Files Maintenance

cfISAC.org Central Florida Industrial Security Awareness Council

Files and Record Maintenance: Avoid Self Inspection Filing Disasters

Probably the best way to eliminate headaches during a self inspection is to establish a good files and records maintenance system for your security documents. The table below outlines some helpful file folder headings and suggested contents. Whether you already have a system that works well for you or you are just now asking yourself where you put the DD 441, the chart can help in establishing a means to maintain your records in a manner that is easy to use.

Also consider eliminating files that are old, out of date, or no longer required for retention. Remember that terminated personnel clearances are only required to be held on file for two years after termination. Classified document receipts ( for Top Secret and Secret) are also required for two years. If you are concerned about retention on other items, contact your DSS representative.

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File Name	Suggested Contents
Facility Clearance	DD 441 or 441-1 Board Resolutions 381-R (Clearance Letter) KMP List SF 328 Exclusion Resolutions
Personnel Clearance *For EACH cleared employee	DISCO Form 560 – Letter of Consent (LOC) SF 312 (Nondisclosure Agreement) Required Briefings (NATO, COMSEC, etc.) Consultant Agreement Suggest maintaining a copy of any outgoing Visit Authorization Letters
Self Inspections	Self Inspection Handbook Copy of the Last Inspection
Security Correspondence	File by last date on top All material in this folder should be reviewed for disposition during each recurring US Government Review
Visit Letters – Incoming	Place in order by date of the letter, or in alphabetical order
Visit Letters – Outgoing	Place in order by date of the letter, or in alphabetical order. Extra copy may be places in suspense file as a reminder to renew.
DD Form 254 – Active Contracts	DD 254 pertaining to active contracts, RFQ’s, RFP’s, and IFB’s. Listing of classified contracts should be placed in front of folders
Facility Clearance Verifications	Verifications of facility clearances and safeguarding capability of perspective subcontractors, subcontractors, or facilities to whom classified material is sent.
Receipts – Outgoing	File in order by the date of the signed classified documents receipt Place date the signed receipt was returned on the receipt Include the word “Last Item” under the last document listed on the form
Controlled Area Agreements	Retain a copy of the DIS 147 issued by DSS
AIS Equipment Authorizations	File authorizations from the Defense Security Service Field Office for the use of AIS equipment for the processing of classified material File in order by date of the authorization or by the system number or identification.