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National Geospatial-Intelligence Agency

INSTRUCTION

NUMBER 8040.2

21 October 2020

SI

SUBJECT: Records Management Program

References: See Enclosure 1.

1. PURPOSE. This Instruction:

a. Establishes policy and assigns responsibilities for the NGA Records Management

Program in accordance with (IAW) References (c), (f), (h), and (t).

b. Rescinds NGA Instruction 8040.2, Volumes 1–5, “Records and Information

Lifecycle Management,” 30 March 2016.

2. APPLICABILITY. This Instruction applies to all NGA civilian employees, military

service members, other Government agency personnel assigned to NGA, and 

contractors, hereinafter referred to as personnel. 

3. DEFINITIONS. See Glossary.

4. POLICY. It is NGA policy:

a. That all personnel manage Agency records throughout the entire information life

cycle and transition away from paper-based processes to a fully electronic environment 

IAW References (c) through (i), and (t). 

b. To efficiently and effectively create, identify, protect, preserve, and properly

dispose of NGA records in all media, including electronic, IAW References (c) through 

(i), and (t).

5. RESPONSIBILITIES. See Enclosure 2.
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6. EFFECTIVE DATE. This Instruction is effective on the date of signature.

Ernest B. Markham

Chief of Staff

Enclosures

1. References

2. Responsibilities

Glossary
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TABLE OF CONTENTS

CHANGE LOG ................................................................................................................ 4

ENCLOSURE 1: REFERENCES..................................................................................... 5

ENCLOSURE 2: RESPONSIBILITIES ............................................................................ 7

Director, NGA..................................................................................................................7

Senior Agency Official for Records Management ............................................................7

Agency Records Officer...................................................................................................7

Chief, Records Management Program.............................................................................8

Director, Chief Information Officer and Information Technology Services ........................8

Director, Office of Strategic Operations ...........................................................................9

General Counsel .............................................................................................................9

Directorate Heads and Agency Element Leads ...............................................................9

Primary Information Officer............................................................................................10

Information Officer.........................................................................................................10

Personnel......................................................................................................................11

GLOSSARY .................................................................................................................. 13
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CHANGE LOG

Change Change 

Date

Revised 

By

Pages 

Affected Change Description
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ENCLOSURE 1

REFERENCES

(a) 18 United States Code (USC) § 641, “Public money, property or records,” as 

amended

(b) 18 USC § 2071, “Concealment, removal, or mutilation generally,” as amended

(c) 44 USC, Ch. 31, “Records Management by Federal Agencies,” as amended

(d) 44 USC Ch. 33, “Disposal of Records,” as amended

(e) 44 USC Ch. 35, “Coordination of Federal Information Policy,” as amended

(f) 36 Code of Federal Regulations, Chapter XII, Subchapter B, “Records 

Management,” as amended

(g) Executive Office of the President of the United States, “Delivering Government 

Solutions in the 21st Century: Reform Plan and Reorganization 

Recommendations,” June 2018

(h) Office of Management and Budget Circular A-130, “Managing Information as a 

Strategic Resource,” 28 July 2016

(i) Office of Management and Budget Memorandum M-19-21, “Transition to 

Electronic Records,” 28 June 2019

(j) National Archives and Records Administration (NARA) Bulletin 2019-02, 

“Agency Records Officer Credential Training and Renewal Policy,” 25 

September 2019

(k) NARA Bulletin 2017-01, “Agency Records Management Training Requirements,” 

29 November 2016

(l) NARA Bulletin 2017-02, “Guidance on Senior Agency Officials for Records 

Management,” 28 September 2017

(m) NARA Bulletin 2015-04, “Metadata Guidance for the Transfer of Permanent 

Electronic Records,” 15 September 2015

(n) NARA Bulletin 2014-06, “Guidance on Managing Email,” 15 September 2014

(o) NARA Bulletin 2014-04, “Format Guidance for the Transfer of Permanent 

Electronic Records,” 31 January 2014, revised 30 August 2018

(p) NARA Bulletin 2013-02, “Guidance on a New Approach to Managing Email 

Records,” 29 August 2013

(q) NARA, “The General Records Schedules: Transmittal 31,” April 2020

(r) NARA, “Essential Records Guide,” August 2018

(s) NARA, “Guide to the Inventory, Scheduling, and Disposition of Federal 

Records,” 02 October 2018 

(t) DoD Instruction 5015.02, “DoD Records Management Program,” 24 February

2015, Incorporating Change 1, 17 August 2017

(u) DoD Manual 5240.01, “Procedures Governing the Conduct of DoD Intelligence 

Activities,” 08 August 2016

(v) DoD Standard 5015.02-STD, “Electronic Records Management Software 

Applications Design Criteria Standard,” 25 April 2007

(w) NGA Directive 8005, “Data Management and Analytics,” 20 June 2019, 

Administrative Update 2, 27 August 2020 (U//FOUO)

(x) NGA Instruction (NGAI) 5401.1, “Privacy and Civil Liberties Program,” 

26 January 2020
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(y) NGAI 8900.4, “Intelligence Oversight Compliance and Awareness Program,” 

18 July 2019

(z) NGA “Records Control Schedules,” as amended
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ENCLOSURE 2

RESPONSIBILITIES

1. Director, NGA.

a. Establishes NGA’s Records Management Program (RMP) IAW References (c),

(e), (f), and (t).

b. Designates a Senior Agency Official for Records Management (SAORM) IAW

References (g), (l), and (t).

2. SAORM.

a. Collaborates with the DoD SAORM to fulfill the SAORM responsibilities IAW

Reference (t).

b. Ensures that NGA efficiently and appropriately complies with applicable records

management statutes, regulations, and policies and promotes effective records 

management IAW References (c), (e), (f), (i), (l), and (t).

c. Designates an Agency Records Officer (ARO) to administer and oversee the RMP

IAW References (l) and (t).

d. Ensures that the designated ARO holds the National Archives and Records

Administration (NARA) ARO Credential (AROC) within one year of designation and 

maintains certification IAW References (j) and (t).

3. ARO.

a. Administers and oversees the implementation of the NGA RMP IAW References

(c), (f), and (t). 

b. Obtains and maintains current AROC training IAW References (i), (j), and (t).

c. Designates the Chief, RMP (C/RMP), to manage NGA’s RMP operations and

functions IAW References (c), (d), (f), and (t).

d. Advises the SAORM of annual NARA reporting requirements and consults on

Agency records management issues and initiatives with the DoD, Intelligence 

Community, and NARA as deemed appropriate. 

e. Provides periodic briefings to Directorate Heads and Agency Element leads on

identifying and preserving essential records to support continuity of operations and to 

protect rights and interests IAW References (f), (r), and (t).
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4. C/RMP.

a. Manages the RMP and establishes effective controls and business processes

over all records in Agency custody IAW References (c), (d), (f), and (t).

b. Develops and maintains effective records management policy, records schedules,

and guidance implementation for all records created and received by the Agency IAW 

References (c), (d), (f), (t), and (z).

c. Establishes safeguards against the removal or loss of records and reports any

unlawful or accidental removal, defacing, alteration, or destruction of records to NARA 

IAW References (c), (f), and (t). 

d. Coordinates and consults on Agency records management issues and initiatives

with the DoD, Intelligence Community, and NARA as deemed appropriate. 

e. Operates Agency Records Holding Areas in support of records disposition

requirements. 

f. Manages and maintains all records management training requirements at NGA

IAW References (j), (k), and (t).

g. Ensures specifications and standards for transfer of audiovisual, cartographic,

architectural, and electronic records to NARA are followed IAW Reference (f).

h. Serves as the certifying official for receiving and transferring inactive Agency

records and for accessioning permanent records to NARA. (Reference (c))

i. Collaborates with the Director, Chief Information Officer and Information

Technology Services (D/CIO-T), and Director, Office of Strategic Operations (D/OSO),

to ensure Capstone Official email accounts are identified and managed effectively for 

safeguarding and retention IAW References (f), (h), (m) through (q), (v), and (w).

j. Collaborates with D/CIO-T and D/OSO to establish non-Capstone email

capabilities for managing temporary email records IAW References (f), (h), (n), (q), (t), 

and (v). 

5. D/CIO-T.

a. Incorporates and manages records management and archival functions into the

design, development, and implementation of information systems IAW References (e), 

(f), (h), (n), (t), and (v).

b. Integrates and manages metadata to uphold NGA electronic records preservation

and disposition requirements within information systems, the cloud, and collaborative 

environments IAW References (f), (m), (o), (t), (v), and (w).
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c. Collaborates with the C/RMP and D/OSO to ensure Capstone Official email

accounts are identified and managed effectively for safeguarding and retention IAW 

References (f), (h), (m) through (q), (v), and (w).

d. Collaborates with the C/RMP and D/OSO to establish non-Capstone email

capabilities for managing temporary email records IAW References (f), (h), (n), (q), (t), 

and (v). 

6. D/OSO.

a. Collaborates with the C/RMP and D/CIO-T to ensure Capstone Official email

accounts are identified and managed effectively for safeguarding and retention IAW

References (f), (h), (m) through (q), (v), and (w).

b. Collaborates with the C/RMP and D/CIO-T to establish non-Capstone email

capabilities for managing temporary email records IAW References (f), (h), (n), (q), (t), 

and (v).

7. General Counsel.

a. Provides legal guidance to the ARO for all records-related practices as requested.

b. Advises the ARO of any records subject to legal holds on scheduled destruction

resulting from audits, court cases, Freedom of Information Act and Privacy Act requests 

and appeals, or other official inquiries IAW References (d) and (f).

8. Directorate Heads and Agency Element Leads.

a. Incorporate records management business principles and processes into

organizational programs, systems, and procedures IAW References (c), (f), and (t).

b. Identify and designate a Primary Information Officer (PIO) and an Information

Officer (IO) liaison to each office for records management and ensure PIO and IO 

functions are accomplished and sustainable.

c. Convert any procedure or function that currently results in paper records to full

digital procedures and functions IAW References (i) and (t).

d. Determine which records within their physical or legal custody are essential and

ensure all essential records are available at planned alternate facilities IAW References 

(r) and (t).

e. Oversee abatement of unlawful removal, alteration, or destruction of records from

NGA IAW References (a) through (c), and (t).
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9. PIO.

a. Ensures records management compliance within the Directorate or Agency

Element.

b. Serves as a facilitator and champion for records management within the office in

order to establish records management business processes within the Directorate or 

Agency Element.

c. Oversees one or more subordinate IOs to facilitate the establishment of the

records management business processes within the Directorate or Agency Element.

d. Ensures that an inventory and a current approved Office File Plan (OFP), not

more than one year old, are in place to cover all administrative and mission records that 

are created or received by the Directorate or Agency Element.

e. Oversees proper disposition of inactive records within the Directorate or Agency

Element.

f. Ensures that all PIOs and/or IOs are RMP-trained and performing their

responsibilities.

g. Replaces any subordinate PIOs and/or IOs within the Directorate or Agency

Element who transition to new duties or positions.

h. Ensures Capstone Official email records (including attachments), calendars, and

to-do lists are captured for retention by the NGA RMP IAW References (n), (p), and (t).

i. Notifies Directorate Head or Agency Element Lead of transition to new duties or

position so that a new PIO can be designated to ensure continuity.

j. Reports immediately any unlawful or accidental removal, defacing, alteration,

deletion, or destruction of records to Directorate Heads or Agency Element Leads and 

the C/RMP IAW References (c), (f), and (t). 

k. Coordinates with the IO regarding any records management issues or initiatives.

10. IO.

a. Promotes and facilitates records management within the office, division, or

branch in order to establish records management business processes within the

organization.

b. Coordinates with the PIO regarding any records management issues or

initiatives.
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c. Performs an inventory of all information created, received, or held by the office,

division, or branch.

d. Builds and maintains a current and approved OFP to properly disposition all

administrative and mission records created or received by the office, division, or 

branch.

e. Establishes an office recordkeeping system for records and non-records, aligning

records with the approved OFP IAW References (q), (s), (t), and (z).

f. Trains all office personnel on the recordkeeping system to file records they

create/receive.

g. Transfers or coordinates the transfer of inactive permanent and long-term

temporary records to the RMP Records Holding Area for preservation.

h. Properly disposes of inactive temporary records based on NARA-approved

disposition instructions.

i. Assists the PIO in the capture of Capstone Official email records for retention by

the NGA RMP IAW References (n), (p), and (q).

j. Reports immediately any unlawful or accidental removal, defacing, alteration,

deletion, or destruction of records to Directorate Heads or Agency Element Leads and 

the C/RMP IAW References (c), (f), and (t).

k. Notifies PIO of transition to new duties or position to ensure continuity.

l. Completes required training.

11. Personnel.

a. Complete annual mandatory records management training.

b. File and manage NGA records in an Agency recordkeeping system as established

by the PIO or IO IAW References (c) and (f), this Instruction, and Agency-specific 

records management training and requirements. In the event that NGA networks or file 

systems are inaccessible (e.g., by personnel embedded in another Intelligence 

Community element), contact the designated IO or the RMP for proper filing and

transfer procedures.

c. Report immediately any unlawful or accidental removal, defacing, alteration,

deletion, or destruction of records to Directorate Heads or Agency Element Leads and 

the C/RMP IAW References (c), (f), and (t).
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d. Comply with records management procedures when conducting official business

using non-official electronic messaging accounts.

e. Ensure the evaluation and protection of records containing US Person

information, Personally Identifiable Information, and individually identifiable health 

information IAW References (t), (u), (x), and (y). 

f. Ensure continuity of records under their purview by properly filing or transferring

records upon departure from NGA IAW Reference (f).
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GLOSSARY

Administrative Records Those records created by all DoD organizations, 

regardless of organizational level, in performing common 

functions that support the organization’s mission 

activities, but do not directly document the performance 

of mission functions. The records relate to activities such 

as budget and finance, human resources, medical, 

equipment and supplies, facilities, public and 

congressional relations, contracting, and similar 

administrative housekeeping or facilitative functions 

common to most agencies. (Reference (t))

Capstone Email Accounts of individuals who, by virtue of their work, 

office, or position, are likely to create or receive 

permanently valuable Federal records. Capstone officials 

will generally be the top-level senior officials of an 

agency, but may also be other key decision makers at 

lower levels of the agency. (Reference (n))

Capstone Official Senior officials designated by account level or by email 

addresses, whether the addresses are based on an 

individual’s name, title, a group, or a specific program 

function. (Reference (q))

Certifying Official An official of the Government who is authorized to certify 

to facts on the basis of records in such official’s custody, 

may certify to facts on the basis of records that have 

been transferred by such official or such official’s 

predecessors to the Archivist, and may authorize the 

Archivist to certify to facts and to make administrative 

determinations on the basis of records transferred to the 

Archivist, notwithstanding any other law. (Reference (c))

Disposition Actions taken regarding records no longer needed for the 

conduct of the regular current business of the agency.

(Reference (f))

Disposition Authority The legal authorization for the retention and disposal of 

records. For Federal records it is found on SF 115s, 

“Request for Records Disposition Authority,” which have 

been approved by the Archivist of the United States. For 

non-record materials, the disposition is established by 

the creating or custodial agency. (Reference (f))
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Inactive Records Records that are no longer used in the day-to-day course 

of doing business, but are preserved for legal, historical, 

or operational purposes until final disposition. (Definition 

developed by NGA for NGA purposes only.)

Information Life Cycle The stages through which information passes, typically 

characterized as creation or collection, processing, 

dissemination, use, storage, and disposition, including

destruction and deletion. (Reference (h))

Information Officer (IO) Facilitator and liaison with the RMP for Records 

Management in an office. (Definition developed by NGA 

for NGA purposes only.)

Metadata Data that consists of preserved contextual information 

describing the history, tracking, and/or management of 

an electronic document. (Reference (f))

Mission Records Records created by a Federal agency in performing its

unique functions that stem from the distinctive mission of 

the agency. The agency’s mission is defined in enabling 

legislation and further delineated in formal regulation. 

(Definition developed by NGA for NGA purposes only.)

Office File Plan (OFP) A document containing the identifying number, title or 

description, and disposition authority for files held in an 

office. The file plan should contain up-to-date and 

accurate disposition authorities and retention periods 

from the records schedule for all records and non-record 

materials held in an office. (Reference (s)) 

Permanent Record Any Federal record determined by NARA to have 

sufficient value to warrant its preservation in the National 

Archives of the United States, even while it remains in 

agency custody. Permanent records are those for which 

the disposition is permanent on SF 115, “Request for 

Records Disposition Authority” (now referred to as 

Disposition Authority Agency), approved by NARA on or 

after 14 May 1973. The term also includes all records 

accessioned by NARA into the National Archives of the 

United States. (Reference (f))

Personally Identifiable 

Information 

Information that can be used to distinguish or trace an 

individual’s identity, either alone or when combined with 

other information that is linked or linkable to a specific 

person. (Reference (x))
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Primary Information 

Officer (PIO)

A facilitator for Records Management and liaison with the 

RMP for a Directorate or Agency Element. (Definition 

developed by NGA for NGA purposes only.)

Record Includes all recorded information, regardless of physical 

form or characteristics, made or received by a Federal

agency under Federal law or in connection with the 

transaction of public business and preserved or 

appropriate for preservation by that agency or its 

legitimate successor as evidence of the organization, 

functions, policies, decisions, procedures, operations, or 

other activities of the US Government or because of the 

informational value of the data in it. (Reference (t))

Records Holding Area A facility used by a Federal agency to store Federal

records, whether that facility is operated and maintained 

by the agency, by NARA (Federal Records Center), by 

another Federal agency, or by a private commercial 

entity. (Reference (f))

Records Management Planning, controlling, directing, organizing, training, 

promoting, and other managerial activities involved with 

records creation, records maintenance and use, and 

records disposition in order to achieve adequate and 

proper documentation of the policies and transactions of 

the Federal Government and effective and economical 

management of agency operations (also referred to as 

Records and Information Management). (Reference (f))

Records Management 

Program (RMP)

A plan that provides day-to-day Records Management

oversight, guidance, training, and assistance to NGA 

Directorates or Agency Elements and personnel. 

(Definition developed by NGA for NGA purposes only.)

Records Schedule Any of the following:

1. A Standard Form 115, “Request for Records

Disposition Authority,” that has been approved by

NARA to authorize the disposition of Federal

records;

2. A General Records Schedule issued by NARA; or

3. A published agency manual or directive containing

the records descriptions and disposition instructions

approved by NARA on one or more SF 115s or

issued by NARA in the General Records Schedule.

(Reference (f))
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US Person Includes: 

 A US citizen.

 An alien known by the Defense Intelligence

Component concerned to be a permanent resident

alien.

 An unincorporated association substantially

composed of US citizens or permanent resident

aliens.

 A corporation incorporated in the United States,

except for a corporation directed and controlled by

a foreign government or governments. A corporate

or corporate subsidiary incorporated abroad, even

if partially or wholly owned by a corporation

incorporated in the United States, is not a US

Person.

 A person or organization in the United States is

presumed to be a US Person, unless specific

information to the contrary is obtained.

Conversely, a person or organization outside the

United States, or whose location is not known to

be in the United States, is presumed to be a non–

US Person, unless specific information to the

contrary is obtained. (Reference (u))