audited during the week of 13-17 June by the Fort Knox MAIT Team.Chief of the audit will be MSG Gomez; he will be accompanied by two other auditors.

2. Accountability for Organizational Clothing and Individual Equipment (CCIE) is excludedfrom this audit.

3. Exact dates and times of audit will be furnished to units when known.

IISON B. 14ILLIAM4SCPT, Armor

SI

AGO PREVIOUS EOIlIO148 WILL 82 USEDDA AUG6 2496

DISPOSITION FORMI Per u Of thi form. - AM 34tI5 Me Orqeoflt 89M It TACO.

RUPIMENCE OR ONPIMC SYMBOI. SUBJECT

.flJ Safety WeekTOFROM OAT* "M I'0CO, Co. A Adjutant 1 1 JUtI S23 CM,

CO, Co. 3 CT : Doe/42167CO, Co. C

I. CG, USA Armor Cente: and Fort Knox has designated the week of 22-28 May 1983 asArmor Safety Week. The goal this year, as in the past, is 100% safety and 0% accidents,both on and off duty.

2. Attached are selected safety posters suitable for placing on your unit bulletinboard and in barracks. Additionally, two posters are included for posting in unitsupply rooms dealing with arms and ammunition safety.

3. Let's keep 1983 accident-free!

10 Incls JAMES P. DOE.. •E P..DO . ..

as CP'T, ArmorAdjutant

0

S DA UG"o 2496 PREVIOUS RTIOS WILL It USED

DA FOR . . .. . .. . .. .2496.

DEPARTMENT OF THE ARMYUS ARMY ARMOR CENTER AND FORT KNOX0: Fort Knox, Kentucky 40121

,, ,, 3 M AY W93

ATZK-PA

SUBJECT: 1983 Battalion-level Softball League

Commander5th Battalion, 73rd ArmorFort Knox, KY 40121

1. This letter confirms the entry of 5/73 Armor in the Fort Knox Battalion-level Softball League for the Summer, 1983 season.

2. League play will take place on Tuesday and Thursday evenings at Field # 1.0and Field 1'/15, Main Post area. Two games will be played on each field on'each playing date, commencing at 1800 and 2030 hours. The complete schedulewill be forwarded to all participating battalions not later than 10 July 1983.Play is scheduled to begin on 26 July and will end in late September.

3. A represenative of your battalion should report to Post Special Services(Bldg # 850, phone 41247) between 0800 and 1200 hours on Monday, 6 June 1983to draw uniforms and equipment. Each team will be issued 13 jerseys, trousers,leggings, and caps; 10 aluminum bats; 6 practice balls; and a travelling bagto carry equipment in.

4. Point of contact is SFC Harvey, ATZK-PA, telephone 41247.

FOR THE COMMANDING GENERAL:

,. .JONSON

4,.~jutant General

0- •" ." ::"

DEPARTMENT OF THE ARMY

5th Battalion, 73rd ArmorFort Knox, Kentucky 40121

ADJ AYa.:

SUBJECT: Unsatisfactory Subsistence

ChiefTroop Issue Subsistence BranchATTN: Mr. Peace (Bldg T-2)Fort Knox, KY 40121

1. Reference Fort Knox Regulation 30-115.

2. lAW reference,, this letter reports the.receipt of unsat.is- . p.. factory subsistence''at'the'5h Bn, "T3rd Armor consolidated mess.

3. On 29 April 1983, MSG Hathaway, NCOIC of the ConsolidatedMess, drew (among other items) 400 lbs. of potatoes. Upon re-moving them from the bags to prepare them for serving, it wasdiscovered that about 40% were spoiled (i.e., soft, rotten, orhad sprouted). The contaminated potatoes were destroyed, exceptthat five pounds have been quick-frozen for your inspection.The bags in which the potatoes were received have also been re-tained.

4. These supplies were drawn on Invoice # 83-11410-R.

FOR THE COMMANDER:

'.I ",- -:

/ JAMES P. DOECPT, Arf.;k_

.. -.-.I%-.I.X ::.

6L '4::" % g-o

%'L

DEPARTMENT OF THE ARMYUS A?=Y APIVOR CENTER AND FORT KNOX

Fort Knox, Kentucky 40121 1

ATZK-AG

SUBJECT: Training on Operation of CPT 8000 Word Processors

S

Commander5th Battalion, 73rd ArmorFort Knox, KY 40121

1. The Battalion PAC of each TOE battalion at Fort Knox isscheduled to receive CPT 8000 word processing equipment duringthe 4th quarter of FY 83. Per the Commander's Call held on 14May 1983, the software which is furnished with this equipment

"is intended t& reduce the admihistrative workload on the PAC bystandardizing formats for many recurring transactions.

2. The vendor, CPT Corporation, will host operator trainingsessions on the new equipment on 1, 7, 9, 10, and 15 June. Thetraining consists of an eight-hour block of instruction on any -

of the given dates. Members of your PAC should attend thetraining on one of these dates; attendance by the PSNCO isdesireable, but not mandatory.

3. To schedule your personnel for this training, please callin names and Social Security Numbers of attendees, and desireddates, to SFC Hawes, ATZK-PA, telephone 41244, not later than31 May 1983.

FOR THE COMMANDER:

JRAHAM JOHNSON9%PT, AGCAsst Adjutant General

\0

A-.; 4:::

IDISPOSITION FORMPor us. of thS form. 5.. AM 340.15; the orcooneflt agey to TAGO.

M211E1AlNCEI ON OPPICS SYMBOL SUBJECT

ADJ A-PoLntnent of Unit Postal Clerk

To CC ROM Adjutant DATE 1 IT IrC. T2 Doe/42167. .r.

UP AR 310-10, folloving individual is DESIGNATED:

NAME: WILKINS, Samuel P., SP4, 228-54-3381ORGN: Co A, 5th Bn, 73rd ArmorDESIGNATED: Postal Clerk, Co A, 5/73

Custodian of Postal Effects, Co A, 5/73a-'FECTIvE DATE: 17 June 1983

PERIOD: Indefinite

JAMES P. DOE -CPT, ArmorAdjutant

: . ',L .* . ~ * : .. . . *-. . : . . .. . . . . , . . . . . . . ' . . .. . . . . . . . , . : . " - . , . . ' . . . " . . ": . . " .

DISTRIBUTION:5 - CO, Co A2 - LM Designated1 - Designation File

4 6%4

DA FRM ~~fl ~PREVIOUS EDITIONS WILL $2 USEDAUG 40A o. o 2496 .. °.....

DATExLIST OF SELECTED FILE NUMERS 2L A? L Ai

(USAARMC Suppl 1 to AR 340.18-1 and AR 340-2)Page I of-' Pages

"th -Azx F--IZ- AC,'S-4

LEGENDmf-MISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that D0 NOT document

mission functions) assigned mission functions)

FILE NO. MF HF FILES TITLE AND IBRIEF DESCRIPTION

101-Cl X SL'S-F::S-" FIIZ&Suspense items,remrd'er to 3i&b-it a report~ect101-C2 X~ CFFIk,3 GM' L'GT FILT S-Doct--nants relating to tIhe in-ternal rnanagetnent

oft!'e offiee operatior-se101-C4~ X D172Y ?. ::;I FILZS.^Wopies of M~ For- 1594 u~sed by the CQ,DU:Yv OFF.101-05 X HC:Uzz=:o:x FILS-Dtty Appoi:;mtfl:1.101-07 X O)FFTCS _RECORDS TR:S'I-2AL P112Z3-Copies, of records transn..ittal list

* -efecting 'files transfer or retired.'- .

10116 CF0EFr-77IA FI12-3-oll calls (telephore)*101-17 x CFVFICE SZVI03= A:7 SUFPPLY FI2- Form 12

101-18 X CI3PRCERY ?ZCRJ FIIS-Compirable doc~ents s!-.c,:ing accoutabl-ro V

101-19 1 FIZ Z!3 AP~~~ 0~ U2ILIZA N~i FIIS PZ:VAL 0. Zui;, ent101-4 x '-~~i~m3 F-~ mnroved list of selecteai fi-le zer

102-00 a DUTY ?.S~FITJY-Doc~zents used to record duties within the company.103-1 1 RL' U3 IIS-?1C library A-lis

*1C3-C5 z ?LICZ A71h) P?,Iv -i.: -, MM-ocixentsestabio iz ?olicy (Bznj,19t,

223-C-11 x ri2~ F;o::'' S.-ocz erits accimtulated as a resu lt of an

*221--C3 x 10I3?C2 S-Docure.,tsacculated as3 a result of an IG inspeCtio.

* 701-0C2 X o:11 :: nPR..' F132-Docents used to relate to general. office aa-!rentoperations§DA For-.s 4197)

*7o0:-e7 :.IL .Z:P F1.33-Copies of error reports used to supervise a specificfunction, copies cf C? 40se

* 0602 I DLPA017,1 CL " FI13-' o-.ies of DA137for departin.- Individ,--is708--3 X rF?. ~ F C2L~L3ocumrents creat,acultdaa

result olf routine correspondence.708-07 X SUrITBLIY 11: OR I=; FMLZ- Dm~ents of untrue or unprove

adverse ifrormation.708-10 X ?UCA& 2RCO?.) C.-.ACT Pr112-Copies of Form 2's.70e-14 X b3I?.S ACT-O SCFIS RZTP FILIS-Copies of DA6 Fcr- 268* Or-LAGS).

* 70S-16 X 3S~3 21~ FI=-S'-Dojin.ents of personal information,*715-0.1 X STRE--*C7 R7-.CRTI:.G FILES-PAI s

715-P,5 X I:DIVIDUALl PMR30 .L CHUAm?,3' FISDA Forrm 3815's715-06 X PEP. DATA F-IZZZDA For-92475-2 reflecting histarIcal,legallard other

iror--tione715-07 X ~ Ia ~cT:GFIL-S.-S',drers roster 4--re L 13*

715-C8 X ?a r E~3~sc.~~s71602 1 1 ~CF ABSI3 : en-s u-' to control absences Prom rili2

716-0 ~o ritinuation, use USAARMC Form 2348*)KUSAARMC~ F...348


LIST OF SELXCTM FILE NUMVW(cotinued)

O3GAIZATXON& OFFICESa

TALS NO. w~ EF FIL TITL An ID DAr-c. IPTION

716-02 x tary install.tosfDA Formi 31 I2ZT MA Atr-FCMIY FOR LAZI716-%4 ! :;IL?S U.-r!STF FILLS-DA Forn 647-1lDoc1r-ents used to control

absernse fro- miliatary istalatins rCS,= M7Y,~

716-08 X L.V. ZZL LZG FllaS-Copies of records transrttl lit r Iefletffies transferred or retired#

717-06 X .- TZ OIZ FMZES-C?JaS US. etigote716-01 x APPROVD ".=.IARY C-:45- AS FI=Si eCord3 relating to wartine and/

or combat activities.

revie..z and disapproval of riliatary avards for inrdividuals.p305-06 X S IAL Iz.TZR Fl12-y-IL a.

USMARMC Fhak 8. AG 7984-0-Army-Knox-Feb 77-3.4

DATE:* LIST OF SULECTED FILE NUIABERS 17 Febo 7e

(USAAPMC Suppt 1 to AF! 340-18-I and AR 340-2)0010 1 CF

*ORGANIZATiON: OFOCES

A tI%4m '140-wc 3th OWESr -S-~1 Legal

* L1GENDMF-MISSION FILES (Files that document assigned HP-HOUSEKEEPING FILES tFiles that DO NCT docis-n:

mission func~lonss oissioned mussion fun'ctions)

FILE NO. JMF ___ILESTITLAND___________PiON

101-01 x S SEFILE -Papers or n~ote or othier remiinder to surji:w a repo:".* I 4o ~or to take sm ter action.tot . f

ess.

j 404-04 SPECIAL COURT-MARTIAL FILM~ - Retained copies of charge sheets w.ith................retedv apers,:corresvondexte "rom t!:e offi;cer. exercisiz 1= ..*at-.

I Cgeneral couzrt-nartial jurisdiction over the coc.-ard.

404-05 SUMMARY COURT-MARTIAL FILES - Retained copies of forcal recc.-A oftrial of military personel by sun:ary cour:--artial, &.~ zerelating. correspondence.

404-06 COU;RT-.MArjTAL 1CCATOR FILES - Docume=t3 used for corntrc11inz! caseswhich are to be tried or-have been tried b7 sux.ary an.- ssit

* @court-ratials.

(For Conlin?;.r, use USAA".'

I USAAflfl! 122343

%S % %

'~tb r 9:101 MC Ih.r~c ldc AS-) 7

/ DATE:

LIST CF SELECTED FILE Nt,.'.EZ 17 Fcb 7*3

ORGA!ZATON:(USAARMC Suppi I to AR 340.18-1 and AR 340-2)Pae1o Pae p

ORA!AIN jrnrSe,,e OFFICE,'Prin-a red Re. t -m e

LEGENDMF-MISS!ON1 FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that D0 NOT d~ccumneni

missionl furiNon~rst assitnned mis.sion functions)

FILE NO. AV j FILES TITLE AND ISPIEF CSSPPTIONJ

101-02 x OFF G YX J.T FILLS -Documents relating to the internal managementof the office operation.

101-10 x =E-URITY CO.'TAI:IL' INF-O FILES - Classified container inforz.atiozi.

101-12 x O77 CLASSIFIED DCCW.*-E:%- R -ZISLE-/COTROL FILT - Confidential docui-ment control log.

101-17' OxC SERVICE AJD SUPPLY FILES - Key control register; receipts fo-- k£eys and locks to arms rooms withtn battalion.

iO~-~8.. 9FQFICS P0EY.~C? FILLS - Hand. receipt fieLclassified docu-ment accountability record DA Form 3§64..

101-24 x 7ILv 'Jl3ERa FILE - Apoproved list of selected file numbers.

102-11 x SECURITY AWARLNESS FILES - Documents accumulated in ccnnectiom ttsystems designed to obtain co~vli4ance with security rez,-ain '.cmsall personnel such as a system requiring that eachinii.'-'ally read applicable security re.,ulations and sign a me~cai4 inziz.ating th-at the regulations are understeod.

103-01 x = PUB FILES - Office library, AR's, PAI's etc.

103-03 x .17,DING FILEZZ - Crime prevention council meeting, Comman.- Z taff,194th Letters, ReCurring rezorts register, Zornado War.%,.n;State & Local Laws regardirg Registration and Possession of -Fire Ar=S

103-05 z POLICY A::D P FILES3 - Documents establishing policy (B=, 19*.us;AAV=, TRAxOc, Foxasc-cm', .IpEZZT)

201-04 O RIMTATION A'-D BRIVi FILES - SAEDA orientation.

209-03 x RMADIOESS REP'T FILBES - Documents relating to the reportin; of' a:tualreadiness conditions of the army forces.

501-02 x GESNE3AL I,'%TELL--GZE*-C, SBCUIZ'Y "~ A.'M ?MAP: - Security of wea-ons,a?.zo and sensitive items, request for security clearence.

501-07 x SIZRITY, M~? MOD lKAPPI:-G ?117P FILES - Docun-..~tz uzed toj

505.-0l x CMUITY C IZT(lFILES - Docucents relating to reprtr. on1cecurity classification.

__________(For Cor.tinuoain, use USAARM~C 4.;7r r'.

U5AAPMC, 1224C

P-1-c 2 of'

LIST OF S==C F"I NL'!.P.S(contlnu*i

--2

FI LE ?-O. 7 r.7 FILES 717.2 X. 417 '!- -:T'':

5o5-16 x 5CUIT INZPXTI%:J/ZSAiVEY F1..ZS - Zutez-ly battalion ins;ecticn,aresroc ins~pection.

506-02 x ST' URITY BRIFI I:-/Z3RI!:FIN3 FILES - Security termination ataze~entand cebrief inZ certificate DA Form 290"2*

509-12 x GUARD REPT FILES - Retained copies of the guard report, :)A For= 904.

509-13 x GATE GUARD FILES - Documents relating to measures taken to guard igov't-facilities and military prisoners, assign cent sheets, eun r?_jsiters.registers reflecting vehicle covement in/out of gov't facili:~.es etc.

614-01 R7-V!O AND EEO REPT FILES - Documents reflecting information re-ortedas activities and conditions related to race relations and ezual orz-orturnity for etilitary personnel.

614-02 PR/ZO AtD E.EO SUXIZI FILES3 - Documents related to conduct ing .- irve."is

*on, the .iiplement.Ati.oa.and efferctiveness of -race relations .af- eqa.opportunity for all military persownel.

614-03 x ?.R/Z0 AN~D EM CCOXPLAI;T FITE - Documents reflecting compl.aints ofpersonnel con~cerning race relations and LO "Or military ar.- e:aemployment opportunity.-

1001-02 x GZN' TRNG AND LDUCATION FILES -Security & SAEMA lectures amnd rcs't. S.

II

* I*

A ..,._.t

DATE:

LIST OF SELECTED FILE NUM.BSERS 17 Feb 73

(USAARMC Suppl 1 to AR 340-18-1 and AR 340-2)I ~~~page I of I,,.

* ORGANIZATION: OFFICE-

* j h B/v ?&I Pr,- oreJ Rofmei,4 OF -3E

LEGEND

MF-MISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES (Fi'es that 00 NOT dournen?m;ssi;on fun.c:;nsl assigned rr'ss;on iuneicng)

FILE NO. Me F H FILES TITLE AND I6:.101-01 x SU.P:;SZ FILES - ;apers or note or other re-in-er to su:-:: I -e.ca .

101-02 x G9N OFF PGT FILES - Documents accu=ulated that relate to general, rou-tine and internal canage-ent and operation of office.

101-24 x 2PILE :MY3ER FILE - Approved list of selected file nuz!bers.

103-01 x REF PUB FILES - Copies of publication issued by element of :e ary,naintained for office reference.

103-05 x ECLICY AND PRZC-.' ; FILE - Co=ies of operating prccedure ste.eentof policy and/or procedures from higher and local con--a 3. .

204-01 x L FIES *- Cooie i of .pla= that require.o.-ze. .planning for dc.estic disturbances, disaster relief, ci;'ii~iiar'defense ana specific instructions for executing these plas.

207-03 x CRGA..NIACN A :D ALLOWANCE FILES - TOE and manpower survey :u-.: -and related papers.

224-03 x I;£SPE2Z R G.-;-ALS I.XSP-T 0 FILES -'Cozies of Annual General nr.5Ztions with related papers.

228-08 x O.:;IZATION H1.5I RY FILZS - Documents relating to orEani:-:io.alhistory which include copies of annual unit history ,.e.-.:s,copies of lineae-and honors, newspaper and cagazine cl-.:;.

1001-07 x TP.;G AN;D EUCATION RZF PAP--R FILES - Descriptions; Schcol3 ( -asic 1u

Aid, :CXC, NBC, '-!aster Gunner, Motor Officer, OJTl .!'CC/.. l-- .Ynaer/Monitor, Project om.ist Course, W...) After Action r.:=---ts •A o Forecast, Awards and Ceremonies, Funerals, (General), -Range utilization Reports , etc.

1002-03 x TP';G LNSPE TICG FILES - Description; Master Trng Schedule an- "ieel "

Trni Schedule nd Highlirhts. Copies of trnC manageent in .ectic..conducted by this and higher heaaquarterso

II

, ~ ~~~~~~(For Continent~on, use USAAP:. ' C . F,:- ".,- _ "0 ii

, o __.___. . *.. . . . .... . * 4

34t

.....~ ~~~ S-. A., A, . M. C'; " " .3 , 4 , 8 .. ... ,, '.-,•,

DATE:

LIST OF SELECTED FILE NUMBERS 17 %.c 7(USAARMC Suppl 1 to AR 340-181 arid AR 340-2)

[- j ~Pago I of" P~'

ORGANZATrON, OFFICE. P5-+/L, 13Y, 1-3,9 Qr.MOred It~mp..sc

* LEGENDMF-MISSION FILES (Fi!es that document assigned HF-HOUSEKEEPING FILES (Files that 00 NOT docur-ent

r;ssion func¢ions) assigned m*,sion fur.cticns)

ILE NO. MF HF FILES TITLE AND ! ';BEF CSSZR:PTiCN

iGI-01 x 5* FI;..E Si. - D.otes or reminders to sucmir a retort.

101-02 x OFF GE; .'GT F-LS. - Documents related to signature authorization

101-07 x C:YF AZCRDS .A3. AL" 135101-17 x OFFICE SERVICE XM SUPPLY FILES - SSSC Files, job orders request.i01-18 x C-7 =RCPETY .=C-D3 F--- - Documents of users copy'of hand. racei:=s

for items of .rcr-rty.

i01-24 x OFF iILES .ER FILES - A.proved list of selected file numbers.J" "0 ....-. 1x "S127 Y*"..f S W FL= .Documents re--aIt'ng to security reua-icr.3...

103-01 x .7 ;- ILE- - Copies of publications iszued by an ele.er: of =hearmy, AIR's PAY'S etc.

1O'7-C5 x Pw-CL:C_'Y -A. D , L FIL- - Mxtra cocies of documents ez:'- 4hir.

,olicy Co, 3n, iA, ... Foscc.:, ._', DAS-4 info Ltrs.22L0 x .* --- 3 - Cies of ar.nnual general ins ect.c.3 Wi'! r.-

607-01 x ACZE::T .- :: CASE FILES - Documents related to individual ac- '

*ent s DA Formt 2E'.

1401-07 x -- S- ... ts relating to cudgetir., buildi-. u iia: -

e.uitment status retort, fire inspections retort, S-4 info _.s, ,-;-or ltrs, irven.:ory of wearons (small arms) job order reques:s, Lsafety meetings, suooly transactions report etc.

1415-17 E , F:,T" -. !:.z-- 3 L-

1,L FI- Documents relating to special au-crizat -n..

14i6_-14 x p-c..-' ECY. :, ro.';; C zC'. :..T FIL.S - Docu-.en:z raf --- . - .the .escrti~on, rtceitt and turn-in .of iroperty. report of sur-eys.

* 141'-15 x DCC.'..TS A3G:Z.'R FLES - Docu.-.nts used in transactinc. 1-u.lv ac t"

1416,-16 x : _?ITS .--LES - Documents relating to the loan and raturn ofzrorerty andA =~lI, 4 -S.

1'16-18 x p.--. y . ::;:-E:Ic:. :ET P'ILES - Doc-.ents related to in-.eet-zens of unit reccr_4_

o1, ,.-12 .x 3 FILES Documents used.to request traintenr.ce service.

% .

- -_(For Cenflnj.iP.., use USAAPRMC f:r,7 .+ "%-L'AAR,/-,",o 2 3 4 8 "

*. . -

p

A~r~n,..,,i 19 th A7- :4i- A O 2 .t: 75DATE:

LIST OF SELECTED FILE NUM..ERS 17 Feb~ 73)(USAARMC Suppl 1 to AR 340-18.1 and AR 340.2)

Page I of I Pane-,ORGANIZATION: O111CE

5'44..U x~ 7J/. eOre~ F?~Ute+ ~ail Room

LE G EN0

I I MF-MISSIO.4 FILES (Files that dcument assigned HF-HOUSEKtEPING FILES (Files that DO NOT dacunr:mio ur'ctionrsi otsicned mnissicn functions)

FILE NO. MF H. FILES TITLE AND 2REF =CFIP TION

101-24 x FILE; N:.!3Ea FILELS - Approved list of selected file numoers.

1101-07 x COMMUNICA~IN RFE3 ? PAPER FILES - Postal refp files used foraccountability of Der'sornel (US.;ARYC Form 3599) and orders used for-future ref of personnel depart ing aad incomming.

'Vt08-05 x PFCS.AL PERZO: ML DESIGNATION FILES Docunents used to aproint mailclerk and alternate mail Clerkq

1108-10 x UNIT FA ILROCH INSPa=10'; FILES -Documients used for unit mail roominispection~s by Bde.

.116i8-18 x -T.)1GDL7_Y CRD FvLES -PS-Forin 3,501, authorizatio- to hauL-dcBa Cdrs mail.

1108-19 x VNI1r ! .ILROCM ACCOUNTABLE M!AIL R IP' FILES - Documents used foraccountability of registered mail (insured, Certified, Re~isteredj.

________n,_ (Fr o ut;,n, use USAARI.C A-17:

-. ~(o Co. NCnuf24

U5 S, A Ar R hi C- 2 2

p"

- - -'

LIST OF SELCIZIM FILE NUMBERS

* OGAIZ~I5:OFFICZs ~hkC,'CSC COA, CO3,. CoCS-rarly oom& Trng Room

4ath 99-211 A--=~' Ft Knox, KY 40121

FILES- W E TITLE ANDh tBRIEF DECIIP:1C1r101-01 X SU;SPENSE FIE-Papers or notes or other reminder to submit a report.

101-18 X OFFICE PROPERTY RECORD FILES-Hand receipts.

101-24 X OFFICE FILE NUMBERS FILES-Approved list of selective file numbers.

103-01 X REF PUB FILES-Copies of AR, PAMS, (Office Library).

103-05 X POLICY AND PRECEDENT FILES-Documents establishing policy and precedent

(Bn, 194th, USAALLNIC, FORSCOM, TRADOC, MILPERCEN, DA).

1001-07 X TRNG AND EDUCATION 1'.F FILES-DOCUMENTS usd in conductin 7 try- - ttaining exericises,'PT Cards', Ref Papers.

1002-03 X TENG INSPECTION FILES-Doduments related to schedule training inspectio.;

* .. USMARMC 110" 23418a AG 7984-0-Army-Knox-Feb 7->

DATE:LIST OF SELECTED FILE NUMBERS 25 77 X00

(USAARMC Suppi I to AR 340-18-1 and AR 340.2)___________________________________Page I of I Pages

ORGANIZATION: OFFICE:

1!-!c !.t' ;,a 22t' z-r 131V, 73d~Ft 'noG. Xt:;W 4':121 4orifik R(2910.19.3h

LEGEND

MF-MISSION FILES (Files that document assigned HF-HOUISEKEEPING FILES (Files that DO NOT document*mission functions) assigned mission functions)

FILE NO. MF HF JFILES TITLE AND IBRIEF DESCITN

I r .- L 7W;1qW -ict03 3rx.i crthr a:, of n&ot'~ :;r 2.trz.rjjt : --e 'J :3Uz C *xcn Lista, or cthir cm

1CI-24 ZV CF. 1' .. ;-C of a7.p(wad !L76%. of f±a r.bz' t%:- I

Co--'01zZ Copx: cf caticr. issuad tq ar e14nant of the A=7 cr trC 0,1=7n xnt .:cye

103GC5 x PCI2CZY : _D- :7'f 3O"va.-±i CT. M~ ~te '. i7ao2cy cr :=c.,dcr,. for ±'twiw and cotizu2.- acticzz.

l423-C I 7ZA x'.1 ): F-M-; 3-2: 33-730 nr -=bstho imdj>

* . ~WO-03x -X .',D PrL-Lo-7ronto rm'iocting thl z ~* ofnc C.'iv naniftwm~ I.zocti-zn -. ocurtontc i,2ad to

tho t-~Is.tc:, efav:i.c 32 i.oL: ot21r..d f -

1L.,ZL P- I~ _4,7. gnt 3~cz-r cJ -,T cy by d tCna

ar o:);.r-tor to rv.tirnfr- Unrelativ tc d ily uz -. o

1423-1 1 'z tC 2_Z l e-t zdtor~~~ ait ~zi

racei it of dla.Ctiva '-.toria1, t-Ind to subr-it:z- '* -*. *rT -I-

U USAARMC 1IA 7 ,2348

. . . .- , - . _ . . - - • , - . . . .. - . - ; , 4 , , -

- -

LIST OF SMECTED FILE MMERS(continued)

OR!,MG ZAION- OFFICs HHC,CSCCoA,, CoB, CoCOrderly Room & Trng Room4th....7th -_o_, Ft Knox, KY 40121

4 ,AV/ .?3d gowcrd I

FILE 0. M Ir FILES TITLE AM (RIEF Z .IO.

101-01 X SUSPENSE FILES- Papers or notes or other reminder to submit a report.101-18 X OFFICE PROPERTY RECORD FILES-Hand receipts.

101-24 X OFFICE FILE N]MERS FILES-Approved list of selective file numbers.


103-05 X POLICY AND PRECEDENT FILES-Documents establIshing policy and precedent(Bn, 194th, USAARMNC, FORSCOM, TRADOC, MILPERCEN, DA).

1001-07 X TRNG AND EDUCATION REF FILES-DOCUMEENTS used in conducting military"'" ... . .-' " tra in in g ex e rcise sd , -PT Ca ras , Re f Pa p er s . :"•.. .

1002-03 X TRNG INSPECTION FILES-Documents related to schedule training inspectio3Trng schedules.

n R- -OAyKnx - 2.* . USAARMC M ,o 23480 AG 7984-O-Amy-Knox--D -

.. •

~~..... ... . .......... " "

• oU

4

SLI OF "EZ8ECTE FILE NUMBERS- (continued)

ORG.NIZAIii t I OFFICE:

Co. & I47h Aer SUPPLI

F= NO. NY . TTL AD DESC'RIPT.O'

101-01 " Suspense file destroy when action is completed or transfer101-02 & Office general marnge=ent files COFF 31 Dec est 1 Jan (after 1 year)

" 101-17 ) Office service and supply file SSSC documents101-17 X Office service and supply file DA 4283 (ACTIVE)

j 101-17 X Office service and supply file DA 4283 (wIACTIvE)1 101-17 K Office service and supply file request for pubs and blank forms

(ACT'IV)101-17 K Office service and supply file request for pubs and blank form sI(IN.ACTM)101-18 , Office Property Record file, Destroy when superced, ohs, or turn-in103-01 K Reference Publication file103-05 X Policy and precedent file

726-05 X Personal effects case files baggage rzgister (ACTIVE)726-05 X Personal effects case files baggage register (INACTIVE)" " ...":" 1/'4i'-4 X "; Gen Adran,.- TLogitices file (I--MAL) TO"'inventdries..". "."'-"• .

1I01 -07 X Logistics References paper files see AR 340-2 for disposition instruc1401 -- e Logistics Reference file ( Statement of Charges)1101-0e x Logistics Reference file ( Cash Collection)

_ 141 -0Z X Logistics Reference file (GPLD's and Report of Survey)1l401-Oe - Logistics Reference file (DF's for Request for Issue)

A)4 1 -7 Equipment Table files1 16-16 Hand Receipts file1416-20 X Personal property accoumt file (ACTIVE)14.16-20 .X Personal property account file (AGM IACTIVE)14 6 -34 X Personal clothing records file ETS/PCS fileI -12 'Maintenance request file (ACTIVE)1420-12 , Maintenance request file (INACTIVE)1l127-0 X Unitand organizational laundry file DA Form 1974

- 1427-01 A Unit and organizational laundry file DA Form 3136-:; 1427-01 Unit and organizational laundry file DA Form 3799

H 6'

USRUC FO1 ?. 2348c O9~0 9II".- may --.-

. ..-...i_

... %. .

-. ,. .... .....,..°o. . ....... ..... . .. . . . . . .. . .....

DATE:LIST OF SELECTED FILE NUMBERS I APRIL 1980

(USAARMC Suppl 1 to AR 340-18.1 and AR 340-2)Page 1 of 1 Pages

ORGANIZATION: OFFICE:J oACo3, CoC, CSC Mo" Sb.th &%. 3!th A crm, Ft Knox, Ky 40121

6fh 61V, 738 4~rmo,-edJ~~m~LEGEND

MF-MISSlO)N FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that DO NOT documentmission functions) assigned mission functions)

FILE NO. MF HF FILES TITLE AND BRIEF DESCRIPTION

101-01 X 3US.-'-. FIL3SZT s,DFs,iotes and other assort-net of notes cr ltrs.101-18 X 7 F F.C-=Y RZ.CC.,D FILS-Hand Receipts,Packing Lists,or ot:her cc-p

arable docuements." 1 i01-24 X 3FICE FIL3 1X-2--.S-Copy of approved list of file nu=bers used in

shop Cperaticns103-01 X opies of publications issued by any element of the Army or other

Governm.ent Agency.103-05 X LOCY. ?Zc:D'. FIL0S-SP's,Ir-ternal and external.,astablishing

* poliry or precedent -7r fu.ture and continuinz action..1007X .CG.S.!CS'- .. F IL=-DA o.--" 2-06* (Feeder Report ).1420-02 1 ,STCRICAL UCCD/LCGBCGK FIL:-S-'. 38-750 prescribes the use of equip-

ment logbooks and maintenance historical files.1420-03 X :-An SU-:Y ;:-.D- 71;FiL -Documents reflectLng the rerform-

mance of preventative -anintenance inspection and docw.m.ents used tocontrol maniterance work.

1420-10 X DISATCHZ. CPCIZATICZ;L CCITROL RZCCRD-F LS-Docu..nts used to refle tthe dispatch of a vehicle.:ormal infor.ation is outlined in i.:33-7 0

1420-11 X _zQUi.. .._ .DAILY U"ILIZATICON FIaS-Docir.ents completed by dispatcherand operator to provide informantion relative to daily use of equip-ment.

1420-12 X "*ATA[CE RZZTJIT FILES-Documents used to report maintenance serviceto repott completion of ::0s,Torecord madtenanoe prefor-ed, to repcrtreceipt of defective material, and to submit 3IR.

, 1420-14 X -ICH{A. TA FIL72S-Document used as receipt for replace.ent parts ardcomponents.I 1420-18 -U .T INSfZCTI!/% nf ",:KSHN. FILS-DA Form 2404

--" | 8. (For Continuation, use USAARMC Form 2349c)

.USAARMC " 702348

2,.

i," -' -''- .v ,..-..-v..-.,... . .. . . . . . . . . . . . . . . . . . . .... ..-.--. .. -. .-.-. .-.--. .- -...v... .-.-.-.,.."."..". ..-.. ..".,.',.',-.i'.,'L- ,.

- ' . ...-. . .* . . . . .......... ... ..

LIST OF SELCT FILE NUMERS(continued )

ORGAIIZATIO0N (OFFICnE : HHC,CSC,COA, coB )CoCOrderly Room &"-rng Room

"-,L- L 37L-- ."-_m-, Ft Knox, KY 40121

FILE 110. mw' IIY 7IL TITLE M~D FRE IS CRI?10-101-01 X SUSPENSE FILES- Papers or notes or other reminder to submit a report. -


101-24 X OFFICE FILE NUhERS FILES-Approved list of selective file numbers.


103-05 X POLICY AND PRECEDEN'T FILES-Documents establishing policy and precedent(n, 194th, USAARIC, FORSCOM, TRADOC, NILPERCEN, DA).

1001-07 X TRNG AND EDUCATION PEF FILES-DOCMENTS used in conducting military.I ':" ' ' .. . training exereises, PT Cards, Ref Papers. " " "." t :r.

1002-03 X TRNG INSPECTION FILES-Doduments related to schedule training inspectiorr -Trng schedules.i -

S * - ---

UF,0R- 2243a AG 7984-O-Army-Knox-?t 7 "- "USAARC 70.....-.... .

. . . . ..- ... ' . .

L '- '.," -: .:'-l-'',". '."," .",." "'." . . ."."." ','. ... .... .- '.,.. ..... .-.. '....-"-.- ,". ..-. '-.'-.'...". .". ," ,""."'"-.-. " "- I- ",-

.........._ _ _ _ _ _ _ . .. .. . ...

DATE:LIST OF SELECTED FILE NUMBERS I. APRIL 19S0 -

* (USAARMC Suppl 1 to AR 340-18-1 and AR 340-2)Page 1 of 1 Pages

ORGANIZALON: OFFICE:* oA tCo3) CoO, CSC M~tor So

!.t Tfzi 7t- -cr *ft Xn~ Xy 40121 S~1- aN. ?3W 4rm,-ed Pg:VtmQHe

LEGENDMF-MISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that DO NOT document


FILE NO. MF HF FILES TITLE AND IBRIEF DESCRIPTION

101-01 X SUSP==3 FIIZS-tO01s, DFs,n-otes and other assortmrnet of notes or ltrs.I 101-18 X F~0~T R:CcP.D FIIZS-Hard Receipts,?acding IListslor other ccmp

arable dccuements.101-24 X reFIC3 FMI !.'-=.2Z'7S-Copy of ap:proved list of file nmbers used in

shop Cperations103-01 X 'opies of publications issued by any element of the Army or other

Gover--ent Agency.103-05 X PLOCY '.'-D PRMD FIL7S-SCPs,Internal and external,astablishing

policy, or precedent "or future 4.nd continuing ato. ..

1401-07' X' CGI5TICS ?. 7 FTT MD4A Forn 2406'(Feeder Report).1420-02 X aTORICAL RZ-CCfl/LCGBCCK FIL:;S-T.: 3-2-750 prescribes the use of equip-

me-it leg-books and maintenance histcrical files.* 1420-03 X Af~ Win::ARY Z-D.'~~ IZ-cuet reflecting the prom

mance cf preventative man-intenance inspection and documents used tocontrol1 ma-itenance tcrk.

1420-10 X DIS?:ATCE ?.~2IA~~ CUC.7ROL R:CC?D)-FIL' 'S-Docizents used to refle -tthe diLs~atch of a vehicle.!*ormal infor-ation is outlined In 77-:33-750

* 420-fL X ~ 'JM=. D AL TILIZAT1.. FII2-Docwtrets co-pleted by dispatch'erarA operator to provide infor.-anticn relative to daily use of equip- -.-ment.

*1420-12 X :f~AC RZ',U:-T FILES-Documents used -to report maintenance servi-ceto repctt com-pletion of !:::!O0s,Toreccrd r-anitenance preformed, to reportreceipt of deective mat erial, and to submit

* 1420-14 X MCc:-AIMLTA FILZS-Document used as receipt for replacement parts andcompon~ents.

* 1420-18 X 3;UI?.-=:T f TCf/Al ';!CRKSH=T Ffl.M-DA Form 2404.

* ________-- -(For Continuation, use USAARMC Form 2342c)* USAARMCI'." 2348

Ma .,7

- - . . ... . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

-I LIST OF SICTED FILE NMERS(continued)

pORGMI7ATIO5 OFICES

SU3573,d 9Qrrored 17 i

FILE go. w ELUn TITL AND WRI Dwa~Imoil

2101-03 X USPENsz YMzs- P&pOWS arranged In date order as a reminder that anactm In required on & given date

X00 O"mcE GENIRAL XLAAAcoTrnm- DOC=ent* relating to administratio

P.0U1 O CESM CAMD SPPL FIL- SW14 Catoafi h aj rIM-170v-nC SERICE M MMY rLZS gen kt for referenee

K ~ ~ mcnm OYiZPRPRY = - Cad, 2Ass and receits ohain

and procedure

T26-05 X PMsOHAL ECT CASE ?IU- R=ZlP C7' 1MSRA 1 EVC'2 (ACTvz)

- GLD- Cash Collgtion Voucher

11.15-172X3%=h~ TABLE 7YL- Autholsatic.m Dociments (aoM)

14.16-16 H ANDS RECZT IFli- Receipts rclatIng to the loa nd return of

2120PROPMRT A~COUTIN imm- eeBaggage (ACTZVE)

14.16-31. X WM~A RECOIW CLMM~h FnM Zndiy1wa personal clothing andassiod governmeat property

11.20-2.2 X XMWZ L REQUMT lVh- DA Form 2J.07 Active and Mnactive

112-0 U=I AMD ORGAfl.TIOJ XAVIDR7- DA Form 3136 and DA Yorm- 2974k70 -

p~ ~ ~ ~ ~ ~ ~~ ~~~1 a4A41M 71-~~.~'A 94--ryK 73

-° --. ........- - ~-

LIST OF SErXCTED FILE NUMBRS(continued)

OR , MZATIONs OFFICEI C,SC,CoA, CoBCCoc IOrderly Room & Trn~Room

-I "- 3?&h .o--v--, Ft Knox, KY 401216',YA 9?.4 rnomt o Red i -

FILZ 10. w .7 r M TITLE AND BRIF C5 .? ..=0* 101-01 X SUSPENSE FILES- Papers or notes or other reminder to submit a report.


01-2 X OFFICE FILE NUMERS FILES-Approved list of selective file numbers.

103-01 X REP PUB FILES-Copies of AR, PA%1S, (Office Library).103-05 X POLICY AND PRECEDENT FILES-Documents establishing policy and precedent

(Bn, 194th, USAARPNC, FORSCOM!, TRADOC, XILPERCEN, DA).

101-07 X T k EDUCATION ?IEF FILES-DOMENTS used in conducting militarytraining exercises, PT Cards, Ref Papers.

1002-03 X TR1;G INSPECTION FILES-Documents related to schedule training ispectioTrng schedules.

-6

-

USAAR oC 2"48o AG 7984-O-Armv-Knox-F 77-3:3""USAARMC I M.y 7o

... ............ .. . . . . . . .. .* *,....... . ...-..... . .. ... . . . . . ..:

...-- .-- ,-- . -........ _..,................ il

.* ... A. .

DATE:UST OF SELECTED FILE NUMBERS I APRIL 1930

(1JSA.AAMC Suppi I to Alt 340-18-1 and AR 340-2)Page 1 of 1 Pages

ORGANIZATIO-% OFFICE:* CoAtCoBl,CoCl CSC .hn

Ath~~~~~~ loto Shopmr~ Tot~W ~l'6*h QA/. 7.3d Anp red ?,t1.4

LEGENDMF-MISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that D0 NOr document


FILE NO. MF HF jFILES TITLE AND IBRIEF DESCRIPTION

101-01 X 5=- :EE FILLS-1O1s,Ds,notes and other assortmxiet of notes or ltrs,101-18 X = FC:-=TY RCC. FIL5Hand ieceiptsljaclding Lists,:r otl-er co-p

I shop C-peraticns -op103-01 X 'opies of publi4cations issued by any element of the Army or other

Gover=-ernt Agency.103-05 X POCY .14-3 FILSn-SP'sInternal and external 9astablisI-ng* . ... *...*. pl1cy'or precedent for fuzrtue and conti ui4-; action. .

1401-07" X 10ISTICS ?.7' FII2.S-DA Fo.-mn 2406 (Fee-der .epcrt).1420-02 X ISTZ?.ICAtL FZCC'-D/LCBCCK FIL-T.:,- 3e-750 prescribes the use cf equip-.

m~ent logcbooks and rAintenance historical files.14,20-03 X Stre.::RY "-*:D i~~ F-iJSDc ents reflecting the 7erfcr-

rmance of preventative -.an-intenance inspection and documents used to* coztrol m~aniten-arce u-crk.

1420-10 X. DIS?.AT C1R c?.G2z'=ATI2-:AL W7C"IRL ?.MCC.- FIL-Docuents use-d t.o r efle tthe dispatch of a vehicle. flormal information is outli-ned in~ 7*:3!-7 'c

* 1420-11. X zzu:=T zo'.- LTILIZATIXN F1LZS-D)ccixerts conpleted by dsandi operator to provide informiantion relative to daily use c1T equ~ip-r.t.

1420-12 X T AC RDZUMT FILLS-Doc=.e&ts used to report maintenance ser-viceto repott completion of 1-o"I0s,Torecord -.ardtenance preform~ed, to reportreceipt of defective' rateri all and to submit- ZI.

* 1420-14 1 CCEAI7r! TAG FI125-Docu-tent used as receipt for replacement parts ardcomponents.

1420-18 X FdQU1.=%:T INSPMTcT./MAIN-.rr WCrKSHt-e FILM-DA Form 2404e

0 (For Continuation, use USAARMC Form 2348c)USAARMC 2348

~~~~. . . . . . ... . . . . . . . . .

LIMT Ow. SflVCTED ME NUMERS

(continued)FOBGANIZATIOI a OFFICE: HH ,.§SC4CoA, CaB, CoC

Orderly Room & Trng Roomth M. 37.4. A....c, Ft Knox, KY 40121

77I No. wa Il I 7ILS TITL ADIERI=?:czp-,

101-01 X SUSPENSE FILES- Papers or notes or other reminder to submit a report.


101-24 X OFFICE FILE NUMBERS FILES-Approved list of selective file numbers.


103-05 X POLICY AND PRECEDENT FILES-Documents establishing policy and precedent(Bn, 194th, USAAL'IC, FORSCOM, TRADOC, MILPERCEN, DA).

1901-7 K T~G. AD EDUATION P.EF. FILES-DOWMENTS uedin condicting militalry....training exercises, PT Cards, Ref Papers.

1002-03 X TRN'G INSPECTION FILES-Documents related to schedule training inspectiar.

*1 431

IJSAARMC ~2348a AG 7984-O-Army-Kox-F,_ ) 77-JM

-.AR A MO .. . . . . . . . . _

-. .- -.....----.-----

DATE:

UST OF SELECTED FILE NUMBERS I APRIL 19S0K (USAARMC Suppl 1 to AR 340-18-1 and AR 340-2)SPage I of 1 pages

ORGANIZATION: OFFICE:CoA,CoB, CoCk.CS c)oto" ShopOh n Ft A, e I r F HIMM • L. F, 4012 .. Oj.. ed5.t.jei S4h B~ 7,54 ,MvleJ Rgr

LEGENDMF-MISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES (Files that DO NOT document


FILE NO. MF HF FILES TITLE AND BRIEF DESCRIPTION

101-01 X 5USF---: FIIZS-LOIs,DFs,notes ard other assortnriet of notes or ltrs.101-18 X D'F FR0==- RCO.D FIL':-arA ReceiptsIPacldng Lists,or other ccmp

arable dccuements.101-24 X E7 C3 FIIZ 1=:2.- -Co.=y of approved list of file mrwbers used in

• ~shop Cperaticns "-.103-01 X opies of publications issued by any element of the Army or other

Gover-.ent Agency.103-05 1 LOCY J .EZCD.T -=SCF'sInternal and externaltastablis.'r .-..... - .... - • policy or precedent fofiture and continui. action.

1401-07 XCEICS R.-7 FIICS-DA Form 2406 (Feeder Report).1420-02 X USTC.ICAL R_7CCF.D/LCG2CK FILES-T,.: 38-750 prescribes the use of equip- . _

ment logbooks and ma/rnterance historical files.1420-03 1 .:.T SU.AY ._:D . .'LS-Docuzents reflecting the perfr -mance of preventative -7anintenance inspection and docunents used tocontrol manitenance -.:ork.

1420-10 X DIS?.;TCI-- CP?-"IZATIC.TAL CCUTROL .CC-FIL-Docznts used to refle tthe dispatch of a vehicle.:'oral infor ,arian is outlined in .:3--750 ..1420-11: U . -I. T D..IL.Y L'TILIZATI2', Ff.-Docum.ents comploeted by dis-pitcher -"

and operator to provide infor..antion relative to daily use of equip--" c'ent.-

:. 4I20-12 X M..An,"3::.CE P3ZU T FIIZS-Docurnents used to retort maintenance serviceto repc-t completion of !*'.0s,Torecord manitenar--e preformed, to repzrt. : l 2-1A !Xreceipt of defective mat erial, and to submit EL."

142-14I /CiAZ TAGI FIL -Docizent used as receipt fcr replacement parts and . -.

components.:. 1420-18 E UI.-'T f SZCTIC?1/%!AINT W .. ,, FILM-DA Form 2404e

* .

(For Continuation, use USAARMC FGm 2341,7)

-" USAARMC, "" 7 62348

* .

.-- - . -. . pmnma.

S.P

LIST OF SC"- Fl-'r :wUEU .RS(centinuldl

1~t~ ~tta~m. 3-*:. N Haizit, T .d ~tJR

FILE N.FILES TILE AND ~E-~. .... . .". . .B 4 irt

142m-12 x XAINTEJ'1 FILES - Documents used to request caintenance service. .-

142-14 x CGE TAG FILES - Documents used as receipts for replacement ofparts ar.d co=porents.

j

1

U S A A P .w .C I -, o 2 2 A G766 0 -0 -A t

-WOW.- . |

I ...

__ __ _ __ __ _ _....__ _ __ _ ... ... . . -

* DATZ:

LIST OF SELECTED FLE NUASES 17 Feb 73

(USA,RMC S&,ppl 1 to AR 340-18-1 and AR 340-2)"" ~Page I of Z2 aes.I

ORGANIZATION OFFICE:

MF-%%ISSION FILES (Files that document assigned HF-HOUSEKEEPING FILES Files that 00 NOT dezuron,mission functiOns) assianed r-ss'n ft;nctions)

FILE NO. MFI HF FILES TITLE AND I . EF S .:.7: ,N E.

101-01 F - YILE - Copies papers or note or other reminder to zu-"ic areport.

101-13 x CFF PRECORTY . D FILES - Cards, listings, hand receipts, or co=psr-!able documents.

101-24 x OFFIC.E NU3ER FILES - Copies of approved list of selected filenumTb er s. .

103-01 x F=" n U3 FZLES - Cozies of publications issued by nay ele-ent of thear-y, other government agencies. . -

103-03 . -ADTIG FILES r.-opies of outgoing co--unicationsi aran. ch.rono- ••lgicaily, and maintained for periodic review.

103-05 x POLICY A'ND P NCE7E',T FILLS - Ex:ra conies of documents estazlishirtplicy or precedent for future and continain action.

3O-04 x SIG;A:T.UR CARD FILES - Documents used in identifying sin s:-s ofindividials desi-nated as certifying officers for the purrFs- of cer-tifying vouchers. ..-...

223-04 x C- i TION FILLS - Documents used, accu-ulated as a res,'it of an: inspections.224-03 x 1- Vc"TC:! FILES Copies of annual general inspections with re-

* lated papers.

708-01 x VZ-RJ FILES - Documents rertinent to the career and current azsiz*-;ent -. '

of the indiv, copies of 348ts

1401-02 x GM AD.I.' LOGIS&CS FI1S - Documents relating to logistics a--inistr-.tion in general.

141i6-15 X OU;..U2:;T RLISTER FILES - Register listing the document nut-bers a:dtype of supply ac:ion taken.

, 1420-02 x HISTORICAL RZC /L0'3CCK FILES - TM 33-750 prescribes the use ofequipzent logjbooks and s=aintenance historical files.

* 1420-03 !.LU:.T SU:..,RY AUD Y:T FILES - Documents refle:ting the porfor-r.ceof preventive =in: in.-ection3 and documents u-ed to control andrecord maintenance work.

1420-11 x E -:Z:; DAILY UIILIZATICI FILES - Documents completed by di-:.2tchcrand operator to rrovide information relative to tne daily u-: c.LequiT.-ent,

I'"I (For Cantiruation. ue, USAARM.C Fc" :

US AAR1A C ; 348 -

• - ......... ...................... ....... .. " %,

......... .. ... . .... .. ............... ... ... ---- ''......... ..

LIST 'F FILE NUMBSte

(AR 340-XX (Test)) 1 July 1983

Organi. ation:OfieSOffice:

Org~~tion:PAC/S-i (including S-i Legal)

5th Battalion, 73rd Armored ,Regiment ___(ildnS1ea

MARKS Number: Files Title and Brief Description Give Sys A:

-la IG INSPECTION FILES: Documents accumulatedas a result of an IG inspection.

27 GENERAL LEGAL FILES: General correspon-dence on legal matters not identified withdetailed MARKS legal file numbers below.

27-la SUMMARY COURTS-MARTIAL FILES: Retained 4

copies of formal record of trial of mili-tary personnel by summary courts-martial,and other related correspondence.

27-lb.. SPECIAL CQURTSDMARTIAL FILES: Retainedcopies of chargesheets with relatedpapers, correspondence from the officer ex-ercising immediate GCM jurisdiction overthe command.

27-ic COURTS-MARTIAL LOCATOR FILES: Documentsused for controlling cases which are to betried by summary and special courts-martial.

37-2a OFFICE FINANCIAL FILES: Telephone toll calls.

220-lb PERSONNEL READINESS FILES: Documents ofpersonnel information for use in event ofdeployment.

220-45a DUTY REPORTING FILES: Copies of DA Form 1594used by CQ and Duty Officer.

220-45b DUTY ROSTER FILES: Documents used to recordduties within companies of 5/73 Armor.

310-2a HOUSEKEEPING INSTRUCTION FILES: Duty

appointments.

310-2b POLICY AND PRECEDENT FILES: Documents estab-lishing policy (Bn, 194th, USAARMCO), andreference papers formerly identified underTAFFS File Number 701-07 (MIL REEP Files --

error reports) .

DAAG Form -R--. 1 May 1983


-- - '" "--- -- .. ' . ., i, . ' -- ".:• - .:.; - ,: , - ,-? , ,- -. '-. -,.,-:.. -

.Organization: Office:

5th Bn. 73rd Armored Regiment I PAdS-i (includina S-1 Leaall

MARKS Number: Files Title and Brief Description Privacy AGive Sys i,

(page 2 of 3 pages)

310-2c REFERENCE PUBLICATION FILES: Library ofAR's, Pamphlets, etc.

340a OFFICE GENERAL MANAGEMENT FILES: Documentsrelating to internal management of theoffice.

340b OFFICE SERVICE AND SUPPLY FILES: DA Form12-series (pinpoint distribution account).

340c OFFICE PROPERTY RECORD FILES: Documentsshowing accountable office property.

340-XXa LISTS OF FILE NUMBERS: DAAG Form -Rshowing files maintained within the office.

340-XXb OFFICE'RECORDS TRANSMITTAL FILES.: Recordstransmittal lists (SF-135, SF-135A) showingrecords transferred from 5/73 Armor to theFort Knox Records Holding Area.

340-4a FILES EQUIPMENT APPROVAL/UTILIZATION FILES: -Approval and use of files equipment.

340-8a WORD PROCESSING APPROVAL/UTILIZATION FILES:Approval and use of word processing equipment.

340-20a COPIER APPROVAL/UTILIZATION FILES: Approvaland use of office copiers.

340-22a MICROGRAPHICS APPROVAL/UTILIZATON FILES:Approval and use of micrographics equipment.

600 GENERAL MILITARY PERSONNEL FILES: Generalcorrespondence dealing with military per-sonnel matters that cannot be identifiedwith the detailed numbers bel;ow.

600-31a PERSONNEL ACTION SUSPENSE REPORTING FILES:Copies of DA Form 268 (flagging actions).

630-5a LEAVE OF ABSENCE FILES: Documents used tocontrol absences; DA Form 31 (Request andAuthority for Leave).

DAAG Form -1-R1 May 1983 - -

.~~~~ .. " . . . . .]

... ... .. ...... .. ....... .............. ..... ..... .. ....... . ..... .... .. .... L .

Organization: Office:I PAC/S-i (including S-i Legal)5th Bn, 73rd Armored Regiment I (icuin_-_Lgl

Privacy ActMARKS Number: Files Title and Brief Description Give Sys #:

(page 3 of 3 pages)

630-5b LEAVE CONTROL LOG FILES: DA Form 4179-R andrealted or similar documents to control leave.

640-10b QUALIFICATION RECORD EXTRACT FILES: Copiesof DA Forms 26.

672-5-1c MILITARY AWARD CASE FILES: Recommendation, A0718.01review, and approval or disapproval DAPCof military awards for individuals.

680a SIDPERS REPORTING FILES: SIDPERS Rosters.

680b PERSONNEL DATA FILES: PDC Cards. A0715.01aDAPC

680c PERSONNEL STRENGTH ZERO BALANCE REPORT:SIDPERS C-27 Report (end-of-month).

680d INDIVIDUAL PERSONNEL CHANGE FILES:DA Forms 3815.

680-lb MILITARY PERSONNEL REGISTER FILES:DA Forms 647-1, used to control PCS,TDY, ETS, etc.

680-ic INFORMATIONAL PERSONNEL FILES: A0703.01Documents on individuals of 5/73 DAPCArmor, created as a result ofrouting routine correspondence.

680-31a STRENGTH REPORTING FILES: PersonnelAsset Inventories.

680-201a DEPARTURE CLEARANCE FILES: DA Forms A0706.02137 for departing individuals. DAAG

DAAG Form -1-RDb G1 May 1983

ID

...................................................................-.........-.. . °.o-..o.-..o .. ,.. ° °, .•.... ° ..-.. °,o~~~~~~~~~~~~~~~~~~. .o.-........oo° °"...°.°. .o.°.°. ... °..%.......o.... ....-...... .-. .-

~Date:LIST 'OF FILE NUMBERS

(AR 340-XX (Test))1 July 1983

Organi 'ation: Office:

5th Battalion, 73rd Armored. Regiment S-2' ' Privacy Act?

MARKS Number: Files Title and Brief Description Pivacy #t

190-13a GUARD REPORTING FILES: Retained copiesof the guard report, DA Form 904.

190-13b GATE GUARD FILES: Documents relating tomeasures taken to guard Government facil-ities and military prisoners, assignmentsheets, gun registers, registers reflect-ing movement of vehicles into/out ofGovernment facilities, etc.

220-la READINESS REPORTING FILES: Documentsrelating to the reporting of actualreadiness conditions of 5th Battalion,73rd Armored Regiment.

310-2b POLICY AND PRECEDENT FILES: Documentsestablishing policy (Bn, 194th, USAARMC,FORSCOM, TRADOC, MILPERCEN, etc.). Alsoincludes reference paper files on intelli-gence and security which are used to facili-tate, control, or supervise the performanceof a specific function, process, or action.Also includes records formerly identifiedas "READING FILES" consisting of CrimePrevention Council meeting minutes, Command& Staff, 194th letters, recurring reportsregister, tornado warning plan, state/locallaws on registration and possession offirearms.

310-2c REFERENCE PUBLICATION FILES: Officelibrary of AR's, Pamphlets, etc.

340a OFFICE GENERAL MANAGEMENT FILES:Documents relating to the internalmanagement of the office operation.

340b OFFICE SERVICE AND SUPPLY FILES:Routine requests for goods and servicesfor the continuing operation of theoffice.

DAAG Form -R1 May 1983

. * .** . .,

Organization: Office:

5th Bn°. 73rd Armored Regiment _-_

Privacy I

MARKS Number: Files Title and Brief Description Give Sys

(page 2 of 3 pages)

340c OFFICE PROPERTY RECORD FILES: Handreceipt&.

340-XXa OFFICE LIST OF FILE NUMBERS: Approvedlist of file numbers for S-2 (DAAGForm -R).

350 GENERAL TRAINING AND EDUCATION FILS:General correspondence on training andeducation that cannot be identified underthe detailed numbers in AR 340-XX (Test).

380 GENERAL SECURITY CORRESPONDENCE FILES:General correspondence on security thatcannot be identified with the detailedsecurity records listed below.

380-5a SECURITY BRIEFING/DEBRIEFING FILES:Security termination statement anddebriefing certificate, DA Form 2962.

380-5b SECURITY INSPECTION/SURVEY FILES:Quarterly battalion inspection; armsroom inspection.

380-5c ORIENTATION AND BRIEFING FILES:SAEDA orientation, lectures, rosters.

380-5f SECURITY CONTAINER INFO FILES:Classified container information.

380-5g CLASSIFIED DOCUMENT RECEIPT FILES:Classified document accountabilityrecord, DA Form 3964.

380-5h OFFICE CLASSIFIED DOCUMENT REGISTER/CONTROL FILES: Confidential docu-ment control log.

380-5k SECURITY CLASSIFICATION FILES: Doc-uments relating to reports on securityclassification.

DAAG1 Form -1-R1 May 1983 -

*.,

AJJ.01 % JX Z.L LJA. i"% * -

Organization: office:

5th Bn, 73rd Armored Regiment _____

Privacy Act

MARKS Number: Files Title and Brief Description Give Sys :

(page 3 of 3 pages)

380-5p SECURITY CLEARANCE INFORMATION FILES: A0506.01RequestS. for clearance and related DAMIpapers.

381 GENERAL MILITARY INTELLIGENCE CORRES-PONDENCE FILES: General correspondencerelating to military intelligence thatcannot logically be filed with the de-tailed intelligence file numbers inAR 340-XX (Test).

600-21a EQUAL OPPORTUNITY REPORTING FILES:Documents reflecting informationreported on activites and conditionsof equal opportunity for military

* personnel.

600-21b EQUAL OPPORTUNITY SURVEY FILES:Documents on conducting surveys ofthe mplementation and effectivenessof the equal opportunity program forall military personnel.

600-21c EQUAL OPPORTUNITY COMPLAINT FILES:Documents showing complaints ofpersonnel concerning equal oppor-tunity.

710-2h ACCESS CONTROL RECORDS: Security ofweapons, ammunition, and sensitiveitems; Key Control Register; receiptsfor keys and locks to arms roomswithin 5th Battalion, 73rd ArmoredRegiment.

DAAG Form -1-RS - DAAG1 May 1983

o....W

-..-. '., *.-.-... ..--

LIST F FILE NUMBERS Date:

(AR 340-XX (Test))

5I July 1983


5th Battalion, 73rd Armored. Regiment s-3

MARKS Number: Files Title and Brief Description Privacy Act?Give Sys #:

20-la INSPECTOR GENERAL INSPECTION FILES:Copies of Annual General Inspectionswith related papers.

220-15a DAILY JOURNAL, STAFF JOURNAL, ANDTACTICAL OPERATIONS CENTER (TOC)LOG FILES: Operating logs of the S-3.Included are logs and ammunitionexpenditure forecasts and charts.

310-2b POLICY AND PRECEDENT FILES: Copiesof operating procedure statements ofpolicy and/or procedures from higherand local commands. Also includedare documents formerly identified asTRAINING AND EDUCATION REFERENCEPAPER FILES (TAFFS # 1001-07), in-cluding descriptions of schools(Basic First Aid, BNCOC, NBC,Master Gunner, Motor Officer, OJT,Shelter Manager/Monitor, Projection-ist Course, TVM); funerals; inspections.

310-2c REFERENCE PUBLICATIONS FILES: Copiesof AR's, Pamphlets, etc. kept for reference.

310-31a ORGANIZATION AND ALLOWANCE FILES:TOE and manpower survey documents andrelated papers.

340a GENERAL OFFICE MANAGEMENT FILES: Docu-ments accumulated that relate to general,routine and internal management and oper-ation of the office.

340-XXa LISTS OF FILE NUMBERS: Approved list ofS-3 file numbers (DAAG Form -R).

350-la TRAINING INSPECTION FILES: MasterTraining Schedule and Weekly Trainingschedule/highlights; copies of trainingmanagement inspections.

6 DAAG Form -R1 May 1983

......................... * . .* *. *. *..

Organization: 0fice:

5th Bn0 73rd Armored Regiment Privacy Ar '

MARKS Number: Files Title and Brief Description Give Sys

(page 2 of 2 pages)

385-l0b TARGET PRACTICE SAFETY FILES:Range utilization reports.

500-50a EMERGENCY PLANNING FILES: Copiesof plans that require emergency planningfor domestic disturbances, disasterrelief, civil/military defense andspecific instruction for executingthese plans.

525a COMMAND REPORTING FILES: After-action reports.

672 GENERAL AWARDS AND DECORATIONSCORRESPONDENCE FILES: Documentsrelating to awards and ceremonies.

870-5a ORGANIZATION HISTORY FILES: Docu-ments relating to organizationalhistory which include copies ofannual unit history supplements,copies of lineage and honors, news-paper and magazine clippings. _

DAAG1 Form1 may 1983 -1-R

I

"-..."....-......-...........-...-..........-....-.... -'........"..-......................,.........."..'........--.........-,.. ...... -.. .".....

I Date:LIST OP FILE NUMBERS a


Office:Organization:

5th Battalion, 73rd Armored..Regiment S-4~Privacy Act?

MARKS Number: Files Title and Brief Description Give Sys At

20-la IG INSPECTION FILES: Copies of annualgeneral inspections with related papers.

310-2b POLICY AND PRECEDENT FILES: Extra copiesof documents establishing policy (CO, Bn,194, USAARMC, FORSCOM, TRADOC, DA, S-4,Info letters).

310-2c REFERENCE PUBLICATION FILES: Copies ofAR's, Pamphlets, etc. maintained forreference.

310-31b EQUIPMENT TABLE FILES: Documents re-lating to special authorizations.

340a OFFICE GENERAL MANAGEMENT FILES: Docu-ments relating to the general routineand internal administration of theoffice.

340b OFFICE SERVICE AND SUPPLY FILES:Self-service supply center files; joborder requests.

340c OFFICE PROPERTY RECORD FILES: Docu-ments consisting of user's copy ofhand receipts for items of propertywithin S-4, but not including propertyBattalion-wide fr-which the S-4 isresponsible.

340-XXa OFFICE FILE NUMBERS: Approved list offile numbers for S-4 records.

340-XXb OFFICE RECORDS TRANSMITTAL FILES:SF-135's for records transferred fromS-4 to Fort Knox Records Holding Area.

380-5c SECURITY AWARENESS FILES: Documentsrelating to security regulations.


.: '.' -.-'."- . ' - . ' -.- , ' -' .. ''". " -' . . - ., - .- .. .- -- - .. ---- . - - . "- -.- - . - -. . -.. -. -,- - .. - - -. . ..- .-

Organization: 0fice:S-4

5th Bn, 73rd Armored Regiment Privacy A' " Privacy •

MARKS Number: Files Title and Brief Debcription Give Sys

(page 2 of 3 pages)

385 GENERAL SAFETY CORRESPONDENCE FILES:General correspondence on safety thatcannot logically be filed with detailedsafety file numbers below or inAR 340-XX (Test). Includes fireinspection reports.

385-10a ACCIDENT-INCIDENT CASE FILES: A0607.01bDocuments relating to individual DAPEaccidents (DA Form 285).

710 GENERAL INVENTORY CORRESPONDENCE FILES:General correspondence on control ofinventory which cannot logically befiled with the 710 numbers below. In-cludes supply trahsaction reports.

710-2a PROPERTY BOOK AND SUPPORTING DOCUMENTFILES: Documents reflecting the description,receipt, and turn-in of property.

710-2b DOCUMENT REGISTER FILES: Documentsused in transacting supply actions.

710-2c HAND RECEIPT FILES: Documents relating A1416.16to the loan and return of property DALOand supplies, but not including thosehand receipts whici are part of theSoldier Issue Files (number 710-2gbelow).

710-2d PROPERTY RECORD INSPECTION REPORTFILES: Documents related to inspectionsof unit property records.

710-2g SOLDIER ISSUE FILES: A1416.16Documents showing items of accountable DALOproperty signed for by individual (and)soldiers. Includes hand receipts A1416.34for bedding, linen, foot lockers, DALOand similar items; personal clothingrecords; and Organizational Clothing andEquipment (OCIE) records.

DAAG Form -1-RMay 1983 I

p.... .. .. ... ..... o...... .............. .-.-... .... . .. .. . o. . ,.-..... ,..--..° * .

Organization: -Office:. S-4

5th Bn, 73rd Armored Regiment

MARKS Number: Files Title and Brief Description Privacy Act?Give Sys :

(page 3 of 3 pages)

710-21 PROPERTY LOSS, THEFT, AND RECOVERYREPORTING FILES. Inventory ofweapops (small arms); documents re-lating to the loss, theft, andrecover of weapons.

735-11a REPORT OF SURVEY FILES: Reportsdescribing the circumstances andrecommended action concerning the loss,damage, or destruction of Governmentproperty.

735-11b REPORT OF SURVEY CONTROL REGISTER FILES:Registers and related documents maintainedto control reports of survey.

750a MAINTENANCE SUMMARY AND MANAGEMENT FILES:Equipment status reports.

750c MAINTENANCE REQUEST FILES: Documents usedto request maintenance service.

Form--R"DAAG F--R

1 May 1983

... . . .. . .. . . .-..-.9... . . . .. .... .. . . . ... ... . .... I1• "'t °'.

o"°" "°

o°"" °"

" ° o "~~~~~~~- - , ' ' o

"94~9

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'° °.. °99 ,°* ° 4-A..S n-'t. 9 9 k °99A, A 9 9- .A -A t, ° - At°t-° - ! ." >..-S',-, ' • " " .

LIST 1OF FILE NUMBERS Date:

(AR 340-XX (Test))


5th Battalion, 73rd Armored. Regiment Battalion Mail RoomPrivacy Act?

MARKS Number: Files Title and Brief Description Give Sys #:

65a POSTAL PERSONNEL DESIGNATION FILES: A1108.05aDocuments used to appoint mail clerk and DAAGalternate mail clerk.

65e STANDING DELIVERY ORDER FILES: A1108.18PS Form 3801, authorization to handle DAAGBattalion Commander's mail.

65f UNIT MAILROOM ACCOUNTABLE MAIL RECEIPTFILES: Documents used for accountabilityof registered mail (Insured, Certified,Registered).

65j UNIT MAILROOM INSPECTION FILES: Docu-ments used for unit mail room inspectionsby 194th Brigade.

340-XXa FILE NUMBER FILES: Approved list of file" numbers for Battalion Mail Room, 5/73 Armor.

4I!

ft DAAG Form -R1 May 1983

.:~,.. . . ** .. . . . . . .

Date:



Organization: Office:Orderly Room/Training Room

5th Battalion, 73rd Armored, Regiment HHC CSC CoA CoB CoCi J iPrivacy Act?

MARKS Number: Files Title and Brief Description Givacy At

310-2b POLICY AND PRECEDENT FILES: Documentsestablishing policy and precedent (Battalion,194th Brigade, USAARMC, FORSCOM, TRADOC,MILPERCEN, DA, etc.).

310-2c REFERENCE PUBLICATION FILES: Copies ofAR's, Pamphlets, etc., retained forreference purposes (office library).

340c OFFICE PROPERTY RECORD FILES: Handreceipts for office property.

340-XXb OFFICE FILE NUMBER FILES: Approvedlists of file numbers.

350 GENERAL TRAINING CORRESPONDENCE: Gen-eral correspondence dealing with trainingthat cannot logically be identified with

. the training file numbers below.

350-la TRAINING INSPECTION FILES: Documentsrelated to scheduled training; traininginspections; and similar or relatedinformation.

350-lb PHYSICAL FITNESS TRAINING FILES: ArmyPhysical Fitness Evaluation Scorecards,DA Forms 705, and similar or relatedin;formation on physical training.


_., .. ,... .. .... , . .,.. . . . .:.:: :::: i ::

Dt

LIST IF FILE NUMBERS

(AR 340-XX (Test))

1 1 July 1983

Organization: Ofice:

5th Battalion, 73rd Armored. Regiment o Shopi trcPrivacy Act?

MARKS Number: Files Title and Brief Description Give Sys #:

58-la DISPATCHER ORGANIZATIONAL CONTROL RECORDFILES: Documents used to reflect thedispatch of vehicles. Information require-ments are outlined in TM 38-750, TAMMS.

58-lb EQUIPMENT DAILY USE FILES: Documentscompleted by dispatcher and operator toprovide information relative to daily useof equipment.

310-2b POLICY AND PRECEDENT FILES: SOP's (internaland external) establishing policy or precedentfor future and continuing action.

310-2c REFERENCE PUBLICATION FILES: AR's, Pamphlets,TM's, TB's, MWO's, etc. used in the Motor Shopfor reference purposes.

340c OFFICE PROPERTY RECORD FILES: Hand receipts,packing lists, or other comparable documents.

340-XXa OFFICE FILE NUMBERS: Approved list of filenumbers used in the Motor Shop.

750a MAINTENANCE SUMMARY AND MANAGEMENT FILES:Documents reflecting the performance of pre-ventive maintenance inspections, and docu-ments used to control maintenance work.Also includes DA Forms 2406, MaterielCondition Status Reports.

750b HISTORICAL RECORD/LOGBOOK FILES: Officialrecords prescribed for equipment byTM 38-750 (TAMMS).

750c MAINTENANCE REQUEST FILES: Documents used to*report maintenance service; completion of

MWO's; maintenance performed; receipt ofdefective materiel; and to submit EIR.

750e EXCHANGE TAG FILES: Documents used as receiptfor replacement parts and components.


* -]

.. ..¢. .... .. .... .. . . .. ... . .... ... . .. .. ... .. ..... . . ; ; . ... : .. . .. ... . .. .. . . - " ' ' "

LIST OF FILE NUMBERS (Continued)

Orga~ii zati on:Ofie

5th En. 73rd Armored Regiment MotorShopPrivacy

MARKS Number: Files Title and Brief Description Gv y_______________________________Give___Sys

(page 2 of 2 pages)

750g EQUIPMENT INSPECTION/MAINTENANCE WORKSHEET FILI5:DA Forms 2404.

DAAG Form --1 May 1983 --

DRAFT FINAL REPORT


Chapter 5

Instruction at 5th Bn, 73rd Armor, June 1983

1. Formal training of those members of 5th Battalion, 73rd Armor who areinvolved in record-keeping as a part of their daily duties began at 0900 hourson Wednesday, 22 June 1983. Participation was scheduled by ILT Skidmore, Adj-utant, 5/73 Armor. Classes were held in the Battalion Conference Room, whichwas adequate for this purpose.

2. Training was conducted in accordance with FM 21-6; a copy of the lessonplan is at Enclosure # 1 to Chapter 4 of this final report.

3. At every opportunity during the year preceding start of the pilot, theMARKS Project Officer had stressed to officials of TRADOC, FORSCM, Fort Knox,and others that the training could be conducted in groups as small as two orthree individuals so as not to interfere with the battalion's operations,training, and maintenance activities. The participation as scheduled, however,had large (10 person) groups attending at one time, all from the sae dutysection. Due to a minor scheduling problem, only two individuals (both fromthe S-2 Section) were present for the afternoon of 22 June out of 11 sched- tuled. As a result, and in order to adhere to the non-interference guarantee twhich we had given, those individuals who missed that afternoon's trainingwere given individual, desk-side instruction during the second week of thevisit.

4. Beginning on Monday, 27 June, the MARKS Team (accompanied by the FortKnox Records Management Officer) visited each site in 5/73 Armor where rec-ords are actually maintained and discussed the pilot with the responsibleindividuals who had been trained during the preceding week. The purpose ofthis visit was two-fold, namely, (a) to ensure that the training was under-stood and retained, and (b) to validate both AR 340-2 and AR 340-XX (Test) tomake sure that the record series contained therein reflected the real world ofrecord-keeping at the TOE unit level. Sites visited were PAC, S-I/Legal, S-2,S-3, S-4, all unit supply rooms (Co. A, B, C, HHC, CSC) and Battalion Main-tenance.

5. During this instruction period all participants were informed that --

a. They could raise questions at any time via telephone to the FortKnox Records Manager or by AUTOVON to the MARKS Team.

b. A quarterly visit would be made to 5/73 Armor for on-site evalua-tion of progress and resolution of problems.

6. At Enclosure # 1 is a list of those receiving the training.

.......... . . .

Record-keeping personnel, 5th Battalion, 73d Armor.

NAME GRADE PHONE # BUILDING #

PAC

LEE, Marion E-5 4-8334 2376

MALLARD, Eddie E-4 4-8334 2376

BOEHM, David E-3 4-8334 2376 p

JONES, Anthony E-2 4-8334 2376

DE JESUS, Eugenio E-2 4-8334 2376

S-I, Legal

HENNECK, E-4 4-8334 2376

S-I, Battalion Mail Room

BRANDON, E-3 4-8334 2376

S-2

KINGSLEY, Neil 0-2 4-4911 2376

DAVIS, Franklin E-8 4-4911 2376

HENRY, E-5 4-4911 2376

S-3

PEARCE, E-3 2376

s-4

DAVIS, Danny E-4

Enl #1 to Chapter 5

- .* -~ - -. - ~ .. *-... . . . . . . . . . . -. *-". .. ."

HHC Supply Room

TALAPU, Faifua E-6 4-2644

CSC Supply Room

HONIG, Daniel Wol 4-4510

McCANICK, Arizona E-2 4-4026 2376

BALASA, John E-6 4-4026 2376

Co. A Supply Room

WESSON, Lyle E-6 4-4614 2922

CRUMMETT, John E-4 4-4614 2922

Co. B Supply Room

*PRUIETT, Bobby E-6 4-6143 2375

RICHARDS, Charles E-4 4-6143 2375

Co. C Supply Room

MISHLER, Dewey E-4 4-3120 2934

Battalion Maintenance

* - - . -n - - .

DRAFT FINAL REPORT


Chapter 6 I

Summary of Contacts with Members of 5th Bn, 73rd Armor

1. At the inception of the pilot at 5/73 Armor, the MARKS team encouraged allparticipants to make any suggestions, comments, or constructive criticismswhich they felt would improve the system or make it more usable by the field.

2. During the course of the pilot the following such suggestions were made:

a. SP4 Davis, S-4, brought to our attention the absence of a record cate-gory dealing with energy conservation, which is an important subject at FortKnox (and receives equal emphasis throughout the rest of the Army). As a re-sult of his suggestion, file numbers 11-27a, b, and c were added to the testregulation, being energy conservation files prescribed by AR 11-27, The ArmyEnergy Program.

b. SGT Lee, PAC, called to our attention the fact that the PAC maintainsrecords on the progress that soldiers are making in the weight control pro-

_j gram. As a result of this suggestion, we added file number 600-9a to coverthe records that are prescribed by AR 600-9, The Army Weight Control Program.

c. SP4 Henneck, PAC/Legal Clerk (at the beginning of the pilot) pointedout a misidentification in the test regulation of records dealing with courts-martial; they had been initially identified with AR 27-1, and should have beenlisted under AR 27-10, Military Justice. -- "

d. SP4 Henneck also brought to our attention the absence of a record ser-ies covering the various categories of administrative separation (convenienceof the Government, dependency, hardship, defective enlistment or induction,pregnancy, alcohol or other drug abuse, good of the service, unsatisfactoryperformance, misconduct, or homosexuality). All of these records are pre-scribed by the various chapters of AR 635-200, Enlisted Personnel. As a resultof this suggestion, we added file number 635-200a to the test regulation.

e. PFC Foutch, PAC/Legal Clerk (during the last half of the pilot) re-quepted assistance in identifying records maintained in the PAC on "bars toreenlistment," which are prescribed by AR 601-280, Army Reenlistment Program.Because of this suggestion, file number 601-280a was added to the test regu-lation.

f. SP4 Mishler, Co C, 5/73 raised a question on identification of retained(unit supply) copies of 10% inventories of accountable property, which are

. . . . .

. .~~~.*......... ~~~ ~ .. . .. . . . . . . . . . . . . . . .

Chapter 6Summary of Contacts with Members of 5th Bn, 73rd Armor (Continued)

conducted monthly in all unit supply rooms within the battalion. To clarifythe filing of these records, file number 710-2d, Property Record Inspectionand Inventory Reporting Files was changed to add cyclic inventories to thedescription, and to add a one-year disposition standard for unit supply rooms.

g. SGT Balasa, HHC 5/73 questioned the completeness of file number 735-11cfor records dealing with Government property lost, damaged, destroyed, orstolen. As a result of his suggestion (following research and staffing), thedescription and disposition of file number 735-11c were changed to provide forboth DD Form 1131 (Cash Collection Voucher) and DD Form 362 (Statement ofCharges).

3. With the exception of paragraph 2a above, all these suggestions had an im-pact on the Amy at large. These record series were added not only to thetest regulation, but also to AR 340-2, Maintenance and Disposition of Recordsin TOE and Certain Other Units of the Army.

4. A total of six (6) visits were made by the MARKS Project Team to 5th Bn,73rd Armored Regiment during the period 20 June 1983 through 3 July 1984. Theindividual trips and their purposes are as follows:

DATES PURPOSES/REMARKS -

20-28 June 1983 Instruction; start pilot (Trip Report, Encl # 1)

31 July - 3 August 1983 Correct misconceptions (Trip Report, Encl # 2)

7 September 1983 Visit by MACCM reps (Trip Report, Encl # 3)

8-9 December 1983 Assistance visit (Trip Report, Encl # 4)

24-26 April 1984 Distribute revised regulation; render assistance(Trip Report, Encl # 5)

1-3 July 1984 Wind up pilot, administer questionnaires to par-ticipants (Trip Report, Encl # 6)

5. During the course of the 31 July - 3 August 1983 visit it was discoveredthat none of the pilot participants really understood the construction of afile label with its various components (file number, title, year of accumula-tion, specific disposition instructions), even though the subject was includedin the formal instruction of June, 1983. The conclusion drawn from this isthat conversion of generic disposition instructions (i.e., "Destroy after 5years") in our record-keeping directives into specific cut-off, transfer,retirement, and destruction dates is unnecessarily complex, as it requires theuser to refer to a complicated decision-logic table. To alleviate this sit-uation we decided to include sample file labels, active and inactive, in the

2

Chapter 6Summary of Contacts with Members of 5th Bn, 73rd Armor (Continued)

regulation so that the user could copy them out onto a label rather thantrying to construct them. This is demonstrated in the revised AR 340-XX(attached to Encl # 7), which was distributed to pilot participants at the24-26 April 1984 assistance visit. The inclusion of sample labels has nowbeen adopted Army-wide in AR 340-2, Maintenance and Disposition of Records inTOE and Certain Other Units of the Army.

6. During the 31 July - 3 August 1983 visit, SFC Ardoin, Mess Sergeant of theConsolidated Battalion Mess expressed concern that although the diningfacility records were being maintained under MARKS, the facility was subjectto food service inspections by HQ, USAARMC & Fort Knox (ATZK-DI-S), which wasnot - at that time - under MARKS. To resolve this, the MARKS ProjectOfficer contacted Food Service, explained the concept of the pilot, and for-warded informational materials (see Encl # 8). Later visits to the Consol-idated Battalion Dining Facility indicated that food service inspections, in-cluding inspection of Dining Facility records under MARKS, had taken placewith positive results.

7. From two different sources (MG Ono, DCSPAL, HQ USA TRADOC and PFC Foutch,Legal Clerk, 5/73 Armor) came concerns that personnel in MOS 71L would betested on knowledge of TAFFS in the Skill Qualification Test (SQT), while -

actually operating under MARKS, and thus could be subject to inadvertent - -

penalty. Liaison by the MARKS Project Officer with the officials responsiblefor SQT content for 71L indicated that those portions of the SQT dealing withthe filing system cover areas that are the same between TAFFS and MARKS, andthus would not have a bearing on the individual's score (see Encl # 9).

3

* ~-. --.

...............

-~ ~~~~~~ .. . . .. . . . . Z . ' T ; ; . . . . r. r. -

5 July 1983

DAAG-AMR-P

SUBJECT: Trip Report: Visit to Fort Knox, 20-30 June 1983

1. The MARKS Project Team (John Vos, GS-12 and Bert Haggett, GS-5) -visited Fort Knox, Kentucky during 20-30 June 1983 for the purposeof installing The Modern Army Record-Keeping System (MARKS) in 5thBattalion, 73rd Armored Regiment, 194th Armored Brigade for a one-yearpilot study.

2. Persons contacted:

a. A listing of individuals who received training and/or in-struction on MARKS is attached at Inclosure # 1.

b. Other individuals contacted:

NAME AND GRADE POSITIONCOL Price.: Chief of Staff and Deputy Post CommanderCOL Bilberry Director, Personnel/Community ActivitiesLTC Carey Dep Cdr. 194th Armored BrigadeLTC Edwards AG, Fort KnoxLTC Garber Commander, 5/73 ArmorMAJ (P) Moler 5/73 ArmorMAJ Hammonds 5/73 ArmorLT McEachlin 5/73 ArmorMAJ Monza 5/73 ArmorLT Skidmore Adjutant, 5/73 ArmorMs. Poore Chief, Admin Services DivisionMr. Smith Records Manager, Fort KnoxCPT Liang S-4, 5/73 ArmorCSM Gilbo Command Sergeant Major, 5/73 Armor

3. Team arrived at Fort Knox on afternoon of 20 June 1983 and metwith Mr. Smith, Fort Knox RMO, that afternoon.

4. At 0900 Tuesday, 21 June 1983, we met with LTC Edwards, FortKnox AG to discuss scope and parameters of the study. At 1330 on21 June we conducted an entrance brief at HQ Fort Knox which wasattended by Colonels Price, Bilberry, and Green, other officers of194 Bde and 5/73 Armor, and officials of the AG Section.

5. Training of members of 5/73 Armor began at 0900 Wednesday,22 June 1983. The Battalion conference room, a converted mess hallbuilding, was put at our disposal for this purpose. All facilitiesfurnished during this visit were adequate. Attendance of thosemembers of 5/73 Armor whose duties involve record-keeping wasscheduled by T Skidmore, Adjutant, 5/73 Armor. The training was

Encd # 1 to Chapter 6

-" " -- " . * - ." " 4- "° *• * " .4 . •. "..".4 . , . . . . -S -" ." * - 44" -4 " . . ..'"• - " •"°

"

DAAG-AMR-PSUBJECT: Trip Report: Visit to Fort Knox, 20-30 June 1983

administered in accordance with FM 21-6, "How to Prepare andConduct Military Training," and the Lesson Plan, a copy of whichis attached at Inclosure # 2. Although the schedule called fortraining to be given in four-hour blocks, experience showed thatthree hours of actual classroom instruction and practical exercise/experience is sufficient to get the message across.

6. At every opportunity over the past year we have stressed toTRADOC and Fort Knox that the training could be conducted in groupsas small as two or three individuals at a time in order not tointerfere with essential operations and training of the battalion.However, the scheduling done by LT Skidmore had large groups of10 - 12 individuals, all from the same duty section, attending theclass at one time. Due to a minor scheduling problem, only twopersons (MSG Davis and 1LT Kingsley, both from S-2, 5/73 Armor)were present for the training session on the afternoon of 22 Juneout of a total of 11 individuals who were supposed to have beenpresent. As a result, and in order to adhere to our promise ofnon-interference, those individuals who were supposed to have beentrained in that class (but were not present) were given individual,desk-side instruction during the second week of the visit.

7. The attitudes and interest shown by members of 5/73 Armor wereoutstanding throught the entire pre-pilot training period. Wherear'--we had expected that a relatively mundane subject such as record- __

keeping might be met with some indifference, we found that thetroops were not only interested, but embraced the MARKS conceptenthusiastically. In two of the training sessions (Wednesdaymorning and Thursday afternoon, Battalion PAC and Supply personnelrespectively) the trainees asked perceptive and intelligentquestions on how the system would work and how it would affecttheir daily operations.

8. Beginning on Monday, 27 June, the Team (accompanied by HowardSmith, Fort Knox RMO) visited each site in 5/73 Armor where recordsare actually maintained, and discussed the pilot with the respon-sible individuals who had been trained during the preceding week.The purpose of this on-site visit was two-fold, namely, (a) to in-sure that they had understood and retained the training which theyreceived, and (b) to validate both AR 340-2 and AR 340-XX (Test) toinsure that the record series contained therein reflect the real worldof record-keeping at the TOE unit level. In the course of thesevisits we covered the Bn PAC, S-1, S-i/Legal, S-2, S-3, S-4, allunit supply rooms (Co. A, Co. B, Co. C, HHC, CSC), and BattalionMaintenance. These visits did, in fact, point up a number of

2

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,~~~~~~~~~~... . . . .. . . ... o. . ,.. .. ... - , . . ...... •u t , .'

......... ....... ." i,. "•, \ "• • °••." - - - . . . ..- ."" ,'-.


areas where additions are needed in both AR 340-2 and AR 340-XX(Test):

a. The Battalion Legal Clerk, SP4 Henneck, actually maintainsrecords beyond the scope of what is in either TAFFS or MARKS forTOE units. As a result of examining his files and discussing his -:requirements, we conclude that the following need to be added toboth regulations:

(1) Within Programs Branch, we have developed a new recordseries to cover non-judicial punishment (resulting from therecent reissuance by OTJAG of the AR on administering Article15's). This file number will be added.

(2) A considerable volume of records accumulates ondischarge board proceedings (unsuitability, unfitness, hardship,etc.) that are prescribed by several chapters in AR 635-200. Thisarea is covered in AR 340-2, FN 727-01, Discharge Board ProceedingsFiles, but the number was not converted over into AR 340-XX (Test),apparently by administrative oversight.

(3) Two file numbers (404-02 and 404-03) relating tocourts-martial, which are in AR 340-18-4 but not in AR 340-2 orAR 340-XX (Test) are needed at the TOE unit level; they will beadded.

b. Discussions with Sergeant Wesson, Supply Sergeant, Company A,5/73 Armor indicated that two more record series are needed under735, Property Accountability, namely, "TOE Property Listings" (whichwill be FN 735-11c), and "Statements of Charges" (which will beFN 735-11d).

9. During this visit the mechanisms for assisting 5/73 Armor overthe next year were placed in motion:

a. All participants were informed that they can raise questionstelephonically, either to Howard Smith, or by AUTOVON to the MARKSTeam.

b. Both Howard Smith and the MARKS Team will maintain andretain a "MARKS Inquiry Record", DAAG Form 309, during the courseof the pilot.

c. A quarterly visit will be made to 5/73 Armor (next: earlySeptember, 1983) for on-site evaluation of progress and resolutionof problems. The battalion will be away from Fort Knox duringOctober, and will be going either to Fort Drum or NTC in January1984. Visits will be scheduled around these absences of the battalion. .

3

. . . . . . .

. . . S ~ ~ ~ ~ ~ 4, .. . . . .. . . . . .. . . . .

I


10. Worthy of special note are:

a. SP4 Davis, S-4 Section, 5/73 Armor, who assisted theMARKS Team on several occasions in making contact with, andvisiting, the unit supply personnel.

b. SFC Talapu, Supply Sergeant, HHC 5/73 Armor. He not onlyassimilated the training but, in the space of about 2 hours afterreturning to his unit, completely set up his new files under MARKSfor the pilot year. Aside from a minor discrepancy regardingdispositions on folder labels, the new files appeared to beexactly correct.

c. Howard Smith, Fort Knox RMO, was of great assistance tothe MARKS Team before and during this visit in making administra-tive arrangements, accompanying during on-site visits, etc. Hisvaluable help contributed greatly to the success of the visit.

11. There were essentially _o negative comments about MARKS duringthis pre-pilot phase. There were many positive and laudatorycomments; supply personnel were especially glad to get away fromthe meaningless, arbitrary numbering system of TAFFS and intosomething that has subjective meaning for them. The CommandSergeant Major, CSM Gilbo, also expressed his satisfaction that,at last, he "...will be able to find something in the battalion's Lfiles."

12. The MARKS Team also visited and toured the Fort Knox RecordsHolding Area, which is Howard Smith's responsibility and is actuallyrun by Mr. Sansone. The facility appears to be operating at 100%and no discrepancies or problems were noted.

13. During this visit the MARKS Team took possession of the Listsof Selected File Numbers for HQ, Fort Knox, in order to beginproducing the regulation that will be needed for the installationheadquarters phase of the MARKS study. Work will begin within thenext week on this conversion process.

14. In summary, the pre-pilot phase was not only successful, butit exceeded our expectations.

2 Incls John G. Vos, GS-12as MARKS Project Officer

4

INDIVIDUALS WHO RECEIVED MARKS TRAINING:

S-1 PAC: Battalion Maintenance (*SGT Lee MSG BeckSP4 Mallard SFC HuddlestockPV2 Jones SP5 Sluss .-

PV2 DeJesus SSG DetroPFC Boehm

HHC4S-1 Lecal: ULT Kessler, XO

*SP4 Henneck SSG CruffSGT Reichardt

Battalion Mail Room: PFC Dougherty*PF Brandon

Adxnin Svcs Div, 194th Bde (audit)S-2: PFC BurnsULT KingsleyMSG Davis AG Records Manacement Division (audit)

*SGT Henry Mr. SmithMr. Tucker

S-3 Mr. Van Meter*PFC Pearce Mr. Sansone

S-4SP4 Davis

HHC Supply RoomW01 HonigPV2 McCanick *=individuals who receivedSSG Balasa personalized, desk-side training

rather than in the classroom.Co. A Supply RoomSSG Wesson **=This list includes company-levelSPA Crummett motor pool personnel; however,

their records are maintained atCo. B Supply Room and by the Battalion MaintenanceSFC Pruiett Office.SP4 Richards

Co. C Supply RoomSP4 Mishler

Inc #f 1

DAAG-AMR-P 4 August 1983

SUBJECT: Trip Report, Fort Knox, 31 July - 3 August 1983

1. John Vos, Programs Branch, performed TDY to Fort Knox, KY

during the period Sunday, 31 July through Wednesday, 3 Augustunder order 07-085R (11-1036-83).


LTC Tyler Tugwell, AG, Fort KnoxMs. Poore, Chief, Admin Services Division, AG SectionMr. Smith, Fort Knox Records Management OfficerILT Skidmore, Adjutant, 5/73 Armor, 194 BdeAbout 25 members of 5/73 Armor

3. Purpose of visit was follow-on assistance in the MARKS pilot oat the TOE unit level, which began 1 July 1983 in 5/73 Armor at

Fort Knox. During the period 20-30 June 1983 we had conducted 0training and assistance to 5/73 Armor to prepare them for the pilot;the MARKS team departed on 30 June, and the pilot began on 1 July.Members of the battalion who are involved in record-keeping wereinstructed that, because the pilot was beginning in mid-year, theyshould consider 1 July to be the beginning of a new calendar; theMARKS files would begin with I July, and everything from 30 Junebackwards in time would become inactive. The troops of 5/73 Armorwere, as time permitted, to convert their existing records fromTAFFS to MARKS and place the old (pre-1 July) files in an inactivestatus, except for those continuing items which would normally becarried forward anyway (policy/precedent, suspense, continuingactions, open cases, etc.).

4. Mr. Smith, along with the incoming and outgoing Fort Knox AG's,visited 5/73 Armor on 25 July and checked the status of the pilotin several elements of the Battalion. Although all persons con-tacted spoke highly of the concept and the ease of identifying recordsby the prescribing directive vis-a-vis an arbitrary numbering scheme,not all elements of the Battalion had completed their files con-version, or had done it correctly. Hence the instant trip to 5/73.

5. During 1 and 2 August, Mr. Smith and I visited each element ofthe Battalion that keeps records and conducted a drawer-by-drawer,folder-by-folder inspection. In most cases, the training which weconducted had been properly applied; the records were correctlyidentified and set up. The discrepancies which we noted during thesetwo days, which were corrected on the spot, were:

Erc # 2 to Chapter 6

°I.°oI . o ° . . . . " . * . . . . . . . . . . . • - . . . . . .. . : : :

DAAG-AMR-PSUBJECT: Trip Report, Fort Knox, 31 July - 3 August 1983

a. Bn PAC, S-4, and S-2, disposition instructions on thefile labels were expressed generically (i.e., "Destroy after1 year") rather than specifically (i.e., "COFFr30 Jun 84,Dest Jul 85"). Also, in some cases, the cutoff date had beenestablished at 31 December 1983 rather than the end of thepilot year, 30 June 1984. Both of these deficiencies wereminor and were easily corrected.

b. HHC Supply Room )(SFC Talapu): Had not understood theconcept of beginning the MARKS files with 1 July, and had setup his files to incorporate 1 January 1983 forward. Afterlooking at his files and discussing the matter, we decided thatit would be more practical to let him go ahead with his filesas they are than to go through the labor-intensive effort ofpulling out and segregating those that pre-date 1 July 1983.

c. Company B Supply Room (SSG Kent): Had not yet convertedhis files (this unit was not visited on 25 July). He had createda List of File Numbers under MARKS to identify all his existingrecords, and wanted to verify it for accuracy with the MARKS teamprior to doing the actual conversion. Working with SSG Kent, weprepared folder labels, re-sequenced the files, and set them upcorrectly under MARKS for his operations.

d. Consolidated Dinine Facility (SFC Ardoin): During thetraining phase (June), the dining facility was not included inthe MARKS pilot on the premise that their record-keeping isaccomplished by the Bn PAC (and, in fact, some records are keptby the PAC on behalf of the dining facility -- meal card account-ability, meal card registers, etc.); also, iLT Skidmore had notscheduled any attendees from the dining facility for the training.On the instant visit, however, we discovered that the diningfacility does, in fact, keep records apart from those of the PAC;Mr. Smith and I, in a two-hour session, briefed SFC Ardoin and oneof his men on the system, prepared labels, and generally assistedthe dining facility in converting to MARKS. This conversion waswell-received and understood by the dining facility personnelinvolved; a re-check on the morning of my departure showed thatit was 100%. Two or three minor questions were answered ac that time.

6. Upon conclusion of this assistance visit, 1LT Skidmore and LTCTugwell were out-briefed on the results.

7. Some additional observations on unit administration in general,and on administration in 194th Bde in particular, are in order:

2

S

DAAG-AMR-P,SUBJECT: Trip Report, Fort Knox, 31 July - 3 August 1983

a. A plethora of administrative requirements has beenimposed on 5/73 Armor by 194th Bde that either are not clearlysupportable, or are in addition to requirementA imposed byAR's. As an example, each unit supply room in 5/73 Armor keepsa packet of papers on each man who departs the unit PCS or ETS.The packet includes a copy of the individual's orders, a DA Form3078 (Personal Clothing Record) indicating shake-down inspectionby unit supply of the person's clothing upon departure, an OCIErecord, the inactive hand receipt showing that the individualturned in such items as bunk, foot locker, etc. prior to departure,and so forth. We could find no purpose to be served by creating mand maintaining this record. For the personal clothing (DA 3078),for example, there is no AR requirement that a shakedown be con-ducted; at the conclusion of six months' service, the memberbegins drawing Clothing Maintenance Allowance - Basic (CMA-B),at which time formal (record) accountability for his full issueof personal clothing ends. He or she is then responsible forhaving the full issue at all timps. Tf a shake-down indicatesitems are missing, the individual must purchase replacement items(DD 1131, Cash Collection Voucher, is used for this purpose withthe clothing sales store). If an individual PCS's and arrivesat his new unit minus a pair of combat boots, the new unit's supplyroom is not going to seek recourse with 5/73 Armor; they are simplygoing to send the man to Clothing Sales to purchase replacementboots.

b. Another example is in the property book accounting. Theproperty book is automated and managed/maintained by BMMC (BrigadeMateriel Management Center, 194th Bde); each 5/73 unit supplyreceives a monthly printout of the non-expendable property whichthat unit is charged with. Each such printout supersedes allprevious listings; yet, unit supply personnel have been instructedby S-4 194 Bde to keep all printouts for a year. The normaldisposition for this listing should be, "Destroy after receipt andverification of new listing."

c. Automation and Office Eguipment: The only automationorganic to 5/73 Armor is the Lanier word processor in the PAC whichis used for SIDPERS transactions, producing promotion lists, etc.There is no other automation in the Battalion. While unit supplyrooms receive the benefits of SAILS, they do not have terminels,they only receive the hard-copy printouts. The Consolidation ofAdministration at Battalion Level (CABL) was supposed to move paper-work and record-keeping to the Bn PAC (except for supply functions);however, in the real world, there remains a lot of administrationthat is done elsewhere in the Battalion, and done with the mostbeat-up, antiquated office equipment that can be imagined. The

3

I

DAAG-AMR-PSUBJECT: Trip Report, Fort Knox, 31 July - 3 August 1983

oldest manual typewriter in DAAG-AM seems "high-tech" compared tothe equipment in use in 5/73 Armor. To some extent, the Battalionsurely should be helping themselves in this res pect, but I do notknow what constraints they are under which have been imposed by194th Bde, HO USAARMC, etc. The real need within 5/73 Armor is fora good manual typewriter (although it may be hard to find such anitem these days), in the Dining Facility, and each supply room(HHC, CSC, Co A, Co B, Co C, and BMO). The Battalion spends agood deal of its time in the field, and a manual typewriter wouldstand up to the pounding much better than a sophisticated electricor electronic typewriter.

8. The Battalion departs on 25 September for Fort Drum, NY forfive weeks' training, returning o/a 1 November 1983. Following twomonths in garrison, they depart in January, 1984 for NationalTraining Center, Fort Irwin, CA, for an indeterminate period oftraining. We had originally scheduled this follow-on assistancevisit for 20-22 September 1983, but considered it ill-advised tovisit them as they are packing up and about to depart for training(hence the 1-2 August 1983 visit). Propose to make a one-dayvisit to 5/73 Armor around 5, 6, or 7 September, in conjunction withMrs. Thompson, TRADOC Records Administrator, and Mr. Gilley, FORSCOMRecords Administrator's Office, both of whom have expressed a desi ..-to visit 5/73 Armor and see the pilot in action.

9. Returned to residence 1915 hours, 3 August 1983.

ohn G. VosMARKS Project Officer

DISTRIBUTION:1 - Thru Dr. Hatcher to COL Williams1 - MAJ Smith/Dr. Kasprzak (para 7c)1 - LTC McGuire (para 7a,b)(already discussed)1 - MARKS Historical File1 - DAAG-AMR Reading File1 - DAAG-AMR-P Reading File

4

8 September 1983

MEMORANDUM FOR THE RECORD

SUBJECT: Trip Report -- Visit to Fort Knox

TO: SEE DISTRIBUTION

1. John Vos and Bert Haggett, DAAG-AMR-P, visited Fort Knox on Wednesday,7 September 1983 (travel order 09-031R(11-1137-83), 30 Aug 83). Purpose ofthe visit was to demonstrate to TRADOC and FORSCOM records managementpersonnel the practical use of the Modern Army Record-keeping System (MARKS),now undergoing pilot study at 5th Bn, 73rd Armored Regiment.

2. Persons contacted: See narrative below.

3. 1100-1145, we met in the Fort Knox RMO's office with the followingpersons:

Mrs. Ann Thompson, TRADOC Records AdministratorMr. C. Gilley, FORSCOM Records Administrator's OfficeMs. Blanca, FORSCOM Records Administrator's OfficeMr. Howard Smith, Fort Knox Records Management Officer

Discussion during this period concerned the new form and format for TAFFS(UPDATE), the pending changes to TAFFS, and the new format for AR 340-2.O" Lunch from 1145-1230.

4. 1230-1415, visited the following elements of 5/73 Armor:

a. Battalion PAC. The record-keeper, PFC deJesus, was not present atthe time, but SP4 Brandon, clerk, showed us the PAC files (those that havenot been packed up for the trip to Fort Drum, NY, commencing 26 Sep 83).There were some instances in the current year's MARKS files (about 10%) where"time" dispositions (i.e., destroy after 1 year, destroy after 6 months, etc.)had not been converted to specific cutoff and destruction dates on the fileslabels. This will be corrected by a letter from me to SSG Grant, PSNCO of5/73 Armor.

b. Supply Room, Company B. Our TRADOC and FORSCOM visitors examinedthe files maintained under MARKS by SSG Pruett, and discussed with both himand the SP4 clerk who assists him the practical uses of MARKS. SSG Pruettand the clerk both stated that (1) they found MARKS easier and more practicalto use than TAFFS, (b) they have no difficulty in identifying, filing, andretrieving documents from their records, and (c) they consider MARKS to bebetter generally than TAFFS was.

c. Consolidated Battalion Mess. The Dining Facility NCO, SFC Ardoin,had to attend a post-wide meeting of Mess Sergeants; we met with SP5 Harper,who actually maintains the dining facility's records. He reiterated whatSSG Pruett had said. He has had no problems with identifying, filing, orretrieving records since he began using MARKS. In a couple of cases, hisfiles were out of sequence (i.e., file number 30-lb preceded 30-1a), but thisis very minor. SP5 Harper did ask that we inform Post Food Service, HQ FortKnox that the dining facility of 5/73 Armor is undergoing this pilot, so that


":.-" .;- . ?.'.-<'-'--?-?.-..-. ... .. . . ."... ... .-... . .-.-- ---...--- ;- .---- " " -

when Post Food Service does its periodic inspection they won't expect onething and find another (re: files). '.IL I C.

d. S-4. SP4 Davis, the files clerk, was not in, but another clerk gavethe visitors access to S-4's files. No discrepancies were found. Referencepublications in 3-ring binders, and bulletin-type information on clipboardswere properly identified under MARKS as well.

e. Supply Room, Company C. SP4 Mischler discussed with the visitorsthe benefits that he has received from using MARKS vis-a-vis TAFFS, the basicone being that he doesn't have to memorize a series of arbitrary file numbers;the basic AR number serving as the file number. He stated that he has foundMARKS to be easier use than TAFFS, and is quite satisfied with it. He has hadno problems in the intervening five weeks since our last visit. We noted thatSP4 Mischler was the soldier who called to our (TAGO) attention the absence ofa file designator for the 10% inventories that are conducted by all TOE unitsat Fort Knox; as a result, we have added "cyclic inventories" to both MARKS andAR 340-2.

5. ILT Skidmore, Adjutant, 5/73 Armor and SFC Lane, Administrative NCO, AGSection, 194th Bde both accompanied us on the last three stops on this visit.We appreciate their interest and assistance.

6. We out-briefed MAJ Hammonds, Adjutant General, 194th Brigade at 1430 hours.We informed him that, as far as our six-memeber team could determine, every-thing was going well; the troops were happy with the system; no new problemshad cropped up; and as long as it was going so well, we were inclined not tomeddle and tinker with it. Also informed MAJ Hammonds that we plan to makea routine, return visit to 5/73 Armor sometime in late November or earlyDecember, one or two days, for on-site assistance and consultation with thoseusing the system (5/73 Armor returns from Fort Drum about 5 Nov 83, and leavesfor NTC/Fort Irwin sometime in January, 1984).

7. Departed Fort Knox 1445 hours, arrived Washington, D.C. 1820 hours.

5 0 G.VOSMARKS Project Officer

DISTRIBUTION:I - Thru Dr. Hatcher to COL Williams1 - AMR Reading File1 - AMR-P Reading File1 - MARKS Historical File1 - MAJ Hammonds, AG, 194 Bde, Ft Knox

S. . i

2:1 .2

MEMORANDUM FOR THE RECORD 12DEC |8

SUBJECT: Trip Report, Fort Knox, 8-9 December 1983

1. John Vos and Bert Haggett, MARKS Project Team, visitedHeadquarters, US Army Armor Center and Fort Knox, KY 8-9 December 1983in connection with the MARKS Project.


LTC Tugwell, AG, EQ USAARMC & Ft KnoxMr. Smith, Records Management Officer, Ft KnoxMs. Poore, Chief, Admin Svcs, HQ Ft XnoxSGM Walker, Directorate for Industrial OpnsVarious members of 5/73 Armor, 194 Bde

3.14.rpp ----- h --- i*v---odsc-&--th f OL t hC0~i-ng7-p-iio 0t-atHeadquarters, USAARMC & Ft Knox. In discussions with Mr. Smith,RMO,"'we agreed that training would begin on Tuesday, 10 Jan 84, withthe persons to be trained being grouped (insofar as is possiblel. bythe directorates or staff offices to which they are assigned. Basedon a survey conducted by Mr. Smith, it appears that about threehundred (300> employees (both military and civilian, but predomi-nantly civilian.) will be scheduled; there will undoubtedly be add-onsto this number,"making the final total about 325.

4. Mr. Smith has arranged for our exclusive use of the "DIO classroomduring the entire week'of 9 January 1984. This is in a detachedbuilding which is centrally located on the installation, will be easy

for the students to get to,and has ample parking adjacent to it. Theclassroom will seat 45 people comfortably, and is equipped with allthe modern conveniences for gi'ving instruction -- rear-projection,front-projection, slide machines" movie projectors, light dimmers,break area, Coke machine, rest rooms, etc. SGM Emmett Walker took us

on a tour through the facility.

5. We agreed with Mr. Smith that we wou d schedule the participants* in groups of 45 starting Tuesday morning, 10 January, at 0815 hours

through 1115 hours, and then an afternoon class from 1300 to 1600.This would be repeated on Wednesday and Thursday; on Friday, we wouldhold a morning session only. At 45 students per session, the totalthus trained would be 315.

6. Monday, 9 January, would be devoted to getting all of our in-structional materials set up in the classroom and rehearsing thepresentation. Starting 22 December 1983 we will ship (via UPS) all ofthe materials -- Volumes I and II, cross-reference lists, reference

* materials, etc. -- to Mr. Smith at Pike Hall, HQ Ft Knox. Volume IIwill be shipped with the binders separate from the materials; theywill be inserted (assembled) on 9 January.

Encl # 4 to Chapter 6 BEGIN WITH PARAGRAPH 9 ......

*. *. . a . . . . .

7. In a related area, on 7 December 1983 Mr. Nuttall, RecordsAdministrator, US Army Forces Command, called to ask if an employee 6fhis, Mr. Charles Marshall (who is responsible for files maintenanceand disposition for FORSCOM field), could visit with us at Fort Knoxto absorb the principles and operation of MARKS and thus get a headstart insofar as concerns applying it within FORSCOM. In discussingthis with Mr. Smith during the 8-9 December visit, we consideredasking Mr. Nuttall to send Mr. Marshall to Fort Knox for one or twoweeks to coincide with our arrival on or about 8 January 1984; weenvision that after the first day's rehearsals (9 January) and thefirst day of formal classroom instruction (10 January), Mr. Marshallwould then (on Wednesday, Thursday, and Friday) visit the employeeswho had been trained in their actual work areas, advise and assistthem in carrying forward those CY '83 TAFFS files into the CY '84MARKS structure. Agreed that I would present this idea to Mr. Nuttallupon our return to TAGO.

8. We expressed to LTC Tugwell our sincere appreciation for the very p

fine support we have been given to date by Mr. Smith. His interestand enthusiasm will go far toward making the pilot a success, regard-4less-of-its--outcome.

9. On 9 December 1983 we visited 5th Ben, 73rd Armored Regiment tocheck on progress of the MARKS pilot in that TOE unit. The followingj-observations apply:

a. We did not visit Company B Supply Room, as that unit wasundergoing a change of command ceremony on 9 December.

b. We did not visit Battalion Maintenance as it was rainingheavily, and the BMO is not contiguous to the battalion area (it wouldhave involved walking several hundred yards in heavy rain).

c. 5/73 Armor has just returned from exercises at Fort Drum,New York. In all the elements of the battalion that we visited, weasked (1) did you have any difficulties with MARKS while in the field,and (2) are you experiencing any difficulties at all in applying MARKSto your record-keeping operations. All those contacted answered bothof these questions in the negative.

d. The battalion has on board a new legal clerk, PFC Foutch,who replaces SP4 Henneck (who departed some months ago). He (PFCFoutch) had read the MARKS regulation and had no problems with it.

e. There is a new Operations Sergeant in the S-3 Section,replacing SFC Hunter, who has departed. The new individual IsMSG Serna; he had not been made aware of MARKS by his predecessor anddidn't know that the MARKS pilot was on-going in the battalion. Gavehim a brief desk-side explanation of the principles of MARKS and toldhim that I would send him a complete (posted with C-1, C-22. copy ofAR 340-XX, along with other instructional material, and keep in touchwith him by telephone in case he had any difficulties with it.

. . .- ."

f. A similar situation existed in HHC Supply Room, where SGT(E-6) Sluss has replaced SFC Talapu, and in Co. A Supply Room, whereSGT (E-6) Smith has replaced SGT Wesson. MARKS is appreciated andunderstood by both of these individuals. Each of them has a clerk -

working for him who underwent the MARKS training in June 1983 andunderstands the system.

p

g. 5/73 Armor departs on 4 January 1984 for the NationalTraining Center, Fort Irwin, CA; they will be back in early February.As they will be gone from Fort Knox before we arrive to begin the PostHeadquarters pilot, we told all with whom we came into contact that wewould check back with them at some point in February 1984.

h. Our nominal point of contact at 5/73 Armor is LT VictorSkidmore, Adjutant; he was on leave during this visit.

10. Returned to Washington National Airport at approximately 1700hours 9 December 1984.

MARKS Project Office

L -

1

.4

DAAG-AMR-P/MARKS 27 April 1984

MEMORANDUM FOR THE RECORD

SUBJECT: Trip Report, Fort Knox, 24-26 April 1984

SEE DISTRIBUTION 0p

1. The following persons visited Fort Knox, KY 24-26 April 1984 forthe purpose of on-site assistance in the two ongoing MARKS field tests:

John Vos, GS-12, DAAG-AMR-P, MARKS Project OfficerCharles Marshall, GS-9, HQ, USA FORSCOM (travel funded by FORSCOM)

2. The following personnel were contacted:

LTC Tugwell, Adjutant General, HQ USAARMC & Ft KnoxMs. Poore, Chief, Admin Services DivisionMr. Smith, Records Management OfficerMrs. Williams, Personnel Actions Branch, AG MILPOMr. Ball, One-Stop Processing, DPCASFC Dielman, Directorate for Reserve ComponentsMAJ Manza, XO, 5/73 ArmorLT Lambert, Adjutant, 5/73 Armor (I)MAJ Kirby, USAR, on ACDUTRA with 5/73 Armor (0)LT Villan, S-4, 5/73 Armor (I)LT Castrillo, S-2, 5/73 Armor (I)SSG Grant, PSNCO, S-1/PAC, 5/73 ArmorSFC Duncan, Consolidated Bn Mess, 5/73 Armor C')SFC Ardoin, Consolidated Bn Mess, 5/73 Armor-PFC donie 1 -1/PAe, 5"1 -- Armr- -(41)PFC Foutch, S-1/Legal, 5/73 Armor (')SGT Jones, Battalion Mail Clerk, 5/73 Armor (I)PFC Rivera, S-2, 5/73 Armor (')MSG Serna, Operations NCO, S-3, 5/73 Armor (')SP4 Hayes, HHC Supply, 5/73 Armor (')SP4 McCanick, CSC Supply, 5/73 ArmorSGT Williams, Co A Supply, 5/73 Armor (')SGT Richards, Co B Supply, 5/73 Armor (u)SP4 Mischler, Co C Supply, 5/73 ArmorSGT Moore, Co C Supply, 5/73 Armor (*)CW2 Honig, Battalion Maintenance, 5/73 ArmorMSG Be-ck, Battalion Maintenance, 5/73 Armor

3. At the outset, it is apparent that there is a very high rate of personnelturnover in 5/73 Armor; the personnel indicated above by (I) were not on boardat the beginning of the test in July, 1983. This has not, however, affectedtheir successors, acceptance of MARKS or the utility of the new system withinthe battalion.

Enclosure # 5 to Chapter 6

" ?!!?!H°1

. . *

DAAG-AMR-P/MARKSSUBJECT: Trip Report, Fort Knox, 24-26 April 1984

4. On entering the 5/73 Armor Area on 25 April, we had a brief discussion

with MAJ Manza, XO, who informed us that as far as he was concerned MARKSdoesn't work, just as TAFFS didn't work before it. Our subsequent inspectionand discussion with those members of 5/73 Armor who are using MARKS made itclear that MAJ Manza's observations are unfounded. The system is not onlyworking within the battalion, but it is universally - except for MAJ Manza --

accepted as making it easier to file, locate, and retrieve information thanwas the case with TAFFS.

I NOTE: At out-briefing with LTC Tugwell on 26 April,I mentioned MAJ Manza's observations. My account asrelated above was supported/verified by both Mr. Mar-shall and Mr. Smith, who accompanied throughout thevisit. After some discussion, LTC Tugwell attributedMAJ Manza's perceptions to that which is frequently

I typical of combat arms officers toward administration, in general and record-keeping in particular.

IS

5. The three of us visited every files station in 5/73 Armor between 25 and26 April. At each of these, we --

a. Furnished the participant with the updated edition of AR 340-XX, thetest regulation (copy at Enclosure * 1).

b. Explained the changes to the regulation in general, including (1) theexpansion of "General Correspondence" to include a category for non-actiondocuments, and (2) inclusion of sample file labels throughout.

c. Pointed out the substantive changes to file descriptions and dispo-sitions as they affected individual participants.

d. Furnished questionnaire to be mailed back to us.

e. Advised that, on conclusion of the pilot on 30 June 1984, 5/73 Armorwill continue to use MARKS until either (1) it is implemented Army-wide, or(2) it is dropped.

f. Advised that we (TAGO) will continue to support 5/73 Armor with acurrent, tailored filing directive until that time.

g. Asked if any difficulties were being experienced in identifying,filing, and retrieving information marks (negative on all counts).

2

L...... .

., .. .. ., , .. . ,. . ., .. , , . .,. .. ,.., ..,.,,:.., ,? .... .,..,. -... ... ...... .... ,.. . . . .,...,..,.,.-.... .... . .,... ..°." % ' . o,.% . . , - " • ,- -. .. ... . . .. .. . . . . . .

.F..-- v . , .- -

L DAAG-AMR-P/MARKSSUBJECT: Trip Report, Fort Knox, 24-26 April 1984

6. Spent extra time with MSG Serna, the newly-assigned Operations NCO, S-3.His predecessor, SFC Hunter, had not passed on to him any information on thepilot. MSG Serna told us that, although he has no 71L available for admin-istrative work within S-3, he had given a copy of the new (revised) AR 340-XXto two members of 5/73's Scout Platoon who are temporarily working in S-3;within two days, they had realigned the S-3's current-year files under MARKS.We examined these files and found them to be properly established and labeled.

7. To all members of 5/73 Armor involved in the pilot, we stated our intentof returning at the end of June to wind down the test portion (the battalionplans to be in garrison at that time). At that time, we will -

a. Interview each participant and administer a further questionnaire.

b. Assist any participant who needs help in changing file labels from a30 June 1984 cutoff to a 31 December 1984 cutoff.

phone inquiries, we visited the following in connection with the MARKS piat the Post Headquarters:

a. Mrs. Williams and co-workers in Personnel Actions, AG MI . They hadquestions on placement of the file number on documents at the e ofcreation. Furnished them with extracts of Chapter 4, AR 3 ZZ (revised andnow at the printer's) which give narrative instructions d examples for mil-itary letters, indorsements, DF's, and comments. Th answered theirquestions on this count.

b. NAF Branch of Civilian Personnel Off e, where we furnished a newseries of NAF personnel file numbers, dev oped by Bert Haggett, and based onthe new AR 215-3.

c. Mr. Ball, Assignment Ord Branch, One-Stop Processing, DPCA. He hadsome questions on the filing completed DA Forms 31 and 200 which wereanswered (already covered the MARKS regulation - just a matter of pin-pointing them for him). e examined his files and found them complete andaccurate.

d. SFC Di n, Directorate for Reserve Components (DRC). He is a 71Lwho had not ended the training in January and had earlier indicated, overthe phon hat he was having difficulty identifying DRC's administrativerecord under MARKS. Subsequent to that phone call, he received and appliedour etailed analysis (Encl # 2) which we had furnished to him. This had

3

....... ........ nJm.'i.J, ....... I 4.. .... ..-

DAAG-AMR-P/MARKSSUBJECT: Trip Report, Fort Knox, 24-26 April 1984

9. In summary, this brief trip has led us to the following interim conclu-sions:

a. Despite MAJ Manza's perceptions, the system is working well in 5/73Armor, is accepted and liked by participants, and should work equally well inother TOE units of the Army.

b. He umajer preblems in impleentirjg th: sytem11 have, to. ~~~~. 9 uat HQ, USAARMC & Fort Knox. This conclusion is based on Q)_our-;4z7on-site observations and discussions with test ipahts; (2) HowardSmith's day-to-day contact and observ) responses to our question-naires received over the weeks, and (4) the DAAG Forms 315 (Test), themechanism b participants report problems with or shortcomings in

2 Encls oJohn G.05sas MARKS Project Officer

DISTRIBUTION:1 copy with enclosures:_-Director, Admin ManagementCdr, USA TRADOC (ATPL-AOR/Ms Thompson), Fort Monroe, VA 23651Cdr, USA FOPRSCQM (AFAG-ASR/Mr. Nuttall), Fort McPherson, GA 30330

1 copy without enclosures:Cdr, USAARMC & Fort Knox (ATZK-AG-AR/Mr. Smith), Fort Knox, KY 40121DAAG-AMR-P Reading FileDAAG-AMR Reading FileMARKS Historical File

4-

-. . . - . - - ° ° • * - - - .* -* = - . ° . o = , . a " . .° o.a....°-.... • oo % . % .. , . °o° . , . ° ' . '%

J JUL 1984

DAAG-AMR-P J

SUBJECT: Trip Report, Fort Knox, 1-3 July 1984

1. Undersigned performed TDY to Fort Knox, Kentucky, 1 - 3 July 1984 per

Order # 07-011R(11-1062-84) TAGO, dated 25 June 1984.


Ms. Poore, Chief, Admin Services, AGMr. Smith, Records Management OfficerMAJ Ritter, XO, 5/73 ArmorLT Lambert, Adjutant, 5/73 Armor17 enlisted members of 5/73 Armor

3. Purpose of trip was to conclude the one-year pilot of the Modern ArmyRecord-keeping System (MARKS) at 5/73 Armor.

4. Undersigned, accompanied by Mr. Smith, visited each files station in thebattalion on 2 July 1984. At each location, we -

a. Advised the participant that, although the pilot was concluded, theywoUld continue to use MARKS (vis-a-vis TAFFS) as their record-keeping systemuntil such time as MARKS is implemented throughout TOE units Army-wide.

b. Instructed the participant that, because the pilot ended in the middleof a record-keeping year, they would continue their current files to 31 Decem-ber 1984 (vice cutting them off and destroying, holding, or retiring them asof 30 June 1984).

c. Furnished each participant with a preprinted set of file labels toassist in the conversion from a 30 June 1984 cutoff to a 31 December 1984 cut-off.

d. Administered a questionnaire to record perceptions of MARKS vis-a-visTAFFS.

e. Examined the actual records being maintained at each files station(exception: we did not examine classified files in S-2).

f. Discussed record-keeping in general with the participant and asked if

any problems had been encountered.

g. Made on-the-spot correction of deficiencies (minor) where called for.

h. Advised the participant that TAGO would continue to support 5/73 Armorby keeping the regulation (AR 340-XX) current until the system is adopted forArmy-wide use.

i. Advised the participant that he could continue to call on the under-signed or Mr. Smith for assistance, even though the pilot has been concluded.


-•_

DAAG-AR-PSUBJECT: Trip Report, Fort Knox, 1-3 July 1984

5. Results of the final questionnaire will be summarized in the final report

of the test.

6. Two problems surfaced in this final visit to 5/73 Armor:

a. On visiting the PAC, it became apparent that they had strayed from theMARKS concept to a considerable degree. Administrative records of the PACwere being kept in a single-drawer (field-type) record box, and were placed inconsecutively-numbered folders marked from "701-00" through "701-55". Thislabel was on the front of the file container:

b. When the 5/73 Armor pilot began, PFC de Jesus was the record-keepkerand attended the training; he understood the MARKS concept and the PAC recordswere properly identified and aligned by prescribing directive number. At apoint about six months ago, however, PFC de Jesus departed on PCS and was fol-lowed by an interim replacement, one PFC Harper, who was not a 71L and wasmerely assigned to the job temporarily to keep it filled pending a permanentreplacement. PFC Harper, upon seeing the MARKS files and not understandingthem, set up his own, numerically-sequenced files (the 701-00/701-55 scheme).PFC Flint A. Johnston, who arrived about three months ago, commenced filingrecords and documents into the 701-00/701-55 scheme; the files which had beenoriginally set up under MARKS were in another one-drawer files container,which had been set aside and into which no records were being filed.

c. In order to bring the PAC back into line with MARKS, the undersignedand Mr. Smith spent four hours each on Tuesday, 3 July 1984 at the PAC. Wewent over the MARKS concept with PFC Johnston (and, to some extent, with SGTWilkerson, the PAC Supervisor). Following that we removed all documents andrecords from both the 701-00/701-55 file and from the original MARKS file,classified all the records from both containers, placed them into new folderswith new file labels under MARKS, sequenced them in a single drawer, prepareda correct drawer label, and drew up a two-page List of File Numbers for thePAC (copy at Enclosure # 1). These actions established a positive data basethat was understood by PFC Johnston, SGT Wilkerson, and others in the PAC, andshould serve them well in the future.

2

DAAG-AMR-PSUBJECT: Trip Report, Fort Knox, 1-3 July 1984

d. The other problem area was in the S-3 Section. Our point of contacthad been MSG Richard J. Serna, the Operations NCO of the S-3; at this visit,however, MSG Serna was on recuperation leave following hospitalization and hadannounced his intent to retire from active duty in the very near future. Hewas not expected to return to duty at 5/73 Armor. There was, in fact, no re-placement on board or expected for some time. The S-3 has no clerical or ad-ministrative personnel of any kind. After discussing the situation with theActing Operations NCO, we finally talked to an SFC Robertin who had onlyarrived in the battalion three days earlier, and was just beginning his dutiesin the S-3 Section. It was to him, as an interim measure, that we passed theinstructions outlined in paragraph 4 above so that when an individual was onboard who would have responsibility for the files, that individual would havesome idea of what was going on with MARKS as opposed to TAFFS. We also askedSFC Robertin to have that individual get in touch with us at the time of en-tering on duty so that we (either Howard Smith or myself) could brief him fur-ther. We did look at the S-3 files, which are set up under MARKS; there was a Sconsiderable intermingling of active and inactive records within the area of350-la, Training Schedule and Inspection Files; however, absent an individualto do the detailed work of separating them out, we decided to leave them as isfor the time being.

.7 7. On Tuesday, 3 July 1984 we visited Personnel Services Division of DPCA(ATZK-PA-PS, Building 6645) and talked to Ms. Kathy Stranahan. She had a num-ber of record-keeping areas that are not included in AR 340-ZZ, the MARKS reg-ulation; in most cases, this is because they had not been properly identifiedunder TAFFS or included in the Lists of File Numbers which served as the basisfor converting to MARKS in 1983. As a result of this visit we will add toMARKS file number 210-la, dealing with the administration of private organi-zations on a military installation. Description and disposition are as givenin TAFFS under file number 725-08. We also added file numbers 930-4a and930-4b to MARKS, dealing with administration of Army Emergency Relief; thedescriptions and dispositions are from TAFFS 725-05 and 725-06. Ms. Stranahanalso has files on "child development" which result from a new program - thereis a brand-new AR 608-10 out which results in creation of these files. Wewill investigate this and make appropriate MARKS record series in this area.The program deals with nursery and pre-school programs. They also keeprecords resulting from AR 670-1, Wear and Appearance of Army Uniforms andInsignias, which we will look into. And finally, the last unresolved areadeals with the liaison which DPCA performs in overseeing (a) the dependentschool system at Fort Knox, and (b) operation of the Post Exchange system.

8. Returned to Washington National Airport 1735 hours, 3 July 1984.

Encls. hn G. VosMARKS Project Officer

3

LIST OF FILE NUMBEHS

PAC, 5TH BN, T3RD ARMORED REGIMENT

Number Title Privacy Act

1-21a Office Space Assignment Files10-la Organization Files20-la Inspector Generals' Inspection Files20-id Physical Inspection Files37-2a Office Financial Files37-l01a Signature Card Files37-101-la Transmittal Letter Files37-101-Ie Miscellaneous MPV File@37-103a Collection Voucher Files37-104-3a Personal Financial Record Files A0305.lOaDACA.LU5-la Office Message Reference Files190-40a Serious Incident Reporting Files A0508.2iaDAPE.210-10a Departure Clearance Files A07O6.O2DAAG220-la Unit Status Reporting Files220-lb Personnel Readiness Files220-15a Daily Journal/Staff Journal Files220-45a Duty Reporting Files220-45b Duty Roster Files310-2a Housekeeping InstructionFiles310-2b Policy and Precedent Files310-10a Personnel-type Order Files310-10b Permanent Order Background Files310-10c Permanent Order Record Set310-49a Activation and Status Change Files3oa Office Management Files

op 3bOb Officer Service and Supply Files34oc Office Property Record Files30d Reading Files 734O-XXa Office Lists of File Numbers -J34O-XXb Office Record Transmittal Files340-3a Office Mail Control Files34O-&a Filing Equipment ,Files340-8a Word Processing Equipment Files340-17a FOIA Administrative Files340-17b FOIA Request Files A0239.01DAAG340-20a Office Copier Files340-21a Privacy Act Report Files340-21b Privacy Disclosure Accounting Files350-lb Physical Fitness Training Files350-Id Training Operation Files A1002.02aTRADOC350-37a SQT Files350-37a CTT Files380-5b Security Inspection and Survey Files385-10d Safety Awareness Files600a Office Personnel Register Files600b Office Personnel locator Files600d Job Description Files600g Temporary Duty Travel Files600h Office Military Personnel Files A0102.13DAPC600-8a Individual Personnel Change Files A0703.0laDAPC600-8b Personnel Information System Rept. Files A0715.o6aDAPC600-8d Personnel Data Card Files A0715.0laDAPC

' b00-.9a Weight Control Files A0102.13DAPC600-10a Casualty Case Files A0726.o6DAAG600-21a EO Reporting Files600-21b EO Survey Files600-21c EO Complaint Files AO61.03aDAPE

!

Page - 2 -

List of file numbersPAC, 5/73 Armor(Continued)


600-31a Personnel Action Suspension Rept. Files600-33a Line of Duty Files A0708.18aDAAG600-46a Military Personnel Survey Files600-50a Standard of Conduct Files600-55a Operator's Exam/Qualification Record Files A1207.08aDAPE600-d5a Alcohol/Drug abuse Management Files600-85b Alcohol/Drug Abuse Council Meeting Files600-85c Alcohol/Drug Abuse Statistical Files6 00-200a MOS Classification Board Proceeding files600-200b Promotion Eligibility Roster Files6 00-200c Promotion Board Proceedings Files600-200d Promotion Eligibility Determination Files600-200e Enlisted Promotion Files6 o-15a Savings Bond Reporting Files630-5a Leave of Absence Files630-5b Leave Control Log Files630-10a AWOL and Desertion Files640-3a Military ID Card Application Files A0509.02aDAAG640-3b ID Card Register Files640-3c ID Card Requisition Files640-10b Qualification Record Extract Files672-5-la Unit Award Case Files672-5-lb Award Ceremony Files6 72-5-l Military Award Case Files A0718.01DAPC 0680-la Personnel Suspense Card FilesbSo-lb Military Personnel Register Files A0716.0aDAAG680-lc Informational Personnel Files A0703.01DAPC680-31a Army Strength Reporting Files

List prepared by4 ATZK-AG-AR, Mr. Smith, tel. 4-19Z45

andDAAG-AMR-P, Mr. Vos, tel. (AV) 221-0440

3 July 19d4

.* . . . . . . . . . . . . *

cQ-RE VISIONAR 340-XX (Test)


Washington, DC, 15Apr11 1984

PILOT

of the

* Modern Army Record-keeping System

(MARKS)

at5th Bn, 73rd Armored Regiment


Fort Knox, KentuckyJuly 1983 -June 1984

Office of The Adjutant GeneralEnd l 7 to Chapter 6

AR 340-XX (Test)

Army Regulation ) HEADQUARTERS340-XX (Test) ) DEPARTMENT OF THE ARMY

Washington, DC, 15 April 1994

Office Management


Effective on receipt

Local supplementation of this test regulation is prohibited.

Paragraph Page

Chapter 1. GENERAL

Purpose -------------------------- 1-i 1-1Concept ------------------------- 1-2 1-1Applicability ------------------- 1-3 1-1Responsibilities ----------------- 1-4 1-2References ----------------------- 1-5 1-2Explanation of terms ------------- 1-6 1-2Abbreviations -------------------- 1-7 1-4

Chapter 2. STANDARD FILE SUPPLIESPurpose -------------------------- 2-1 2-1Explanation of terms ------------- 2-2 2-1 ..File supplies . 2-3 2-1

Chapter 3. OFFICE COPYING AND FILE EQUIPMENTPurpose ------------------------- 3-1 3-1Explanation of terms ------------- 3-2 3-1Criteria ------------------------- 3-3 3-1

Chapter 4. FILE NUMBERSGeneral -------------------------- 4-1 4-1Files not described in this

regulation --------------------- 4-2 4-1List of file numbers ------------- 4-3 4-1

Chapter 5. DISPOSITION INSTRUCTIONSGeneral -------------------------- 5-1 5-1Disposition instructions --------- 5-2 5-1Changes to retention periods ---- 5-3 5-1

Chapter 6. FILING ARRANGEMENTSGeneral -------------------------- 6-1 6-1Date arrangement ---------------- 6-2 6-1Simple number arrangement -------- 5-3 6-1Alphabetical arrangement --------- 6-4 6-1

This regulation supersedes AR 340-XX (Test) dated 15 June 1983, including

C-i (15 Jul 83) and C-2 (20 Jul 83)

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AR 340-XX (Test)

Paragraph Page

Chapter 7. FILING PROCEDURESGeneral -------------------------- 7-1 7-1Assembly of records for filing-- 7-2 7-1Fastening ------------------------ 7-3 7-1Marking the file number --------- 7-4 7-1Labeling files ------------------- 7-5 7-2Position of folder labels -------- 7-6 7-2Arranging folders in annual

blocks ------------------------- 7-7 7-2Removing documents from a file-- 7-8 7-2Providing for expanding files--- 7-9 7-3

Chapter 8. DISPOSAL PROCEDURESMethods of disposal -------------- 8-1 8-1Emergency disposal of records--- 8-2 8-2

Chapter 9. RECORD TRANSFER AND RETIREMENT PROCEDURESGeneral -------------------------- 9-1 9-1Preparing lists ------------------ 9-2 9-1Distributing lists --------------- 9-3 9-4Supplemental data when organi-

zational status changes -------- 9-4 9-4Entries for files lost ordestroyed ---------------------- 9-5 9-4

Shipping containers -------------- 9-6 9-4Containers for odd-size records- 9-7 9-4 -

Packing procedures --------------- 9-8 9-4Identifying record shippingcontainers --------------------- 9-9 9-5

Retirement of records to a Fed-eral Records Center, GSA ------- 9-10 9-5

Record shipments by USAR units-- 9-21 9-5Transfer to other units andorganizations ------------------ 9-12 9-5

Chapter 10. DISPOSITION OF RECORDS ON CHANGEOF STATUSGeneral -------------------------- 10-1 10-1

Appendix A. Records disposition standards ------------------- A-I

Appendix B. Records centers and major storage areas --------- B-i

Appendix C. References -------------------------------------- C-I

ii

...--.-...

AR 340-XX (Test)

Chapter 1

GENERAL

1-1. Purpose. This regulation has been written and published forthe purpose of testing a new records maintenance and dispositionconcept at the TOE unit level. The pilot study is to be conductedin the 5th Battalion, 73rd Armored Regiment, 194th Armored Brigade.

1-2. Concept. a. For the past two decades, Army records mainten-ance and disposition procedures have been governed by The ArmyFunctional Files System (TAFFS), as published in AR 340-2 and theAR 340-18-series.

b. Among the problems perceived by users in the field duringthe life of TAFFS have been that --

(1) There is no "general correspondence" category for recordswhich relate to a major functional area, but which cannot logicallybe identified with any of the specific file numbers within thatarea.

(2) By using an arbitrary set of file numbers which bears norelationship to the numbering schemes already in existence (foradministrative publications, blank forms, and so forth) TAFFSrequires the user to learn and correlate different numberingsystems. Also, under TAFFS it became impossible to put the filenumber on a document at the time of creation because it could befunctionally identified under different numbers in differentoffices.

c. With this pilot study, the record series listed inAR 340-2, Maintenance and Disposition of Records in TOE and Cer-tain Other Units of the Army, have been reorganized to identifyeach file with the number of the directive that prescribes that thefunction be performed. Within each basic series there is a pro-vision for "general correspondence;" a distinction is made betweenretention periods in peacetime and during mobilization or theconduct of military operations, where this applies; and the appli-cability of The Privacy Act of 1974 is pinpointed where this isappropriate.

1-3. Applicability. This regulation applies, for purposes of thepilot study, only to record-keeping in the 5th Battalion, 73rdArmored Regiment, 194th Armored Brigade.

U!

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II

-. .

IV

AR 340-XX (Test)

1-4. Responsibilities. The commander of a unit or the officer incharge of an activity is responsible for its records; however, an-other individual Is usually charged with managing the records pro-gram within the unit or activity. These duties will be performedin connection with records management by that individual:

a. Informally survey or appraise the organization's records atleast once yearly and prescribe corrective action where such isindicated.1

b. Insure that people working with the Modern Army Record-Keeping System (MARKS, see paragraph 1-6) are familiar with andtrained to use the system. This can be through classroom training,on-the-job training, or both; taking part in classes given by theinstallation records manager will satisfy this requirement.

c. Insure that office equipment and supplies are managed andcontrolled according to AR 340-4 (files equipment), AR 340-8 (wordprocessing), AR 340-20 (copiers), and AR 340-22 (micrographics).

d. Identify and dispose of records by:

(1) Insurinq that all recorded information, regardless oflocation, volume, or characteristics, is identified and labeled.

(2) Insuring that disposable records are destroyed only at theend of the retention periods set forth in appendix A.

(3) Transferring appropriate records to the Records HoldingArea or the Federal Records Center shown in appendix B. -.

1-5. References. Required and related publications are listed inappendix C.

1-6. Explanation of terms. a. The Modern Army Record-keepingSystem (MARKS). A system for identifying and arranging Armyrecords for reference and disposition according to the directive,usually an AR, which prescribes their creation, maintenance, anduse. Each record series bears a file number which is the same asthe number of the prescribing directive. An unsuffixed number isprovided within each basic series for general correspondence whichcannot logically be identified with any of the specific numbersassociated with that category, as in this abbreviated example (seeappendix A for full description and disposition):

1-2

......................

• ~~~............... "."-•.- .•.- .•'.•° .°,. •,•...... - ,... ............. ,.......... ,

AR 340-XX (Test)

Thei i t publication sarieII aunber and titlel; sce Table -i|bor AR 3102.I

385: SAYlE! p

Prescribl DirectLves) :

AR 385-10 Anty Safet? ProgramAR 385-95 Army Aviation Accident Prvet4Co

Nbmar Descriptlon and Disposition

385 GNUAL SAFET COISPODENCE PIUS.I[YNDlDS:Use this number for

Thb correspondence relating to safet7 that cannotThe prescribing .o|i..1r7b4. filed withtb-he detailed records listed below:

directives for Destroy after 2 years.

these records 385 General Safety Correspondence 71) 7are AR 385-10, c 3 Dec 84, D ST Jan87 I

Army Safety Pro- b. Documents relatln to safety received for iaformatio- only,on which no action is required: Destroy wha no longer seededgram and AR 385- for current operations.

95, Army Aviation35General Safety Correspondene.-Accident Pre- 385 Non-actiou Documents

vention I wln no longer needed for current"I o.porat ions

385-10a Accident and Incident Case Pes (Non-Aviation)385-10b Target Practice Safety File.385-10c Operator's Examination and Qualification Record Files

385-10d Safety Awareness Pile.385-95c Aviatin Accident and Incident Case Files

b. Retention period. The length of time a record must be keptafter it becomes cut off (or inactive) and before it is destroyed.Records that will never be destroyed because of their historical orarchival value are called permanent records (see file number 870-5ain appendix A for an example).

c. Disposition instructions. Instructions (appendix A, usedin conjunction with Table 5-1 or 5-2) that specify the date orevent upon which to cut off, transfer, retire, or destroy records.

d. Cutoff. The termination of a file at specified times.

e. Record copy. That copy of a document kept for record fromtime of creation until final disposal. It does not include readingfile copies, daily file copies, or others kept for convenience orreference.

f. Records center. An activity that receives, maintains, ser-vices, and disposes of records retired from Army organizations,from records holding areas, and from oversea command recordsholding areas. Records stored in records centers are inactive, andhave been retired so they can be maintained more economically andefficiently in a central facility.

g. Records holding area (RHA). A facility at an installa-tion, activity, or field command for holding cutoff files pendingdestruction or retirement; or, an activity in a major overseacommand for holding cutoff records pending destruction or retire-ment to a CONUS records center. These facilities have less val-uable space and low-cost filing equipment. When located outsideCONUS, these facilities are referred to as oversea command recordsholding areas (OCRHAs).

1-3

%..

AR 340-XX (Test)

h. Records. All recorded information (regardless of type)made or received and maintained by an organization. This informa-tion is kept in order to transact the Army's business and becauseof legal obligations. Excluded from this definition are libraryand museum material, extra copies of documents kept purely forreference purposes, stocks of publications, and blank forms.

i. Record series. A group of documents described under asingle file number in appendix A to this regulation.

j. Permanent. This term applies to those record series sodesignated in appendix A; for an example, see the dispositioncolumn for file number 220-15a in appendix A. In each such case,

.the Archivist of the United States has determined that the recordshave sufficient historic and legal value to warrant their perma-nent retention.

k. Retirement. Shipment of records to a Federal RecordsCenter.

1. Transfer. Shipment of records to RHAs, OCRHAs, anotherArmy organization, or to a Government agency other than a FederalRecords Center.

1-7. Abbreviations. Common abbreviations used within MARXS,especially for use on file labels, are:

CFA current files areaCOFF cutoff; cut offdest destroyFARC Federal Archives and Records CenterNPRC National Personnel Records Center

OCRHA oversea command records holding areaPIF place in the inactive fileRefP reference papersret retire; retirementRHA records holding area9 MARKS Modern Army Record-keeping System

trf transferRCPAC Reserve Components Personnel and Administration

CenterWN1RC Washington National Records Center

1-4

-'-"~~.. ....--.--.--. '...-...........-.... ... ... ... ....... -

AR 340-XX (Test)

Chapter 2

STANDARD FILE SUPPLIES

2-1. Purpose. This chapter provides for file supplies to be used in main-taining files.

2-2. Explanation of terms. Files supplies include folders, guides, labels,fasteners, binders, label holders, and other materials designed to hold

records.

2-3. File supplies, a. Any file supplies normally available from the admin-istrative self-service support center may be used to maintain paper records.However, for records that are transferred to the RHA and/or retired into theFederal Records Center system, the file supplies must be a size that will fit

into standard records shipment boxes described below.

b. The box to be used as a standard shipping container to transfer or

retire paper records is:

Box, fiberboard, 14 3/4" x 12" x 9 1/2", NSN 8115-00-117-8344

c. A variety of file folder types is usually available in a self-servicesupport center; the type that is most practical for your application should bechosen. For example, Soldier Issue Files (number 710-2g, appendix A) aresuited to the type of folder that, when opened, has a pouch on either side.

2-1

-....................... ,.... ,........ .......

- .- .- ,

AR 340-XX (Test)

Chapter 3

OFFICE COPYING AND FILE EQUIPMENT

3-1. Purpose. This chapter has general information for acquiringoffice copiers and file equipment.

3-2. Explanation of terms. a. File equipment. File equipmentincludes all file containers, machines, devices, and furniture usedfor maintaining files. Exceptions are items used for storingrecords in holding areas and records centers, such as fiberboardboxes, wooden boxes, pallets, racks, and shelving. It alsoexcludes equipment that contains publications and blank formsstocked for issue.

b. Office copiers (copying equipment) are those m~chines witha copier-per-minute output of 99 copies or less. They are used tomake 1 to 25 copies of each original document, needed in support ofadministrative requirements, and not requiring special operatortraining.

3-3. Criteria. a. File equipment requests will be processedunder AR 340-4.

b. Office copier requests will be processed under AR 340-20.

3-1

AR 340-XX (Test)

Chapter 4

FILE NUMBERS

4-1. General. A file number will be assigned to each record main-tained by a unit. Follow these steps:

a. By scanning the series numbers and titles in Table 4-1,select the basic series which relates to therecord to be identified. The numbers and titles in Table 4-1 havebeen extracted from AR 310-2, and represent administrative-typepublications (AR's, Pamphlets, Circulars) of the Army. If needed,further reference may be made to DA Pam 310-1, Index of Adminis-trative Publications (microfiche), which lists all series numbersand titles for regulations, pamphlets, and circulars.

b. Referring to appendix A, select the specific file numberwithin the basic series that covers the record to be filed. If therecord relates to the series generally but not to one of thespecific numbers thereunder, use the first file number (unsuffixed,"General Correspondence Files").

4-2. Files not described by this regulation. If a record cannotbe identified by reference to Table 4-1 and appendix A, it will bebrought to the attention of the servicing records manager, whowill:

a. Determine what directive prescribes the creation,maintenance and use of the record.

b. Establish file numbers (and alpha suffixes) based on thenumber of the prescribing directive and the general format inappendix A, and furnish it to the requesting unit for their interimuse, pending eventual publication in this regulation or itssuccessor. The disposition instruction for this provisionalidentification of records will read, "Hold in current files areauntil disposition instructions are published-in AR 340-XX (Test)."Figure 4-1 illustrates a local records manager's response to thiskind of request for help.

c. The servicing records manager will furnish information onthe records in question (including identification of the pre-scribing directive and an unclassified sample of the records) toHQDA (DAAG-AMR-P) Alexandria VA 22331 for evaluation and publi-cation.

4-3. List of file numbers. As a filing, reference, and trainingtool, and to help eliminate constant referral to appendix A, eachfiles station within 5th Battalion, 73rd Armor will prepare a listof file numbers in the format shown in Figure 4-2. A command orinstallation form may be used for this purpose. The list, whenapproved, will be filed as the first document in the front drawerof the unit files. When the list is first drawn up or changed itwill be sent to the servicing records manager for approval; therecords manager's initials or signature on the return copy willindicate such approval.

4-1

% 4 " , -2 ' " '-. -' - , '. ." " " - ' ""- ."" . . • " • . . .-- -' ." . . . .-. ".. - ." . ' ." . .. . ..- . .. -i -

AR 340-XX (Test)

BASIC SERIES NUMBERS AND TITLES

The following list is extracted from AR 310-2 for use as a "finding aid" inconnection with the MARKS numbers in appendix A.

SERIESNUMER TITLE

1 Administration10 Organization and Functions11 Army Programs20 Assistance, Inspections, Investigations, and Follow-up27 Legal Services30 Food Program37 Financial Administration .40 Medical Services58 Motor Transportation ..

65 Postal Service75 Explosives p

95 Aviation105 Communications-Electronics140 Army Reserve145 Reserve Officer Training Corps190 Military Police210 Installations --

220 Field Organizations215 Morale, Welfare, and Recreation310 Military Publications340 Office Management350 Training380 Security381 Military Intelligence385 Safety420 Facilities Engineering500 Emergency Employment of Army and Other Resources525 Military Operations600 Personnel - General604 Personnel Security608 Personal Affairs630 Personnel Absences635 Personnel Separations638 Deceased Personnel640 Personnel Records and ID of Individuals672 Decorations, Awards, and Honors680 Personnel Information Systems700 Logistics710 Inventory Managemedt735 Property Accountability738 Maintenance Management870 Historical Activities

Table 4-1 -v

4-2

. . .~~~~~-ii - ..:.X..... -*cc2&:-&

AR 340-XX (Test)

ATZK-AG 14 July 1983

SUBJECT: Identification of Records

Commander /5th Bn, 73rd Armor194th Armored BrigadeATTN: AdjutantFort Knox, KY 40121 .

1. Reference your verbal request of 6 July 1983 for files assist-ance.

2. The nuclear surety records and reports which you maintain areprescribed by AR 50-5, Nuclear Surety. We have forwarded a requestto TAG, HQDA, to have this category of records added to AR 340-XXor its successor for use by all TOE units to which it may apply; inthe interim, you are authorized to use the following for theserecords:

50: NUCLEAR AND CHEMICAL WEAPONS AND MATERIEL

These records concern the operating procedures, safety, andreliability of nuclear weapons and related material, includingprevention of weapons accidents, incidents, unauthorizeddetonation, and safe jettison. Also includes storage,handling, transportation, mainter.nce, stockpile-to-targetsequences, and related accounting and reporting of nuclearweapons and materiel.


50 GENERAL NUCLEAR SURETY CORRES- Retain in CFA untilPONDENCE FILES. disposition instruc-KEYWORDS: Nuclear, Surety, tions are published

Accident, Incident in AR 340-XX (Test)Documents on nuclear surety or successor.which cannot logically be filedthe detailed records listed below.

Figure 4-1

4-3

......... .. . -. - -. . . . . . . . *. . .. . . . .

AR 340-XX (Test)

ATZK-AGSUBJECT: Identification of Records


50-5a NUCLEAR EAPONS PERSONNEL RELI- Same as Number 50ABILITY RECORDS. above.KEYWORDS: Personnel, Reliability,

TrainingDocuments concerning the screening,evaluation, training, qualification,disqualification, and requalificationof personnel assigned nuclear weaponsresponsibilities.

50-5b NUCLEAR WEAPONS TRANSPORTATION Same as Number 50RECORDS. above.KEYWORDS: Nuclear, TransportationDocvuments relating to loading, tie-down, unloading, security, and re-porting of the movement of nuclearweapons.

3. Point of contact is Howard Smith, RMO, telephone 41945.

FOR THE COMMANDER: S

W. GRAHAM JOHNSONCPT, AGCAssistant Adjutant General

I|

Figure 4-1 (Continued)

4-4

v:':':':2-....2.....-......... -..... .........

AR 340-XX (Test)

This figure illustrates an abbreviated List of File Numbers. Inpreparing the list, "General Correspondence Files" (the generalnumber at the start of each basic series) need not be listed.


1st Battalion, 93rd Infantry

Does Privacy Actapply? If so,give System ID #

Number Title

10-la Organization Files

20-Ia IG Inspection Files

27-lb Special Courts-Martial Files

30-la Dining Facility Operations Files

37-2a Office Financial Files

58-la Dispatcher Organizational Control Records

58-lb Equipment Daily Use Files

65a Postal Personnel Designation Files

65j Unit Mailroom Inspection Files

105-la Office Message Reference Files

210-130a Laundry/Dry Cleaning Files A1427.01aDALO

220-la Unit Status Reporting Files

220-lb . Personnel Readiness Files

220-45b Duty Roster Files

(etc.)

Figure 4-2 -- List of File Numbers

4-5

AR 340-XX (Test)

Chapter 5

DISPOSITION INSTRUCTIONS

5-1. General. Retention periods for records accumulated by units using thisregulation are in appendix A.

5-2. Disposition instructions. Taking the general disposition standard fromappendix A, translate it into specific dates for cutoff and destruction orretirement, per the instructions in figure 5-1. Bear in mind that retentionperiods begin when the record is cut off at the end of the calendar or fiscalyear, or at such other time as may be specified in appendix A, or on theoccurrence of a specific act or event which makes the record inactive.

I

NOTE: FOR EVERY FILE NUMBER IN APPENDIX A,A SAMPLE FOLDER LABEL IS GIVEN. THIS SAMPLEALREADY HAS ALL THE INFORMATION ON IT THATYOU NEED TO SET UP YOUR FOLDER LABELS. YOUSHOULD ONLY HAVE TO REFER TO FIG. 5-1 IF YOU IRUN INTO AN UNUSUAL CIRCUMSTANCE THAT IS NOTCOVERED BY THE SAMPLE GIVEN.

5-3. Changes to retention periods. Retention periods for Army recordssometimes change because of statutory, legal, financial, and administrativerequirements. These general rules apply:

a. Increased retention period. If a change increases the retentionperiod, apply the new period to all records of that file number, regardless ofwhen they were created or where they are maintained (current files area orrecords holding area).

b. Decreased retention period. This could be either a change fromPERMANENT to a definite time period, or from a definite period to a lesserperiod (for example, from "Destroy after 10 years" to "Destroy after 2years"). In such cases, the new retention period will be applied to current-year records. It will also be applied to inactive records if it ispractical to do so, but not if a lot of time and money would be required. Forexample, a change from 5 years' retention to 4 years involving several hundredrecords would take a major effort to apply and it would, therefore, becheaper to simply retain the records for the extra year.

5

.- i .... .

AR 340-XX (Test)

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AR 340-XX (Test)

Chapter 6

FILING ARRANGEMENTS p

6-1. General. This chapter outlines the arrangements that may beused for subdividing files within a single MARKS number.

6-2. Date arrangement. This is used only for material withinfolders. When used, arrange records chronologically.

6-3. Simple number arrangement. Papers are arranged in simplenumerical sequence; records that are filed by unit designation aresuited to this arrangement.

6-4. Alphabetical arrangement. The two basic methods of arrangingrecords alphabetically are: V

a. Subject. Under this method, subject titles are used andarranged alphabetically. For example, Organizational HistoryFiles, described in appendix A under number 870-5a, might besubdivided by Assumption of Command, Ceremonies, Clippings, Honors,and Lineage. These subjects would be filed alphabetically behindthe number 870-5a, either in separate folders or within the basicfolder, depending on volume.

b. Name. Records are arranged by the name of persons, places, . .or organizations. The principal use is in arranging personnel-typerecords. These are examples of the name arrangement method:

(1) Personal names -- file by surname, then by first name andmiddle initial. Example:

Brown, Robert J.Doe, John L.Smith, Stanley S.

(2) Place names -- file first by name of larger place, andthen by specific location. Example:

Alabama, TroyPennsylvania, New BrightonVirginia, Richlands

(3) Organization names -- file first by general name, such asarsenal, battalion, company, or depot; then file by specific name.Example:

Arsenal, WatervlietDepot, Red RiverMilitary Ocean Terminal, Bayonne

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AR 340-XX (Test)

Chapter 7

FILING PROCEDURES

" 7-1. General. This chapter describes methods of filing andretrieving records from files.

7-2. Assembly of records for filing, a. Correspondence to befiled will be assembled in the order shown in figure 7-1.

b. If reference needs require, related records on the samesubject may be combined by stapling or clipping the two recordstogether.

7-3. Fastening. Documents will normally be stapled; when thevolume becomes too great for stapling, other fasteners may be used.Documents will not be attached to file folders, except for special-design folders such as DA Form. 201 (Military Personnel RecordsJacket, or MPRJ).

7-4. Entering the file number. The file number may be entered ona record at the time it is created by placing it in parentheses tothe immediate right of the reference symbol, as in this abbreviatedexample of a military letter:

DEPARTMENT OF THE ARMY

811th Explosive Ordnance Disposal Detachment

Fort Wall, Kansas 62121

AFZQ-EOD (75-15a)--"

SUBJECT: Quarterly EOD Status Report, 2Q FY 83

Commander93rd Inf Div & Fort WallATTN: AFZQ-MRM-ORDFort Wall, KS 62121

This procedure (allowing the file number to be entered on therecord at the time it is created) differs from TAFFS, where thedocument was marked with the file number only at time of filingbecause one document might have several different numbers,depending on the function of each office where it was filed. WhenMARKS is implemented Army-wide, the above procedure will beincluded in AR 340-15, Preparing Correspondence; until that time,this paragraph is authority for test units to use this newprocedure.

7-1

__! . . . . .. . % .", .... ,.... .... ,.....,.. . ... ... . ....... - .. .. . . . ... . . -.-

7 7-

AR 340-XX (Test)

7-5. Labeling files, a. General. All file folders and recordcontainers will be labeled. This Is essential for accurate filing,retrieval, and disposition of records.

b. Label entries. Type or write entries on file labels. Drawer andbinder labels will be prepared on card stock. For the file title as Itappears on the label, you may use any abbreviation that you will understand.The abbreviations used on the file label for disposition, however, should beas given in paragraph 1-7, this regulation. Folder labels will include filenumber, file title, disposition instructions, and (where appropriate) the yearof file accumulation. Samples and further Instructions for folder labels,drawer labels, and uide cards are Illustrated at figure 7-2.

7-6. Position of folder labels. Under TAFFS, there was a require-ment that folder labels be placed In the left, center, or rightposition to denote ultimate disposition of the file. This require-ment no longer exists.

7-7. Arrangement of folders in annual blocks. Cutting off foldersat the end of the year and setting up new folders for the new yearis a "blocking system.' Under this system, set up new records onor near the first workday in January or October (for the calendaror fiscal year, respectively); file those folders that continuefrom year to year, such as Policy and Precedent Files, in the newannual block. One-year-only folders from the previous year willremain in one block. For example, 1980 records and 1981 recordswould not be interfiled. If they are kept in the same drawer,use a guide card noting the years to separate them.

7-8. Removing documents from a file. When a document Is removed,fill out a chargeout recori and substitute it for the document inthis manner:

a. When suspense control is necessary or desired, use DA Form543 (Request for Records). Attach the original to the top of thefile being loaned; file the first copy in the suspense file underthe date on which the file is to be returned; and file the secondcopy in place of the charged-out file. When loaned files are notreturned by the suspense date, take action to get the file orarrange a new suspense date with the borrower.

b. When suspense control is not necessary, Optional Form 23 -.

(Chargeout Record) may be used. When charged-out files arereturned, line out the entry on the form and reuse it. Checkchargeout records in the files periodically so that material is notkept out too long.

7-2

.-.... ..... . . . . .

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AR 340-XX (Test)

7-9. Providing for expanding files. A file consisting of onefolder may require additional folders during the course of theyear, before the file is cut off. When the material in any folderreaches capacity, prepare a second folder, and make a note on eachfolder to indicate the dividing point, as in this example:

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7-3

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AR 340-XX (Test)j

LATEST ACTION

(indorsement or comment)

Figure basi r-Asembyfredrso

Inclosresfiiorde

7-4

AR 340-XX (Test)

File # File Title

L30-id Cash Receipt Files (82)COFF 31 Dec 82, Dest Jan 85

Year of accumulation, where appropriateDisposition instructions

37- 03a Sched. of Coll. 82)

-

3-03a Sales Accounts 82),,

137-103a Deposit Reports (82)

37-103a Collection Reports (82)

37-103a Collection Voucher Files (82)COFF 30 Sep 82, Dest Oct 85

I (taped shut)

USE OF "DUMMY" FOLDER

When there are several folders under one number, you may use a

"dummym folder which contains the full label entries. Tape it shut

so that no documents can be filed in it. Subsequent folder labels

need only show the title of the folder contents; the number and

year of accumulation may be shown, as in the example above.

Figure 7-2 -- Label entries.

7-5

.. . . ... . . . . . . . . . . . . . . . . . .. ".. . . . o- . "

AR 340-XX (Test)(710-2e Property Officer DesignationsjACTIVE. PIP on termination of designation.

Sample label for a file that will be cut off(become inactive) on occurrence of a specific action or event.

I710-2e Property officer Designations (80)INACTIVE. COFF 31 Dec 80, Dest Jan 83.

Sample label for the inactive file.

1 1 600-33a LOD Files (82)

Sape~ 10 thru 58-lb (82) COPP 31 Dec 2,Tn RHA

Sapelabel entry for drawer ASample label entry for drawerthat contains two or more / that contains one (and onlyrecord series. No disposition one) record series, and con-is shown on the label because tains all of that recordit varies among the several series. Note that the drawerrecord series in the drawer. label is identical to the

folder label in this case.

600-33a LOD Files (82) 600-33a LOD Files (82)

ICOPP 31 Dec 82, Trf COPP 31 Dec 82, TrfFRHA Jan 85, 11 RHA Jan 85,D (As (KD-t)Dest Jan 88. Dest Jan 88.1

Sample label entries for drawers that contain only*part of one record series. Note that the division

-(A-L, M-Z) is indicated on each label.

Figure 7-2 -- continued.

7-6

AR 340-XX (Test)

Chapter 8

DISPOSAL PROCEDURES

8-1. Methods of disposal. When the prescribed retention periodfor a record has expired, it will be destroyed as follows:

a. Destroy security classified records per AR 380-5.

b. Destroy unclassified records marked FOR OFFICIAL USE ONLYper paragraph 4-501, AR 340-17.

c. Destroy records subject to The Privacy Act per AR 340-21.

d. Destroy all other records by the most convenient meansavailable.

8-2. Emergency disposal of records. a. Under the RecordsDisposal Act of 1943, Army records may be destroyed at any time iftheir retention is prejudicial to the interests of the UnitedStates, provided --

(1) There is a state of war between the United States and anyother nation.

- (2) Hostile action by a foreign power appears imminent.

b. When emergency disposal is complete, a list of those filesand the inclusive dates of each will be compiled, to the extentpossible, and sent to HQDA (DAAG-AMR-P), Alexandria, VA, 22331.

" 8-1'

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AR 340-XX (Test)

Chapter 9

RECORD TRANSFER AND RETIREMENT PROCEDURES

Section I. TRANSFER TO RECORDS HOLDING AREAS OROVERSEA COMMAND RECORDS HOLDING AREAS

9-1. General. a.. This section prescribes procedures forpreparing and distributing records transmittal lists to recordsholding areas (RHAs) and oversea command records holding areas(OCRHAs).

b. SF 135 and its continuation sheet, SF 135A, will be type-written. All ribbon copies of shipment forms will be fastenedtogether in box number sequence to form the records transmittallist. Carbon copies will be fastened together in the same manner.

c. When classified information is disclosed in titles onSF 135 or SF 135A, the forms will be classified accordingly. Formsprepared for transmitting classified files will not, in themselves,be classified if --

(1) Information on the form is not classified. Simple indi-cation of the degree of classification on SF 135 or SF 135A is notclassified information.

(2) General descriptions of classified files are used, insteadof the long title of the classified documents.

9-2. Preparing lists, a. Separate transmittals. Prepareseparate SF 135s for these records:

(1) Classified records.

(2) Unclassified records.

b. Number of copies. Prepare three copies for shipment toRHAs and four copies for shipment to OCRHAs. Make one extra copyon discontinuance.

c. Entries.

(1) Item 1: In the "TO" block, delete "Federal Archives andRecords Center, General Services Administration" by line-through,and enter the address or building number of the RHA.

(2) Item 2: Enter name and title of the head of the organi-zation transferring the records.

(3) Item 3: Enter name and telephone number of the recordscustodian.

. •(4) Item 4: Omit.

2: 9-1

AR 340-XX (Test)

(5) Item 5: Enter name and complete address of the organi-zation transferring the records.

(6) Items 6(a), 6(b), and 6(c): Omit.

(7) Item 6(d): Enter the number of boxes in the shipment.

(8) Item 6(e): Enter the box number and total number of boxesin the shipment. For instance, the third box of a total shipmentof twelve boxes would be indicated as "3/12."

(9) Item 6(f): The following entries, where applicable, willbe made:

(a) Privacy statement. If the records being shipped aresubject to The Privacy Act (so indicated by the box under the filenumber in appendix A), include this statement:

"These records are an addition to a records systempreviously retired to the records center, and theinformation previously submitted by HQDA is stillapplicable."

If the files are a system of records as defined in paragraph 1-51,AR 340-21, but are not covered by a system notice in theAR 340-21 series, hold the records and send a notice promptly tothe servicing records'manager (installation level), who will inturn notify HQDA (DAAG-AMR), Alexandria, VA 22331. HQDA willprepare a system notice or will provide special maintenance anddisposition instructions. If The Privacy Act does not apply to therecords being shipped, so state.

(b) Historical data. Indicate any historical data involvingthe organization that created the records. Include dates andauthorities for events during the period covered by the recordsbeing shipped. Examples are activation, changes of commandchannels, names and locations of next higher headquarters andinclusive dates of command jurisdiction, transfer of functions,changes of mission, redesignation, permanent changes of station,and so forth. On each successive shipment of records, bring thishistorical backaground information up to date.

(c) Organization elements. Enter complete title of organi-zational element and location, and underscore. For example:"599th Military Police Battalion, Fort Johnson, Wyoming". Use onlyauthorized abbreviations.

9-2

2-7- I.• . .1...............................'V..°.

AR 340-XX (Test)

(d) Series description. Enter the file title, arrangement ofthe records (alphabetical, chronological, etc.), and the year ofaccumulation. The title will be the same as that shown in appendixA of this regulation. If the file series (MARKS number) iscontained in more than one box, indicate the contents of each boxopposite the box number, as in this example:

AGENCY SERIES o0camPtvAO

NUMBERS W , tse e eN)

L"INE OF DUTY FILES (arianged alpha-

betically). 1978..1/4 A-D

2/4 E-K

3/4 L-S

t

(e) Continuation pages. Use SF 135A.

(10) Item 6(g): Enter one of these codes to indicate restric-tions on use of the records (codes are further explained on reverseof SF 135): L

T = TOP SECRET security classification.

S = SECRET security classification

C = CONFIDENTIAL security classificationL

R = FOR OFFICIAL USE ONLY protective marking

N - Unclassified, with no restrictions

(11) Item 6(h): Enter the MARKS number for each title in item6(f).

(12) Item 6(i): Enter the month and year in which the recordsmay be destroyed. If the records are permanent, enter "Perm".

9-3

9

IR 340-XX (Test)

9-3. Distributing lists, a. Under normal circumstances (otherthan discontinuance). For records transferred to RHAs, send anoriginal and one copy to the RHA, and retain one copy for file.For records transferred to OCRHAs, send an original and one copy tothe OCRHA in advance of the shipment; place one copy in an envelopeand insert as the first item in the first box of the shipment; andretain one copy for file.

b. On discontinuance. Distribute copies according to theabove and send one copy to the records manager of the next higherheadquarters. Organizations reporting directly to HODA will sendone copy to HODA (DAAG-AMR-S), Alexandria, VA 22331.

9-4. Supplemental data when organizational status changes. Attachthe following to the original transmittal (SF 135):

a. Organization chart showing the new organization relation-ship.

b. Listing showing records transferred to another agency orretired directly to a Federal Records Center, when applicable.

9-5. Entries for files lost or destroyed. Inform RHAs and OCRHAsof accidentally lost or destroyed permanent records or records ofmore than 10 years' retention. Enter this data on SF 135 or SF135A prepared for the transfer of records that accumulated duringthe same period. Enter the file title and inclusive dates of the ---- -lost or destroyed records, and (in item 6(f)) the phrase, "acci- -dentally lost" or "accidentally destroyed."

9-6. rhipping containers. The standard records shipping con-tainer described In chapter 2, this regulation will be used fortransferring records to RHAs and OCRHAs. See paragraph 9-7 belowfor an exception. Records shipped to CONUS records centers from anoversea location will be packed in Triwall containers, NSN8115-00-774-6562.

9-7. Containers for odd-size records. When the box described inchapter 2 does not meet shipping requirements because of odd sizes(due to blueprints, maps, ledgers, etc.), pack and ship the recordsso they will not be damaged enroute. Select boxes for odd-sizerecords from those in GSA stock catalogs; the servicing recordsmanager (installation-level) can assist in this selection.9-8. Packing procedures. a. General arrangement. Regardless ofthe type of container used for packing records, fill containers

with only one row of file folders. When transferring records toRHAs or OCRHAs, pack permanent files in the first boxes of theshipment, followed by boxes of temporary records. Each group ofrecords will be packed in file number sequence.

b. Arrangement of records packed in fiberboard boxes.

(1) Place letter-size files in boxes so that the file folders ' b

9-4

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AR 340-XX (Test)

are parallel with the end of the box. If a small number of legal-size documents are filed with the letter-size material, fold thebottom ends of the documents into the file folder to preventtearing. When filled, each box holds 15" of material.

(2) Place legal-size files in boxes so that the file folderscontaining the records are parallel with the sides of the box.When filled, each box will hold one linear foot of files. Com-pletely fill the fiberboard boxes, but take care that boxes are notpacked so tightly that the records cannot be seerviced in thecontainers. Do not ship partially-filled boxes to a FederalRecords Center; however, in a multibox shipment, the last box neednot be full. In this case, pack crumpled paper in the unused spaceto prevent movement during shipment. Do not use excelsior,shredded paper, wax paper, additional file material, or surplusfile folders as packing material.

9-9. Identifying record shipping containers. Before shipping toan RHA, OCRHA, or records center, enter the box number and totalnumber of boxes in the shipment on the end of the box, in the upperright-hand corner. If a shipment consists of three boxes, for ex-ample, they will be marked-1/3, 2/3, and 3/3.

Section II. RETIREMENT OF RECORDS TO A FEDERAL RECORDS LCENTER AND TRANSFER TO OTHER UNITS AND ORGANIZATIONS

9-10. Retirement of records to a Federal Records Center, GSA.Normally, the records of a unit are not retired directly to aFederal Records Center, but are transferred to the RHA or OCRHAwhich, In turn, retires records of long-term or permanent value.However, when direct retirement to a Federal Records Center isnecessary, AR 340-18-1 will apply. Installation-level recordsmanager can assist in this process.

9-11. Records shipments by USAR units. a. General. USAR unitswill essentially follow the same instructions for listing, packingand shipping records as stated above. However, records to beretired to a records center will be sent to the location assignedby the CONUS Army commander or major oversea commander.

b. Consolidated shipments. Records of all USAR units andactivities will be retired by the organizations designated by theCONUS Army or major oversea commander as follows:

(1) Reserve unit attendance files (number 140-185a) and ROTCcadet MPRJ files (residue of number 145-id) will be retired to USA ...RCPAC, 9700 Page Boulevard, St. Louis, MO 63132.

(2) Publication record set files and other records eligiblefor retirement will be shipped to WNRC, GSA, Washington, DC 20409.

9-12. Transfer to other units and organizations. Forinstructions, check with installation or activity records manager.

9-5

AR 340-XX (Test)

Chapter 10 IDISPOSITION OF RECORDS ON CHANGE OF STATUS

10-1. General. Any unit changing status during the course of thistest will dispose of its records in accordance with existing In-structions in Chapter 10, AR 340-2.

* 4

10-1

%~% ° .

AR 340-XX (Test)

Appendix A

RECORDS DISPOSITION STANDARDS

A-1. This appendix has file numbers, descriptions, and instructions for dis-posing of records created and maintained by Army organizations listed inparagraph 1-3 and participating in this test. Where the term "office" isused, it refers to any place where records are created, maintained, or used.This may be a formal office, a supply room, a dining facility, a command postin the field, or any other entity to which this regulation applies.

A-2. For ;each basic category of records (Table 4-1) listed in this appendix,a file number is provided without suffix that may be used in either of two psituations:

a. It may be used for general correspondence (letters, indorsements, DFs,comments, forms, etc.) that falls within the subject area, but which cannotlogically be filed with the detailed records that are shown as being"prescribed by the regulations in that category.

EXAMPLE: Supply Sergeant, Company A receives a DFfrom Battalion S-4 stressing the importance of main-taining a level of "inventory discipline." The DFfalls under the 710-series of records because itdeals with inventory, but there is no specific 710number dealing exclusively with inventory discipline.The DF would therefore be filed under 710 GeneralInventory Correspondence, held for 2 years, and thendestroyed.

b. It may be used for documents received for information only, on whichno action is required, even if a specific file number exists for them. Usingthis category will allow you to file all non-action documents dealing withone category of records without having to set up a large number of filefolders under specific numbers, each containing only one or two of these non-action documents.

A-i

41

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.i1

AR 34o-XX (Test)

EXAMPLE: In the course of one week, the PSNCO in Ithe B' PAC receives the following documents for in-

formation only (no action required on them):I

o A DF from the servicing medical activity whichsummarizes how many battalion soldiers have beenexamined under the Weight Control Program during the

past year.

o A distribution letter from the Alcohol and DrugAbuse Prevention Control Officer at post headquarterslisting the various services that are available from Ithat office. I

o A one-page printout from F&AO summarizing theprevious FY funds for TDY that were available to and Iused by the battalion. I

For each of these three documents, there is a specific .file number available (600-9a, 600-85a, and 600g, Irespectively); however, since no action is required oniany of these documents, they may all be placed in the Isecond "general correspondence" category for non-action "documents, rather than making three separate filing I ..

actions. Note the disposition standard for these non-.action documents - they may be destroyed when nolonger needed for current operations. In fact, thePSNCO may legally decide to destroy one, two, or allthree of them without ever filing them if he or she Idecides that there will be no future reference require-ments on them.

A-3. If a test unit creates records that are not described in thisappendix, they will call this to the attention of the servicing recordsmanager as outlined in paragraph 4-2.

A-4. In the case of certain record series in this appendix, theprescribing directive is not an Army Regulation/DA Pamphlet, or there is noprescribing directive at all. Where this occurs, the records have been'

identified, for purposes of consistency within the .A3XS numbering scheme,with a basic series number from Table 4-1. This situation occurs in the fol-lowing file numbers in appendix A:

A-i•

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j AR 340-XX (Test)

MARKSFile # Title and Remarks

65a - 65q Postal Service (prescribed by DOD Postal Manual4525.6-M, Vol II)

105-24b Radio Efficiency Reporting Files (prescribed byDOD Instruction 4850.1)

220-lb Personnel Readiness Files (prescribed by FORSCOMMobilization and Deployment Planning System)

3lO-2s Housekeeping Instruction Files (no prescribingdirective)

310-2b Policy and Precedent Files (no prescribingdirective)

310-2f Training Media Files (no prescribing directive)340a - 340d Office Management (no prescribing directives)381a Intelligence Reporting Files (prescribed by

Defense Intelligence Agency Manual 58-2)600a - 600h Personnel - General (no prescribing directives)

A-5. Prior to preparing labels, the retention periods given in this appendix("Destroy after 2 years", etc.) will be converted to specific cutoff,transfer, destruction, or retirement dates using the sample file labels as aguide, or using figure 5-1.

A-6. Record series In this appendix which are subject to The Privacy Act of1974 (5USC552a) and which are Army-wide systems of records (as opposed *tolocal or "unique" systems) are so identified by a line just above thedescription. This is included to promote awareness of privacy program re-quirements to identify and protect such records. Full Information anid detailson The Army Privacy Program are available in the AR 340-21-series of regu-lations.

A-7. Aids to automation: Another innovation of MARKS over TAFFS is that itwill be amenable to future efforts to automate record-keeping in the Army.This paragraph outlines two such aids that are being incorporated in MARKS.

NOT!: What folloWs Ts solel-y for theIinformation of users of this test reg-Iulation.' It does not have an imediateIapplicability during the test.

a. Standard Data Elements - the general structure of MARKS has beenstandardized into Standard Data Elements under the program of AR 18-12,Catalog of Standard Data Elements and Codes. This step will facilitateprogramming for eventual electronic/automated record-keeping at sone futuredate. The following Standard Data Elements have been established:

A- iii

* . ~* * . . . .. . . . . . . . . . . . . . .' ' ".. . . .

AR 340-XX (Test)

STANDARD DATA ELEMENT MEANINGSARE-SERIES-NO MARKS Basic Series NumberMARKS-SERIES-TITLE MARKS Basic Series TitleMARKS -PPRESB-DIR MAWK Prescribing Directive

MARS-PRESB-DTR-PR EFTX MARKS Prescribing Directive PrefixMARKS-PR.ESB-DIR-NO MARKS Prescribing Directive Number

MARKS-PRESB-DIR-TITLE MARKS Prescribing Directive TitleMARKS-SERIES-DESCR MARKS Basic Series DescriptionMARKS-GEN-CORR-ID MARKS General Correspondence IdentificationMARES-GEN-CORR-FILE-NO MARKS General Correspondence File Number -.

MARKS-GE1N-CORR-NO-SUFFIX MARKS General Correspondence Number SuffixMARKS-GEN-CORR-DESCR MARWS General Correspondence File DescriptionMARKS-GjN-CORR-DISPO MARKS General Correspondence File DispositionMARKS-FtIU-ID MARKS File IdentificationMARKS-FILE-NO MARKS File NumberMARKS-FILE-NO-SUFFIX MARKS File Number SuffixMARKS-FILE-TITLE MARKS File TitleMARKS-KEYWORD MARKS KeywordsMARKS-FILE-DESCR MARKS File DescriptionMARKS-FILE-DISPO MARKS File Disposition

MARKS-PRIVACY-ACT-ID MARKS Privacy Act Identification

b. Keywords - Within each record series, between the title and the de-scription, is a "keyword line" which (when MARKS is implemented Army-wide) _

will list several key words that may be used to search an automated data base.While users of this test regulation will not be doing keyword searches ofautomated data bases, we have included this line for general familiarization.

A-8. Suspense files may accumulate in connection with any of the recordseries in this appendix. They are reminders that an action is required by agiven date. MARKS numbers need not be used on suspense papers or the filedrawers or folders in which they are kept. Some examples of suspense filesare:

a. A note to submit a report or to take some other action; the notewould be destroyed after the report is submitted or the action is taken.

b. An outgoing communication filed by the date on which a reply isexpected. When the reply is received, the communication is withdrawn andfiled (if it is the record copy) or destroyed (if it is an extra copy).

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.......................................................................................

AR 340-XX (Test)

APPENDIX B

RECORD CENTERS AND MAJOR STORAGE AREAS

This appendix identifies the record centers and major storage areas towhich users of this regulation may have occasion to send inactiverecords. The installation or activity records manager should beconsulted if more information is needed.

Name/address of recordcenter or major storage area Type of records maintained

1. WASHINGTON NATIONAL RECORDS All Army records which are eligibleCENTER for retirement to a record center,

unless a different disposition isa. For shipments by USPS: specified in appendix A.

Washington, DC 20409

b. For common carrier shipments:

4205 Suitland RoadSuitland, MD 20023

2. NATIONAL PERSONNEL RECORDS File number 680b.CENTER, GSA (Military Records)9700 Page BoulevardSt. Louis, MO 63132

3. USA RESERVE COMPONENTS PERSONNEL File numbers 140-185a and 145-1d.AND ADMINISTRATION CENTER9700 Page BoulevardSt. Louis, MO 63132

4. Oversea command record holding All files designated for transferareas: under chapter 5, this regulation.

a. US Forces Support District (Norddeutschland)ATTN: OCRHAAPO NY 09069

b. OCRHA KoreaAPO SF 96259

c. USARJ OCRHAAPO SF 96343

B-1

... .......

AR 340-XX (Test)

APPENDIX C

REFERENCES ]

Required Publications:

AR 340-21 The Army Privacy Program. Cited in paragraphs8-ic and 9-2c(2) (a).

AR 380-5 Department of the Army Supplement to DODISPR.Cited in paragraphs 8-la and 9-2c(9)(b).

Related Publications:

AR 37-104-3 Military Pay and Allowances Procedures.

AR 40-66 Medical Records and Quality Assurance Admin-istration.

AR 145-1 Senior ROTC Program Organization, Admin-istration, and Training.

AR 310-2 Identification and Distribution of DA Publi-cations.

AR 310-10 Military Orders.

AR 310-50 Authorized Abbreviations and Brevity Codes.

AR 340-2 Maintenance and Disposition of Records forTOE and Certain Other Units of the Army

AR 340-17 Release of Information and Records from Army

Files.

AR 340-18-series The Army Functional Files System (TAFFS).

AR 340-20 Office Copiers.

AR 340-22 The Army Micrographics Program.

AR 380-13 Acquisition and Storage of Information Con-cerning Nonaffiliated Persons and Organiza-tions.

AR 15-6 Procedures for Investigating Officers andBoards of Officers

SC-1I. )

AR 3'0-XX (Test)

Related Publications (Continued):

AR 500-31 Suspension of Fe'oratle Personnel kcticnsfor Military Personnel in -lational SecurityCases and Ct-her Investigations or Pro-ceedings.

AR 604-10 Military Personnel Security Program.

AR 635-10 Processing Personnel for Separation.

AR 40-i0 Individual 'ilitary Personnel zecords.

AR 873-5 Military History Responsibilities, Pol-icies and Procedures.

TM 38-750 The Army Maintenance Management System(TAMMS).

DA Pam 6C0-8-series MILPO Procedures / SI PERS Users' Manuals.

0]

C-2

.. . . . . . . . . . .. . . .. ~ *. . . . . .. . . . . . . . . .

S. * - - .. .-

AR 340-XX (Test)

FThe proponent agency of this test regulationis The Adjutant General's Office. Users areinvited to submit comments and suggested in-provements as prescribed by test instructions,which will be furnished separately.


JOHN A. WiC2KHAM, JR.General, inited States Army

Official: Chief of Staff

ROBERT M. JOYCEMajor General, United States .rmy

The Adjutant General


'I..

I

~..- . . .. . . . . . . . . . . . ...... .." -. " '.- " . . - -. .. , . . . .- ' .. .° " " ' . . ... "'" " "" "'" " "" " " .. . . " - - . *: .:2.,.> '.. . :1.


.RCP.-, IY ~ALEXANDR.A, VA 22331

ArTENTION OF

DAAG-AMR-P

SUBJECT: Pilot Study of The Modern Army Record-keeping System(MARKS)

CommanderUS Army Armor Center and Fort KnoxATTN: ATZK-DI-S/WO1 DeanFort Knox, KY 40121

1. The Office of The Adjutant General is conducting a one-yearpilot study of a new record-keeping system, MARKS, which will event-ually replace The Army Functional Files System (TAFFS) for theentire Army. The pilot study is being conducted in 5th Battalion, W73rd Armored Regiment, Fort Knox, Kentucky. As your office conducts 0food service inspections of the 5/73 Consolidated Dining Facility,this letter is to provide you with some details of the system asit affects record-keeping in food service facilities.

2. Under MARKS (see information packet at Incl # 1), records areidentified with the same number as the directive, usually an ArmyRegulation, which prescribes that they be created, maintained, andused. Under this concept, records relating to operation of diningfacilities are numbered 30-1, with an alpha suffix to distinguishamong several different types of records prescribed by AR 30-1;records on unsatisfactory subsistence are numbered 30-16; and soforth. SFC Ardoin, NCOIC of 5/73 Consolidated Dining Facility, isusing the new record-keeping system and has converted his recordsaccordingly.

3. At Inclosure # 2 is a copy of the prototype filing regulationbeing used by 5/73 Armor; it is furnished strictly for your infor-mation. If you have any questions on how food service records areidentified under MARKS, please call the Project Officer, John Vos,at AUTOVON 221-0313.


2 Incls JOHN HENRY HATCHER, Ph.D.as Archivist of the Army

cf: Mr. Smith, Ft Knox RMO (w/o incls)SFC Lane, AG Section, 194 Bde (w/o incls) /

Encl. # 8 to Chapter 6 S 193 - -

,.-...- . , , ... ,- -..- . , . . .. .....-... , . . . , - .,- he A m. ,- .


* ALEXANDRIA, VA 22331

REPLY TOATTENTION. OF 3 JUN 1984

DAAG-AMR-P/MARKS

SUBJECT: Impact of MARKS on Skill Qualification Testing

SEE DISTRIBUTION

1. During the course of the year-long pilot of the Modern Army Record-keepingSystem (MARKS) at 5th Bn, 73rd Armor, Fort Knox, KY, concern has been voicedby several officials about whether members of 5/73 Armor with MOS 71L would beat a disadvantage in taking the SQT because of being tested on TAFFS whileactually using MARKS.

*I

2. We have had discussions with Mr. King, US Army Institute of Personnel andResource Management, Fort Benjamin Harrison, IN 46216, who is the proponent ofthe SQT for 71L and several related MOS's. We have been assured that thoseportions of the SQT for 71L that deal with filing system cover areas that arethe same between TAFFS and MARKS, i.e., computation of cutoff, transfer, anddestruction dates. The difference in file numbers between TAFFS and MARKSwill not have a bearing on those areas that are addressed in the SQT.

3. The above is furnished for your information. Point of contact is John Vos,MARKS Project Officer, HQDA (DAAG-AMR-P), Alexandria, VA 22331, AUTOVON221-0440 or 221-0313.


JOHN HENRY HA CHER, Ph.D.

Archivist of/the Army

DISTRIBUTION: 1 each --

Cdr, USA TRADOCATTN: DCSPAL/MG OnoFort Monroe, VA 23651 (thru Ms. Thompson, ATPL-AOR)

Cdr, USAARMC & Ft KnoxATTN: AG/LTC Tugwell and Ch, Admin Svcs/Ms. PooreFort Knox, KY 40121 (thru Mr. Smith, ATZK-AG-AR)

* . Cdr, USA FORSCOMATTN: AFAG-ASR/Mr. NuttallFort McPherson, GA 30330


.......................................L... . .. . . . ." "* *. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..--.' .-. -."-.""" ."' "- •" "- " '* -. , ' . , . ,-". " " -. .- -_

DRAFT FINAL REPORT


Chapter 7

Problems Faced During Course of Pilot

1. The prototype regulation used in the pilot, AR 340-XX (Test), could not beprofessionally set in type and printed because of the small volume (50 copies)required to begin the pilot. As a result, the entire regulation was keyedonto floppy disk with in-house resources, printed out, and run off by DefensePrinting Service in 50 copies. Likewise, all graphics work was done in-house.

2. The pilot unit was absent from Fort Knox for two extended periods fortraining during this year (National Training Center, Fort Irwin, California,October and November of 1983; and Fort Drum, New York, January and Februaryof 1984). The MARKS Team made two visits to Fort Knox during these periods todeal with the installation headquarters pilot of MARKS; had the battalion beenin garrison during these periods, the total number of assistance visits to5/73 Armor would have been eight instead of six.

3. The rate of personnel turn-over in 5/73 Armor during this year, asconcerns those involved in the pilot, was high. Of the 22 individuals who

received training in June 1983, only four were still (a) in the battalion, and(b) in positions involving maintenan-ce of records at the conclusion of Meipilot (MSG Beck, BMO; SGT Pruiett, Co. B (now in S-4); SP4 Mishler, Co. C; andSP4 McCanick, CSC). In most cases, the change in personnel did not result ina lack of continuity for the pilot project because the departing individualexplained it to this successor. In two cases, however, there was no passingon of this information (PAC and S-3; see paragraph 6, Encl # 6 to Chapter 6and paragraphs 2 and 3, Enc. # 5 to Chapter 6).

. .. . . . . . . . . . . . . . . . . . . . . . . .-...-

DRAFT FINAL REPORT


Chapter 8

Closing Out the Pilot at 5/73 Armor

1. The pilot of MARKS at 5th Battalion, 73rd Armored Regiment ended on 30June 1984. The MARKS Project Officer performed TDY to Fort Knox during theperiod 1 - 3 July 1984 for the purpose of concluding the pilot. The tripreport covering this visit is at Enclosure # 6 to Chapter 6.

2. Accompanied by Mr. Smith, Fort Knox RMO, the MARKS Project Officervisited each files station in the battalion on 2 and 3 July 1984. At each lo-cation the following was done:

a. We advised the participant that, although the pilot was concluded,he would continue to use MARKS (in place of TAFFS) as his record-keepingsystem until such time as MARKS is implemented throughout TOE units Army-wide.

b. We instructed each participant that, because the pilot ended inthe middle of a record-keeping year, he would continue his current files to 31December 1984 (instead of cutting them off and destroying, holding, or retir-ing them as of 30 June 1984).

c. We furnished each participant with a preprinted set of file labelsto assist in the conversion from a 30 June 1984 cutoff to a 31 December 1984cutoff.

d. We administered a questionnaire to each participant to recordperceptions of MARKS vis-a-vis TAFFS.

e. We examined the actual records being maintained at each filesstation (exception: classified records of S-2 were not examined).

f. Discussed record-keeping in general with the participant and

asked if any problems had been encountered.

g. Made on-the-spot correction of minor deficiencies where needed.

h. We advised each participant that TAGO would continue to support5/73 Armor by keeping the test regulation (AR 340-XX) current until MARKS isadopted for Army-wide use.

i. Advised each participant that he could continue to call on theMARKS Project Officer or the Fort Knox Records Manager for assistance at anytime, even though the pilot has been concluded.

- . . . .... ..- . . . ..dk . . ... I L-- . . . ... " . . . ---

4

Chapter 8Closing Out the Pilot at 5/73 Armor (Continued)

3. Two problems, both related to the high rate of personnel turnover in5/73 Armor, surfaced during this final round of visits to battalion personnel:

a. On visiting the PAC, it became apparent that they had strayed fromthe MARKS concept to a considerable degree. Administrative records of the PACwere being kept in a single-drawer (field-type) record box and were in folderswhich had been consecutively numbered from "701-00" through "701-55." Thislabel was on the front of the file container:

7o1 .oo .-.. o/43

F....- V.Eo..

b. When the 5/73 Armor pilot began, PFC de Jesus was the individualresponsible for record-keeping in the PAC; he attended the training and under-stood the MARKS concept, and the PAC records were properly identified andaligned by prescribing directive number. At a point about six months into thepilot, however, PFC de Jesus departed on PCS and was followed in this positionby an interim replacement, one SP4 Hardy, who was not a 71L and was assignedto the job temporarily from elsewhere within the battalion to keep the paperflowing pending assignment of a permanent replacement. SP4 Hardy, upon seeingthe MARKS set-up and not understanding it, set up his own hybrid filing system(701-00 thru 701-55). PFC Flint A. Johnston, who arrived about three monthsago, commenced filing records and documents into the 701-00/701-55 scheme; thefiles which had originally been set up under MARKS were in another one-drawerfiles container, which had been set aside and into which no records were beingfiled.

c. In order to bring the PAC back into line, the MARKS Project Officerand Mr. Smith spent four hours each with PFC Johnston on Tuesday, 3 July 1984,going over the MARKS concept with him (and to some extent with SGT Wilkerson,the PAC Supervisor). Following that we removed all documents and records fromboth the 701-00/701-55 file and the original MARKS file, segregated and class-if ied all records from both containers, placed them into new folders with newfile labels under MARKS (with 31 December 1984 cutoff vice 30 June 1984),sequenced them into a single drawer, prepared a correct drawer label, and drewup a two-page List of File numbers for the PAC (copy at Enclosure # 1 hereto). ---

This action established a positive filing base for the PAC that was, as of the

2

S* .. . 3.

. . ..... -.. - ..-.... .,:,._ ._ _ . __ ' 't. . . . . . . . . . . . . . . . . . . .


close of the pilot, understood by PFC Johnston, SGT Wilkerson, and others inthe PAC, and should serve the PAC well in the future. We also arranged for a .follow-on assistance visit by Mrs. Sandra Johnson of Mr. Smith's staff for thefollowing week.

d. During the course of this assistance to the PAC (on 3 July 1984) wealso did the following:

(1) The PAC was keeping reproduced copies of status reports ofdeadlined equipment which had been furnished by BMO; These reports had accum-ulated for a period of over two years, were taking up a considerable amount ofspace in a room where space is at a premium, and were of questionable value.Investigation revealed that BMO periodically forwarded the copies to BattalionHeadquarters for the Executive Officer's information so that the XO would knowthe battalion's equipment status at all times. This procedure had apparentlybeen requested by MAJ Manza, then-XO; when he had noted and initialled thereports, they would be sent to the PAC and filed. At the time of this visitMAJ Manza had departed on PCS and been replaced by MAJ Ritter in the XO posit-ion. The MARKS Project Officer explained the situation to MAJ Ritter andreceived his concurrence that these "convenience" copies of deadline reportscan be destroyed as soon as he has noted them; they need not be filed in thePAC because the record copy is retained at BMO and, should a question come up,the BMO record copy would suffice to furnish an answer.

(2) The battalion's historical files, about five manila filefolders, were being kept in the PAC along with all other PAC records. Theseare permanent records which remain with the battalion as long as it is active(unless a situation occurs where the battalion is unable to maintain and carefor them, in which case they may be forwarded to the Chief of Military Historyfor storage and safekeeping). These historical folders were given to the Ser-geant Major for safekeeping; the possibility of their being inadvertentlydestroyed or lost is much less if they are kept with the Adjutant or SergeantMajor than with the PAC, where a lot of transitory records are processed on adaily basis. Also, some of the records in the historical file are in dangerof disintegrating, having been produced years ago on Thermofax or other poor-quality paper; these need to be protected with Mylar or other plastic sheets.

e. The other problem during this final visit was in the S-3. Ourpoint of contact had been MSG Richard J. Serna, the Operations NCO of S-3;however, at this visit, MSG Serna was on recuperation leave following hos-pitalization and had announced his intent to retire from active duty. He wasnot expected to return to duty at 5/73 Armor; there was, in fact, no replace-ment on board or expected for some time. The S-3 has no clerical or admin-istrative personnel assigned; their area of expertise is in training and oper- .

ations rather than record-keeping. After discussing the situation with theActing Operations NCO, we finally talked to an SFC Robertin who had justarrived in the battalion three days earlier, and was just beginning his

3

-.. **. * . .... *. * . .. * . . *.* .... *|* .- .-,.


duties. It was to him, as an interim measure, that we passed all theinstructions that we had given on this visit to the other members of thebattalion so that when an individual was on board who would have responsibil-ity for the files, that individual would have some idea of what was going onwith MARKS as opposed to TAFFS. We also asked SFC Robertin to have thatindividual get in touch with us at the time of entering on duty so that we(either Mr. Smith or the MARKS Project Officer) could brief him further. Wedid look at the S-3 files, which are set up under MARKS; there was aconsiderable intermingling of active and inactive records within the area of350-la, Training Schedule and Inspection Files. However, absent an individualto do the detailed work of separating them out, we decided to leave them as isfor the time being.

4. Copies of the final questionnaire referred to in paragraph 2d above are inthe document package at Enclosure # 2 to this chapter. The results of thefinal questionnaire are summarized here:

a. Questionnaires administered: Eleven (11).

b. Areas covered: Legal Clerk; S-2; S-4; Bn Mail Room; Bn ConsolidatedDining Facility; Bn Maintenance Office; HHC Supply; CSC Supply; Co A Supply;Co B Supply, and Co C Supply.

c. Responses:

Q: Before coming to 5/73 Armor, did you use TAFFS?

A: -7- Yes I- No 1-0-1 Not ApplicableI I I I I I

Q: Did you have any problems with TAFFS?

A: 2 Yes 5 1 No 1I-4- N/A did not__ _ I use TAFFS

Q: During this test period, have you found MARKS to be

7 1 Easier than TAFFS for filing?I II _ _ ..

0 1 Harder than TAFFS for filing?

0 1 About the same as TAFFS for filing?I I" .4

1-T-1 NA - did not use TAFFSI I

I I -4

............................................

..................................


Q: During this test period, have you found MARKS to be ...

,'-, Easier than TAFFS for retrieving?I II I

*'--' Harder than TAFFS for retrieving?I II __ l

0" About the same as TAFFS for retrieving?I II I

i77- N/A - did not use TAFFSI I

Q: Have the record series in MARKS covered everything that you haveto file in your day-to-day duties?

A: 1-T1 Yes I-- NoI I I II __ _ I I I"'. .

Q: If you had your choice, would you ..

A: 11i Stick with MARKS?I 'II __

O I Go back to TAFFS?I I

" 0 I No opinion, or makes no difference?- ".

Q: Has the new "General Correspondence" category been ...

A: I-T0 Helpful as a "parking place" for hard-to-file documents?I I - .

O Not helpful?1 I

I __ _I

l 1 No opinion? -I I"I I,- i

5 :

...................................

..........................

Chapter 8Closing Out the Pilot at 5/73 Armor

Q: Respondents were asked to identify the general subject area coveredin each of a series of administrative publications (AR's and DAPamphlets). Responses are recorded as follows:

S# of # # #Element I Questions Correct I Incorrect Didn't Know

I a I

!Legal Clerk 4 0 2

S-2 3 1 3 0 0II I IIIII I I IIs-4 3 3 0 0

Bn Mail Room 2 2 0 0

!Dining Facility 3 1 0 2

1Bn Maintenance 2 2 0 0

HHC Supply 3 2 1 0

,CSC Supply 2 0 1

Co A Supply "3 2 0 1

* 'Co B Supply 3 2 0 1

lCo C Supply 3 2 0 1

Totals ......... 34 25 1 8

Percentages .... ' 100% 73% '3% 1 24%

(Results of questionnaire continued on next page...)

6"a-'%

a a a a a

a a a a , -al: ~.: '., .... [o?.-["? .- i ?. .i-.. . -. _ __=•.i-i.;.'. . . .. . .. . ... 2 [-i ii ?< .5 ?.---.9=:_; ?-&L-'-IL?-.. . . . . .L2.-:. :ZiL i


Q: Respondents were then asked to associate a prescribing directive (ARor DA Pam) with each of a series of hypothetical documents to befiled in their respective functional areas. Responses are recordedas follows:

! ' of# '# ' #

:Element 1 Questions Correct Incorrect Didn't Know!

!Legal Clerk 6 4 0 2

IS-2 3 3 0 0

!S-4 1 5 4 0 1

,Mail Room 3 3 0 0

!Dining Facility 4 1 0 3I-

IBn Maintenance 3 3 0 0 a

-HHC Supply 5 5 0 0 a

*CSC Supply 5 3 2 0 .

'Co A Supply 5 5 0 0.-

Co B Supply 5 4 1 0

'Co C Supply 5 5 0 0

!Totals.... 49 40 a

Percentages.. 9100% 81 7% 12%

7o

"a a a a a a'a a a a a

a a a aa-

,=< -' - : .'- . .a ._________ .______-. _____ aLL.L ". "- "" " " "" " - "" " "" ' __ _ _ _ _ _ -"__ _ _ _ _ __ _ _ _ _ _ _ " __"_ -"__"_, __-, a" "" "


Q: Respondents were afforded the opportunity to make any generalcomments about MARKS; seven participants out of 11 did so. Theseresponses are recorded here:

"It is easy to find a file number in the regulation; the regula-tion is easy to use."

"MARKS should be adopted as the general filing regulation for theentire Army."

"Good system. The sooner it is implemented in the Army, thebetter."

"The system helps you to know where specific records are. Goodsystem."

"I like the system. I can find a place to file everything prop-

erly."

"MARKS is a lot easier and a lot clearer to follow than TAFFS."

"MARKS is easy to use. TAFFS was complicated and arbitrary; MARKS -

makes more sense."

5. Except for preparation, staffing, review, approval, and publication of thefinal report, the above actions concluded the pilot of MARKS at 5th Battalion,73rd Armored Regiment, Fort Knox, Kentucky.

8 .... .

. . .

. . ". ° .

.' " ' ' - .."-. .. - .- ' -" -' ' '' ...---' .-.' i ' . .: " : ' .. i < .- -- ." .' ." -" - ...< -....A- - -a. i .--- -. " < . ' - ."... .. ' -' ' '. i .i

FA, 5TH BN, 73RD ARMuiED R3E:MENT



1-21& Office Space Assignment Files10-1a Organization Files20-la Inspector Generals' Inspection Files20-1d Physical Inspection Files37-2a Office Financial Files

37-101a Signature Card Files37-101-la Transmittal Letter Files37-101-le Miscellaneous MPV Files37-103a Collection Voucher Files37-104-3a Personal Financial Record Files A0305.10aDACA1U5-la Office Message Reference Files190-40a Serious Incident Reporting Files A0508.24aDAPE.210-10a. Departure Clearance Files A07O6.02DAAG220-la Unit Status Reporting Files220-lb Personnel Readiness Files220-15a Daily Journal/Staff Journal Files220-45a Duty Reporting Files220-45b Duty Roster Files310-2a Housekeeping InstructionFIles310-2b Policy and Precedent Files310-10a Personnel-type Order Files310-10b Permanent Order Background Files310-IOc Permanent Order Record Set310-49a Activation and Status Change Files34Oa Office Management Files340b Officer Service and Supply Files

340c Office Property Record Files340d Reading Files3o-XXa Office Lists of File Numbers34O-XXb Office Record Transmittal Files340-3 Office Mail Control Files340-4a Filing Equipment ,Files340-8a Word Processing Equipment Files340-17a FOIA Administrative Files340-17b FOIA Request Files A0239.01DAAG340-20a Office Copier Files340-21a Privacy Act Report Files340-21b Privacy Disclosure Accounting Files350-lb Physical Fitness Training Files350-id Training Operation Files A1002.02aTRADOC350-37a SQT Files350-37a CTT Files380-5b Security Inspection and Survey Files385-l0d Safety Avareness Files600a Office Personnel Register Files600b Office Personnel Locator Files

600d Job Description Files600g Temporary Duty Travel Files600h Office Military Personnel Files A0102.13DAPCb00-Sa Individual Personnel Change Files A0703.01aDAPC600-8b Personnel Information System Rept. Files A0715.o6aDAPC600-8d Per sonnel Data Card Files A0715.01aDAPCbOO-9a Weijjht Control Files A0102.13DAPC600-10 Casualty Case Files A0726.o6DAAG600-21a EO Reporting Files600-21b EO :3urvey Files600-21c RO Complaint Files A0614.03aDAPE

Encl # 1 to Chapter 8- .

Page -2-

List of file numbersPAC, 5/73 Armor(Continued)

SdNumber Title Privacy Act

600-31a Personnel Action Suspension Bept. Files600-33. Line at Duty Files A0708 . 8aDAAG600-4.6a Military Personnel Survey Files600-50a Standard of Conduct Files600-55& Operator's Exam/Qualification Record Files A120T.O~aDAPE600-d5a Alcohol/Drug abuse Management Files600-85b Alcohol/Drug Abuse Council Meeting Files600-85c Alcohol/Drug Abuse Statistical Files600-200a MOS Classification Board Proceeding files600-200b Promotion Eligibility Roster Files600-200c Promotion Board Proceedings Files600-200d Promotion Eligibility Determination Files600-200e Enlisted Promotion Files6 od-15a Savings Bond Reporting Piles630-5a Leave of Absence Piles630-5b Leave Control Log Files

0630-10a AWOL and Desertion Files6I40-.3& Military ID Card Application Files A0509.02aDAAG640-3b ID Card Register Files640-3c ID Card Requisition Files640-10ob Qualification Record Extract Files672-5-la Unit Award Case Files672-5-lb Award Ceremony Piles

*672-5-la Military Award Case Files A0718.01DAPC*680-la Personnel Suspense Card Files

b80-lb Military Personnel Register Files A0716.024aDAA068 o-lc Informational Personnel Files A0703.01DAPC680-31& Army Strength Reporting Files

- .*.List prepared byATZIC-AO-AR, Mr. Smith, tel. 41-19145andDAAG-AMR-P, Mr. Vou, tel. CAV) 22~10440

3 July 1964.

(*) Acting as Legal Clerk in absence of PFC Foutch.

Grade/Name SP4 Brandon(*) Date 2 Jul 84

In Army 10 Years In 5/73 Armor 1 Years -- Months

PMOS 71L DMOS 71L

_S_1 PAC Legal S-2O

Mail Mnac upu{ iP CoASup CBu 70 ePup

o] Yes Before coming to 5/73 Armor, did you use TAFFS?

1No

- YesN/A (if yes) Did you have any problems with TAFFS?

During this test period, have you found MARKS to be...

O Easier to use than TAFFS for filing?

- N/A Harder to use than TAFFS for filing?

1 About the same as TAFFS for filing?

o Easier to use than TAFFS for retrieving?

3 Harder to use than TAFFS for retrieving?

O3 About the same as TAFFS for retrieving?

Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

0 NO

If you had your choice, would you ...

- Stick with MARKS

O3 Go back to TAFFS

E No opinion - or makes ,to differenceEncl # 2 to Chapter 8

.- .-

Has the new General Correspondencecategory been ...

E4 Helpful as a "parking place" for hard-to-file documents

I-I Not helpful

El No opinion

- - _ - _ - * I - * - * - * - * - * - _ - §

FOR THE PAC:

What general subject is covered in each of these directives?

AR 630-5 Leaves

AR 600-38 Unknown

AR 600-9 Weight Control

AR 640-10 Personnel Records

AR 640-3 Unknown

AR 672-5-1 Awards

If you had to file each of the following records, with what prescribing dir-ective (AR or DA Pam) would you associate them? CORRECT HIS

ANSWER ANSWERAward recommendation for 1SG, HHC, 5/73 Armor (AR 672-5-1) 672-5-1

Meal card control registers (AR 600-38) Unknown

Application for new ID card (AR 640-3) Unknown

Military Personnel Records Jacket (MPRJ, DA Form 201) (AR 640-10) 640-10

DA Form 31, Request Authority for Leave (AR 630-5) 630-5

Folder with information on soldier in Co. B who is 600-9overweight (AR 600-9)

General comments you would like to make: It is easy to find a file number

in the regulation; the regulation is easy to use.

. . .. ..

Grade/Name SP4 Jesse Rivera Date 2 July 198414 months

In ArmL .Years In 5/73 Armor - Years 11 Months

PMOS 19D DMOS 96B

PAC ~ Legal S2 -

Yes Before coming to 5/73 Armor, did you use TAFFS?No

r Yes

oN/A (if yes) Did you have any problems with TAFFS?0No


1 Easier to use than TAFFS for filing?

N/A Harder to use than TAFFS for filing?

13 About the same as TAFFS for filing?

* Q Easier to use than TAFFS for retrieving?

OHarder to use than TAFFS for retrieving?Ol About the same as TAFFS for retrieving?

rlYes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

[3 No


Stick with MARKS

r3 Go back to TAFFS

*l No opinion -or -makes no difference

* . . . . . . . . .. . . . . .


-- Helpful as a "parking place" for hard-to-file documents

II Not helpful

-- No opinion

-_ * * -_ • _ * -_ * * - * • _ * _ •

FOR THE S-2:


AR 380-5 Information security

AR 190-40 Serious incident reports

AR 604-5 personnel security clearances

If you had to file each of the following records, with what prescribing dir-ective (AR or DA Pam) would you associate them?

Security clearance certificate (form) ona member of HQ, 5/73 Armor 604-5

Annual classified document inventory 380-5

Final report of a serious incident in whicha member of 5/73 Armor was involved 190-40

General comments you would like to make: MARKS should be adopted as the

general filing regulation for the entire Army.

0 -

S<

". .. ."--'.". .- .- • . -'. .". " ." . ' ." . .. -. -. -. .. -. ."-"-"- . -. , ." ." .-.' , . ."-.-"-" "-. .--"- i~ -, ', < "-'-..- i-* *-

Grade/Name SSG Bobby Pruiett Date 2 July 1984

In Army 22 Years In 5/73 Armor 2 Years - Months

PMOS 76Y DMOS 76Y

PAC Lega) - -

78 r 1 Ditac W

up CoASup p CoCSu

ElYes[3 NoBefore coming to 5/73 Armor, did you use TAFFS?

O Yes(if yes) Did you have any problems with TAFFS?

E3 No


El Easier to use than TAFFS for filing?

o Harder to use than TAFFS for filing?

0 About the same as TAFFS, for filing?

El Easier to use than TAFFS for retrieving?

Ol Harder to use than TAFFS for retrieving?

ifAbout the ;same as TAFFS for retrieving?

*Yes Have the record series in MARKS covered everything that youhave to fi:le in your day-to-day duties?

No


r"V Stick with MARKS

O Go back to TAFFS

vNo opinion yor makes no difference

. . . . . . . . . . . . . -.--......-.$ .......... . . .

. r stick with MARK


O Helpful as a "parking place" for hard-to-file documents

SNot helpfulo No opinion

FOR THE S-4 AND ALL UNIT SUPPLY ROOMS:


DA Pam 710-2 Using unit supply

AR 735-5 Basic accountability

AR 735-11 Statements of charges and reports of survey

If you had to file each of the following records, with what prescribing dir-

ective (AR or DA Pan) would you associate them?

Report of survey 735

Property record inspection 710

Statement of Charges, DD Form 362 735

Designation of Property Book Officer 710

OCIE forms Don' t know

General comments you would like to make: Good system; the sooner it is

implemented in the Army, the better.

-. . . . . . . . ... *l*.* *-

.2.. .....J .: ...i .1:2...;: ... ..... . .. .. . .... .... ..... . .. . . .'.'." . . . ........... ............ . . .............2 . . ... :....... ... ....i

Grade/NameSGT (E5) James Jones Date 2 July 1984

In Army 8 Years In 5/73 Armor 1 Years 6 MonthsPMS ? DHIS ?PMOS VMS

Din ac

CoBSup

SYesBefore coming to 5/73 Armor, did you use TAFFS?

E No

O3 Yes(if yes) Did you have any problems with TAFFS?

1No

iDuring this test period, have you found MARKS to be...

Easier to use than TAFFS for filing?

S0 Harder to use than TAFFS for filing?

* l About the same as TAFFS for filing?

Easier to use than TAFFS for retrieving?

O3 Harder to use than TAFFS for retrieving?

o3 About the same as TAFFS for retrieving?

* Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

Q No

If you had your choice, would you ..." r1 Stick with MARKS

1 Go back to TAFFS

* l No opinion - or - makes no difference

• . < .

t 4.i'°° ' % - . 'i. '

' - - . $ ..- °i ..i'. *'A't°i - .'-', .' ,.-L. .5 i~.. - .. .* *- -' .- ." " '" -.. '- -% . "- - ' -"S ' "-" • ..t ".i-. "-" 5 '.-.

Has the new General Correspondence

category been ...

F Helpful as a "parking place" for hard-to-file documents

E Not helpful

E3 No opinion

FOR THE BATTALION MAIL ROOM:


DOD 4525.6-M, Volume II Mail management

AR 3 40-3 Official Mail


ective (AR or DA Pan) would you associate them?

Accountable mail receipts 65g (file number)

Designation of mail clerks for each company 65a (file number)

Mailroom inspection records 65c (file number)

General comments you would like to make: None.

--

..............................- .h... ... ...- "

*. .

.. .. .. . .. .. .. . .. .. .. .. . ..

Grade/Name SGT Charles Jent (*) Date 2 July 1984

In Army 13 Years In 5/73 Armor 1 Years 6 Months-i

PMOS Cook DMOS Cook

PAC ~Leg a1S-S3

Mai IF ac 00a

p CoS Cobsup o 0

D .i

o Yes 0-

Before coming to 5/73 Armor, did you use TAFFS?ElNo

0 000 o

o Yes O

N/A (if yes) Did you have any problems with TAFFS? r<D .QNo

1 0)0.'

During this test period, have you found MARKS to be... ( Z

r 0 Easier to use than TAFFS for filing? hN/A M --

En • I "* Harder to use than TAFFS for filing?

0 About the same as TAFFS for filing? S


Di W3 Harder to use than TAFFS for retrieving? , Prt

About the same as TUFS for retrieving? V 0

Yes Have the record series in MARKS covered everything that you I phave to file in your day-to-day duties? (

[3 .No(D


Stick with MARKS

O Go back to 1AFFS

0 No opinion- or - makes no difference

) - m~mmm mm

*m .: .m|


1 Helpful as a "parking place" for hard-to-file documents

E3 Not helpful

O No opinion

FOR THE BATTALION CONSOLIDATED DINING FACILITY:


AR 30-I Food Service Program

AR 30-16 Don't know

AR 600-38 Don't know


Report on spoiled subsistence _i,

Menus _ _ __

Cash collection vouchers for meal payments 30-1

Meal card registers ___

General comments you would like to make: The system helps you to know

where specific records are. A good system.

--

.. ..'.-.

. . . . . . . . . . . . .. .

Grade/Name MSG Beck Date 2 July 1984

In Army 20 Years In 5/73 Armor 2 Years - Months

PMOS Tracked veh mainti)MOS ditto

_S_1 PAC ~ Legal - -

Mail Dmac IUu

=UPCoASup oSp_ CCu thu'

r YesBefore coming to 5/73 Armor, did you use TAFFS?

Q No

r Yes(if yes) Did you have any problems with TAFFS?

r No


Easier to use than TAFFS for filing? ... because of the structure ofthe MARKS regulation...

o Harder to use than TAFFS for filing?

o About the same as TAFFS for filing?


r3 Harder to use than TAFFS for retrieving?

r 0 About the same as TAFFS for retrieving?

* Yes Have the-record series in MARKS covered everything that youhave to file in your day-to-day duties?


. Stick with MARKS .

• Q. Go back to TAFFS

*-Q No opinion - or - makes no difference

* . . . . . . . . . .. ,

.'. . . . . . . . . . . . . . . . . . . . * . . . .


category been ...

E Helpful as a "parking place" for hard-to-file documents

Q Not helpful

o No opinion

FOR THE BATTALION MAINTENANCE OFFICE (BMO):


DA Pam 738-750 The Army Maintenance Management System (TAMMS)

AR 735-11 Property accountability

If you had to file each of the following records, with what prescribing dir-cctive (AR or DA Pam) would you associate them?

Report of survey for lost tool kit 73 5-11

Maintenance worksheets 738-750

Maintenance requests 738- 750

General comments you would like to make: None.

I

......................- .... .... ,~.. -. -.......... . . . . . . . . . . ............................ . . . .

-..-.. ,

II II

Grade/Name SGT Sluss Date 2 July 1984

In Army 8Years In 5/73 Armor 1 Years 6 Months

PMOS 76Y D 76Y

PA Legal

BYesBefore coming to 5/73 Armor, did you use TAFFS?

3 No

Ii

l Yes(if yes) Did you have any problems with TAFFS?

E]No

i During this test period, have you found MARKS to be...

0 Easier to use than TAFS for filing?

DHarder to use than TAFFS for filing?0 About the same as TAFFS for filing?


Ol Harder to use than TAFFS for retrieving?

O] About the same as TAFFS for retrieving?

E1 Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

r3No


0 Stick with MARKS

rm Go back to TAFFS

" No opinion - or - makes no difference


category been ...

~jHelpful as a "parking place" for hard-to-file documents

[3 Not helpful

Q No opinion

_ *} - * - * - a _ a - * - I - * - I - I _ * _ *



DA Pam 710-2 Unit supply

AR 735-5 Property

AR 735-11 GPLD (Gov't Property Lost, Damaged, or Destroyed)


ective (AR or DA Pam) would you associate them?

Report of survey 735-11

Property record inspection 710-2

Statement of Charges, DD Form 362 735-11

Designation of Property Book Officer 710-2

OCIE forms 710-2?

General comments you would like to make: None

6 . _ __, ._ ,: , '_ _:c .. _ .. . . . , ,. . ' . . . . . .. .

Grade/Name SP4 Arizona McCanick Date 2 July 1984

In Army 2 Years In 5/73 Armor 1 Years 6 Months

PMOS DMOS

S-1 PAC Legal S S-3

MSup CAlu ~ CoupCCpOte

0YesBefore coming to 5/73 Armor, did you use TAFFS?

QNo

Yes(if yes) Did you have any problems with TAFFS?

E No


E3 Easier to use than TAFFS for filing?

O Harder to use than TAFFS for filing?

[3 About the same as TAFFS for filing?


O Harder to use than TAFFS for retrieving?

IJ About the same as TAFFS for retrieving?

- Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

N~o


-. Stick with MARKS

Q Go back tc TAFFS

Q No opinion - or - makes no d.fference

. . ......... .. ... • •.... . ....... . ....

-. - - -


3 Helpful as a "parking place" for hard-to-file documents

0 Not helpful

0 No opinion- Si - I -. * - * -_ I I -_ - * I -e * -_ -_



DA Pam 710-2 Unit supply

AR 735-5 (didn't know)

AR 735-11 GPLD



V/ Property record inspection -.'_-.__


s Designation of Property Book Officer 735-series

OCIE forms DA Pare 710-2-1

General comments you would like to make: I like the system. I can find a place

to file everything properly.

di --.

-. C.:'. r...~

Grade/Name SGT Williams Date 2 July 1984

In rmL 5Years In 5/73 Armor 1 Years Months

p05 76Y DM08 76Y

PAC ~ Legal 5e -

.4

O YesBefore coming to 5/73 Armor, did YOU Use TAFFS? '

13 No

~[ Yes -

(if yes) Did you have any problems with TAFFS?-3 No


Easier to use than TAFFS for filing?131

O Harder to use than TAFFS for filing?

* Q About the same as TAFFS for filing?

Easier to Use ti-an TAFFS for retrieving?

O3 Harder to use than TAFFS for retrieving?

* 0About the same as TAFFS for retrieving?

[3 Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

3 ONo

If you had your choice, would you

* ' Stick with MARKS -

* 0 Go back .o TAFFS

LJ No opinion - or .. makes no difference

E3.. ' ... . ' . ' . ... . ' ; ' . ,. . . , . ... . ... .


E Helpful as a "parking place" for hard-to-file documents

o Not helpful

[3 No opinion



DA Pan 710-2 Supply

AR 735-5 Not certain

AR 735-11 Damaged Property



Report of survey 735


Statement of Qarges, DD Form 362 735

* Designation of Property Book Officer710

- OCIE forms 710

0 None.General comments you would like to make: Nne

- ..2

.* %'-. . . .. . - . ° - - -o -. . - . . . . o - o o. - - o .. .. ' . *.*.

• ,'" •' " ." ". ' "% ,"% '%,,'% -'.,, , '% , • ,'. %* , . " ,,*,"% % ' - % % e ,%*, ** %* ,**. ,*.*." *' ,

Grade/Nm SP4 (Actgj SGT) Richards Dae2 July 1984

In Art.Ljears3 In 5/73 Armor 2 Year 6 Mnths

pM1S08 76Y Dl4O 76Y

p p

* l es Before coming to 5/73 Armor.. did you use TAFFS?* ,3No

* 0 Yes (if yes) Did you have any problems with TAFFS?*E ~ No

Duiring this test period, have you found MARKS to be...

Easier to use than TAFFS for filing?

E3 Harder to use than TAFFS for filing?

- 0About the sam as TAFFS for filing?

* Easier to use than TAFFS for retrieving?

o3 Harder to Use than TAFFS for retrieving?

* 0 About the sam as TAFFS for retrieving?]

Yes Have the record series in MARKS covered everything that youhave to file in your day-to-day duties?

* LJNo

If you had your choice, would you..

* Stick with MARKS

* 0Go back to TAFFS

* 0 No opinion -or -makes no differencet


category been ...

G3 Helpful as a "parking place" for hard-to-file documents

0 Not helpful

-0 No opinion



DA Pam 710-2 Supply

AR 735-5 Didn't know

AR 735-11 GPLD

If you had to file each of the following records, with what prescribing dir-ective (AR or DA Pare) would you associate them?

*Report of survey 735-1l

* Property record inspection Would look under 735

Statement of Charges, DD Form 362 735-11'


OCIE forms 710

General comments you would like to make: MARKS is a lot easier and a lot

clearer to follow thaf TAFFS.

.Grade/NiieSP4 Dewey Mishler Date 2 July 1984

In Aruay2 Years In 5/73 Armor 1 Years 6 Months

PROS 76Y DM(S 76Y

Legal ~

in a

S

13Yes -Before coming to 5/73 Armor, did you use TAFFS?

*-D No

1 Yeso No N/A (if yes) Did you have any problems with TAFFS?


O3 Easier to use than TAFFS for filing?N/A

0 Harder to use than TAFFS for filing?

o About the same as TAFFS for filing?

1 Easier to use than TAFFS for retrieving?

O Harder to use than TAFFS for retrieving?

o About the same as TAFFS for retrieving?

[3 Yes Have the record seriis in MARKS covered everything that youhave to file in your day-to-day duties?

3 NoN


..: I Stick with MARKS

Go back to TAFFS -

* 0 No opinion or makes no difference


rxl Helpful as a "parking place" for hard-to-file documents

o Not helpful

f't No opinion -



DA Pan 710-2 Unit supply

AR 735-5 --l

AR 735-11 Statements of Charges







OCIE forms 710-2-1

General comments you would like to make: MARKS is easy to use. -

TAFFS was complicated and arbitrary; MARKS makes more sense.

.-a° ft ,

"o " °

DRAFT FINAL REPORT


Chapter 9

Conclusions and Recommendations

1. Conclusions:

a. The Modern Army Record-keeping System (MARKS) operates satisfactorilyat the TOE unit level.

b. MARKS is perceived by TOE unit level users as being easier and simplerto use than TAFFS.

c. The principles of MARKS that vary from TAFFS can be assimilated andput into practice at the TOE unit level.

d. The addition of the "General Correspondence" category is perceived as* being a beneficial addition to the record-keeping structure.

e. Participants were able, at the conclusion of the pilot, to associate amajority (81%) of subject areas with prescribing directives.

f. The pilot of MARKS at the TOE unit level was a success notwithstanding(1) minimal on-site supervision by the MARKS Project Officer and the Fort KnoxRecords Manager, (2) prolonged absences from garrison for training, and (3)the high rate of personnel turnover within the battalion.

2. Recommendation: That MARKS be implemented Army-wide at the level to whichAR 340-2 now applies if and at such time as the entire Army is converted fromTAFFS to MARKS.

As- .:-

DRAFT FINAL REPORT


ADDENDUM

Benefits Derived from Pilot that are Applicable to TAFFS

1. A major benefit to the Army at large accrued from this pilot in that theanalyst responsible for maintaining and operating the Army's record-keepingstructure at the TOE unit level was able to observe, first-hand, the "realworld" of record-keeping in a combat unit. As lessons were learned throughoutthe course of this year-long pilot they were applied .to AR 340-2, TAFFS forTOE and Certain Other Units of the Army.

2. During the June, 1983 training that was conducted at 5th Bn, 73rd ArmoredRegiment, and during the first assistance visit thereafter, it became obviousthat the standard and traditional method of setting up active and inactivefiles and computing cutoff, transfer, retirement, and destruction dates wastoo complicated for the average user at the TOE unit level. The method con-sisted of a generic disposition instruction, such as "Destroy 5 years aftertransfer or separation of the soldier," which then had to be translated, byuse of a multi-page decision/logic table, to specific dates (in this example,"COFF 31 Dec 84, Trf RHA Jan 87, DEST Jan 90," meaning the file would be cutoff at the end of calendar year 1984, held for two years in the current filesarea, then transferred on Standard Form 135 to the Fort Knox Records HoldingArea, where it would be held for an additional three years, then destroyed).Acting on this deficiency, the pilot regulation (AR 340-XX) was changed (seeEncl # 7 to Chapter 6) to include sample file labels for every category ofrecords, both active and inactive, with all label instructions for cutoff,retention, transfer, retirement, and ultimate disposition included.

3. This addition to the pilot regulation was so well received that this israc-tice was immediately carried over into AR 340-2 for the use of TOE unitsthroughout the Army. The first edition of AR 340-2 into which this conceptwas incorporated was accompanied by a self-mailing response card which askedfor user comments on format and content under the UPDATE medium of publishing.Over 2,000 such response cards were received which contained many, many pos-itive comments about the inclusion of label samples, and no negative comments.The analyst responsible for AR 340-2 has also receiveW numerous telephonecalls from both records managers and users of AR 340-2 in the field statingthat the inclusion of sample file labels has made everyone's administrativefunctions easier.

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AddendumnBenefits Derived from the Pilot that are Applicable to TAFFS (Continued)

4. Chapter 6 of this final report lists seven (7) suggestions and recommen-dations made by members of 5th Bn, 73rd Armored Regiment for additions to orchanges in the pilot regulation. Six of these were substantive changes whichresulted not only in change to the pilot regulation, but to AR 340-2 as well.These additions deal with unit records on energy conservation, weight control,administrative separation, bars to reenlistment, cyclic inventories of prop-erty, and Government property lost, damaged or destroyed.

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