DoD 5015.02-STD, April 25, 2007

1 DoD ELECTRONIC RECORDS management SOFTWARE APPLICATIONS DESIGN CRITERIA STANDARD April 25, 2007 ASSISTANT SECRETARY OF DEFENSE FOR NETWORKS AND INFORMATION INTEGRATION/ DEPARTMENT OF DEFENSE CHIEF INFORMATION OFFICER April 25, 2007 FOREWORD This Standard is reissued under the authority of DoD Directive , Department of Defense Records management Program, March 6, 2000, (Reference (a)) which provides implementing and procedural guidance on the management of records in the Department of Defense. It sets forth mandatory baseline functional requirements for Records management Application (RMA) software used by the DoD Components in implementing their records management programs; defines required system interfaces and search criteria that RMAs shall support; and describes the minimum records management requirements that must be met based on current National Archives and Records Administration (NARA) regulations.

2 DoD , Design Criteria Standards for Electronic Records management Software Applications, June 19, 2002, (Reference (b)) is hereby canceled. This Standard applies to the Office of the Secretary of Defense, the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the Department of Defense (hereafter referred to collectively as the DoD Components ). The standard is effective immediately for all new electronic records management information systems development efforts.

3 Commercial products applying for testing after the standard date will be held compliant to this standard. Commercial products listed as compliant to version 2 of this standard on the product register are grandfathered until their version 2 compliance expires, which is two years after their last test date. The Heads of the DoD Components may issue supplementary instructions only when necessary to provide for unique requirements within their organizations, provided those instructions do not adversely affect interoperability and compatibility with DoD Automated Information Systems (AIS) across the Global Information Grid (GIG) architecture.

4 Send recommended changes to this Standard to: Office of the Deputy Assistant Secretary of Defense/ Deputy Chief Information Officer, Information Policy Directorate Voice: 703-602-1007 1851 South Bell Street FAX: 703-602-0830 Suite 600 DSN: 324-1007 Arlington, VA 22202 Email: This Standard is approved for public release; distribution is unlimited. The DoD Components, other Federal Agencies, and the public may obtain copies of this Standard via the Internet at: DoD , April 25, 2007 3 TABLE OF CONTENTS TABLE OF CONTENTS Page FOREWORD.

5 1 TABLE OF TABLES ..4 REFERENCES ..7 ABBREVIATIONS AND ACRONYMS ..28 C1. CHAPTER 1 - GENERAL INFORMATION ..30 PURPOSE ..30 LIMITATIONS ..31 C2. CHAPTER 2 - MANDATORY REQUIREMENTS ..32 GENERAL REQUIREMENTS ..32 DETAILED REQUIREMENTS ..33 C3. CHAPTER 3 - management OF CLASSIFIED RECORDS ..58 management OF CLASSIFIED OPTIONAL SECURITY FEATURES ..64 C4. CHAPTER 4 MANAGING RECORDS FOR THE PRIVACY ACT AND THE FREEDOM OF INFORMATION ACT ..66 management OF PRIVACY ACT management OF FREEDOM OF INFORMATION ACT RECORDS.

6 79 ACCESS control FOR PRIVACY ACT AND FREEDOM OF INFORMATION ACT RECORDS ..86 C5. CHAPTER 5 - TRANSFERS ..92 TRANSFER RMA TO RMA SUPPORT OF SECURITY INTEROPERABILITY ELEMENTS ..105 OPTIONAL TRANSFER ELEMENTS ..106 DoD , April 25, 2007 4 TABLE OF CONTENTS TRANSFER ACCESS control ..110 C6. CHAPTER 6 - NON-MANDATORY FEATURES ..112 REQUIREMENTS DEFINED BY THE ACQUIRING OR USING ACTIVITY ..112 OTHER USEFUL RMA SEARCH AND DISCOVERY INTEROPERABILITY ..116 NON-MANDATORY ACCESS TABLES FILE PLAN RECORD FOLDER RECORD METADATA TRANSMISSION AND RECEIPT DATA.

7 41 RECORD METADATA MANDATORY AUTHORIZED INDIVIDUAL REQUIREMENTS ..49 CLASSIFIED RECORD COMPONENTS ..58 CLASSIFIED RECORD AUTHORIZED INDIVIDUAL REQUIREMENTS ..63 SYSTEM OF RECORD COMPONENTS ..66 PRIVACY ACT FILE COMPONENTS ..69 INDIVIDUAL ACCESS REQUEST ACCESS RECORD COMPONENTS ..71 DENIAL APPEAL COMPONENTS ..72 AMENDMENT COMPONENTS ..73 DISPUTE COMPONENTS ..74 DISCLOSURE REQUEST DISCLOSURE METADATA COMPONENTS ..75 ACCOUNTING RECORD EXEMPTION COMPONENTS ..78 MATCHING PROGRAM COMPONENTS.

8 78 ACCESS RULES FOIA REQUEST COMPONENTS ..80 FOIA DISCLOSURE REQUEST COMPONENTS ..81 FOIA DISCLOSURE COMPONENTS ..81 FOIA EXEMPTION COMPONENTS ..83 FOIA APPEAL COMPONENTS ..84 FOIA REPORTS METADATA DISCLOSURE COMPONENTS ..85 AUTHORIZED INDIVIDUAL REQUIREMENTS FOR PRIVACY ACT AND FOIA RECORD LEVEL CORE (DEFINED MANDATORY) ..94 RECORD LEVEL E-MAIL (DEFINED MANDATORY) ..95 RECORD LEVEL SCANNED (DEFINED MANDATORY) ..95 DoD , April 25, 2007 5 TABLE OF CONTENTS RECORD LEVEL PDF (DEFINED MANDATORY)..96 RECORD LEVEL DIGITAL PHOTOGRAPH (DEFINED MANDATORY).

9 96 RECORD LEVEL WEB RECORDS (DEFINED MANDATORY)..97 RECORD LEVEL SCANNED (DEFINED OPTIONAL) ..98 RECORD LEVEL PDF (DEFINED OPTIONAL)..98 RECORD LEVEL DIGITAL PHOTOGRAPH (DEFINED OPTIONAL)..98 RECORD LEVEL WEB RECORD (DEFINED OPTIONAL)..99 RECORD (TRANSFER MANDATORY) ..99 RECORD (TRANSFER DEFINED OPTIONAL) ..100 RECORD (TRANSFER ORGANIZATION-DEFINED) ..100 RECORD LEVEL LIFECYCLE (TRANSFER MANDATORY) ..101 RECORD LEVEL LIFECYCLE ( TRANSFER ORGANIZATION-DEFINED) .101 FOLDER LEVEL (DEFINED TRANSFER LIFECYCLE MANDATORY).

10 102 FOLDER LEVEL LIFECYCLE (TRANSFER LIFECYCLE ORGANIZATION-DEFINED) ..102 FOLDER LEVEL (TRANSFER MANDATORY) ..102 FOLDER LEVEL (TRANSFER DEFINED OPTIONAL) ..103 FOLDER LEVEL (TRANSFER ORGANIZATION-DEFINED) ..103 COMPUTER FILE CORE ( DEFINED MANDATORY) ..104 SECURITY marking METADATA ..105 DOWNGRADING AND DECLASSIFICATION RECORD CATEGORY (DEFINED TRANSFER MANDATORY) ..106 EVENTS (DEFINED TRANSFER MANDATORY) ..107 EVENTS (TRANSFER ORGANIZATION-DEFINED) ..107 TRIGGER (DEFINED TRANSFER MANDATORY) ..107 TRIGGER (TRANSFER ORGANIZATION-DEFINED).