Section

Title

AP10.C5.1.

General.

AP10.C5.2.

Concepts and Requirements.

AP10.C5.3.

Uniform Case Documentation.

AP10.C5.1.1. Overview. 

AP10.C5.1.1.1. National Archives and Records Administration. Within the Federal Government, U.S. National Archives and Records Administration (NARA) is responsible for promulgating procedures for the disposal of all USG records. The NARA Records Management Program provides guidance and assistance for the management and disposition of Federal records in the General Records Schedules (GRS).

AP10.C5.1.1.2. Department of War Records Management Program. The DoW Records Management Program outlines records management policy and responsibilities. Within DoW, there are 26 Records Management Programs, each with an appointed Federal Agency Records Officer, Records Management Manual, Instruction or Regulation, and Records Disposition Schedules (RDS). DoW’s RDS must comply with NARA guidelines and may include additional financial records used in DoW business operations that are not listed in the NARA GRS.

AP10.C5.1.1.2.1. DoW requires documentation to be retained for longer than the NARA requirement if the documentation will be used to support an audit. See Department of War Financial Management Regulation (DoW FMR), DoW 7000.14-R, Volume 1, Chapter 9, Section 2.1.3 and DoW FMR, Volume 1, Chapter 9, Figure 9-1 for more information.

AP10.C5.1.1.2.2. DSCA may issue exceptions to retention periods if there is a determination that Security Cooperation (SC) cases (hereafter "case files") are needed for any other business purpose that may require access to the documentation (e.g., records associated with ongoing litigation proceedings and country suspensions). Consult your DoW-appointed federal Agency Records Officer (ARO) for additional guidance regarding Foreign Military Sales (FMS) records retention.

AP10.C5.1.1.3. Case Files. Case files may be maintained in a decentralized manner by the various activities having responsibility for actions associated with the case. Each activity must maintain a comprehensive record of relevant correspondence, worksheets, and officially prepared forms that constitute a complete audit trail from the time of case initiation through case closeout or retirement.

AP10.C5.1.1.4. Electronic Files. Reference to the Defense Security Assistance Management System (DSAMS) and other electronic files (including e-mail correspondence and compact disk read-only memory) is encouraged, provided such files are complete, secure, and readily retrievable. Electronic imaging is strongly encouraged to preserve documentation (e.g., historical documents and signature pages), when retention of the paper originals, or a copy of such documents, is materially expensive but necessary to protect USG interests.

AP10.C5.1.1.5. The case manager must maintain a directory of supporting documentation locations. All supporting documentation must be reviewed carefully prior to disposal or retirement. In addition, coordinate with your DoW-appointed federal ARO for appropriateness and any potential litigation holds. A closed case from an FMS purchaser perspective may remain open from a DoW accounting perspective.

AP10.C5.1.2. Purpose. This chapter establishes guidance on maintaining documents for case files. The guidance is designed to facilitate uniformity of case file maintenance and ensure that all necessary documentation is readily available and retrievable by the appropriate activities. All policy applies regardless of storage media (i.e., electronic and/or hard copy).

AP10.C5.1.3. Authoritative Guidance. Authorities for case file policy include:

AP10.C5.1.3.1. Code of Federal Regulations (CFR), Title 36, Chapter XII, Subchapter B, Part 1220 – Federal Records (36 CFR 1220)

AP10.C5.1.3.2. The Federal Acquisition Regulation (FAR) 4.805, “Storage, Handling, and Contract Files;”

AP10.C5.1.3.3. NARA, General Records Schedules (GRS) 1.1, “Financial Management and Reporting Records,” which maintains Foreign Military Sales (FMS) minimum document retention requirements; and

AP10.C5.1.3.4. DoW Instruction 5015.02, “DoW Records Management Program.”

AP10.C5.2.1. General. 

AP10.C5.2.1.1. Maintain case files in official folders, uniformly titled, and filed by section as discussed in Section AP10.C5.3.1. When more than one file folder is required, the folders must be appropriately numbered (e.g., 1 of 2 or 2 of 2). The documents placed in each folder must be maintained in chronological sequence by section.

AP10.C5.2.1.2. When a case is implemented, each implementing DoW Component must identify and direct which supporting activities are to maintain the required documentation on file. For example, a copy of the Letter of Offer and Acceptance (LOA) may be on file with several activities, while copies of contracts applicable to that case would have a more limited distribution.

AP10.C5.2.1.3. Certain records associated with a case may be voluminous listings that are too large to be printed and placed in official folders. Instead of filing the listing in the folder, annotate on the General Information Cover Sheet, or within the file itself, where such electronic information is located. The purpose of filing such documents, or cross-referencing notes to such documents, is to maintain the integrity of the case audit trail and to consider all applicable information during case execution and at case closure.

AP10.C5.2.1.4. The uniform case folder, as outlined in Section AP10.C5.3., lists those documents considered to be of primary relevance on a DoW-wide basis. DoW Components may also wish to include additional documents as part of the case file. The inclusion of such documents is encouraged, and it is recommended that they be filed in the form of numbered appendices following in sequence after the required sections.

AP10.C5.2.1.5. The value of the uniform case folder is in maintaining a complete and accurate record for audit purposes and ensuring a standard and systematic approach to case file maintenance. With management support, it may also serve as a checklist of planned and completed actions, thereby facilitating the case execution and closure process. In addition, the existence of a comprehensive and well-maintained file facilitates supervisory reviews and brings greater efficiency to the transfer of ongoing case management responsibilities.

AP10.C5.2.2. Responsibilities. Each DoW Component, Implementing Agency (IA), and the Defense Finance and Accounting Service (DFAS), in its role as an accounting service provider, is responsible for maintaining its respective portion of the case file as required in Section AP10.C5.3.

AP10.C5.3.1. Documentation Requirements. The minimum required documentation for complete and effective case management includes the following sections shown in Table AP10.C5.T1.:

Table AP10.C5.T1. Documentation Requirements

Documentation

Reference

General Information Cover Sheet

Table AP10.C5.T2.

Letter of Request Documentation

Table AP10.C5.T3.

Planning Information

Table AP10.C5.T4.

Security Assistance Survey Documentation

Table AP10.C5.T5.

Foreign Military Sales Contractual Instruments Documentation

Table AP10.C5.T6.

Financing Arrangements Documentation

Table AP10.C5.T7.

Financial Control Documentation

Table AP10.C5.T8.

Implementation Directives Documentation

Table AP10.C5.T9.

Defense Security Assistance Management System and 1200 System Update Documentation

Table AP10.C5.T10.

Case Execution Documentation

Table AP10.C5.T11.

Special Logistics Documentation

Table AP10.C5.T12.

Accessorial Charges Documentation

Table AP10.C5.T13.

Government Furnished Materiel Documentation

Table AP10.C5.T14.

Foreign Military Sales Billing Documentation

Table AP10.C5.T15.

Supply Discrepancy Report Billing Documentation

Table AP10.C5.T16.

Review Information

Table AP10.C5.T17.

Case Closure Documentation

Table AP10.C5.T18.

Reopened Case Documentation

Table AP10.C5.T19.

AP10.C5.3.2. Documentation Maintenance and Disposition. The documentation must be accumulated throughout the life of the case from inception through final case closure. Implementing Agencies (IAs) may retire, but not destroy, closed case file records to document storage areas upon final case closure by Defense Finance and Accounting Service (DFAS). DFAS may retire, but not destroy, closed case file records, including delivery listings, no earlier than one year from the date of the latest case-related correspondence with the purchaser or final case closure, whichever is later. DoW Components, IAs, and DFAS must maintain an accurate record of the location of all retired records to ensure they can be located as needed. For more detailed guidance on records retention policy, consult the appropriate DoW-appointed Federal Agency Records Officer using the link provided in Section AP10.C5.1.1.2.

 

Table AP10.C5.T2. Documentation Requirements

1.

Case Identifier

2.

Cognizant Personnel Information

  • Name
  • Phone number
  • E-mail address
  • Dates of tenure, if responsibilities are transferred from one individual to another during the life of the case

A. Country/Case Manager at each level

Major/Systems Command

International Logistics Control Office

Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate

B. Others as required

Inventory/Item manager focal point

Procurement office focal point

3.

Key planning milestones; see Figure AP10.C5.F1. for an example

 

Table AP10.C5.T3. Letter of Request Documentation

1.

Letter of Request (LOR) for Rough Order of Magnitude (ROM) or Letter of Offer and Acceptance (LOA) data

2.

Correspondence and other information relative to primary inquiry

 

Table AP10.C5.T4. Planning Information

1.

Price and availability/Letter of Offer and Acceptance (LOA) data relative to the case

2.

LOA data used to prepare the LOA format

A. Tasking direction

B. Internal memoranda/worksheets

C. Financial analysis and termination liability reserve data

D. Methodology for computing the payment schedule reflected in the LOA

D. Pricing data (e.g., Defense Security Assistance Management System (DSAMS) Document Pricing Calculations Report - RP069)

3.

Response(s) to foreign purchaser if initially presented in a format other than an LOA

4.

Correspondence related to exceptions or waivers (e.g., nonrecurring cost recovery)

 

Table AP10.C5.T5. Security Assistance Survey Documentation

1.

Defense Requirements Survey Report

2.

Site Survey Report

 

Table AP10.C5.T6. Foreign Military Sales Contractual Instruments Documentation

1.

Congressional Notification (CN) documentation

2.

Letter of Offer and Acceptance (LOA)

3.

Amendment(s) to the LOA

4.

Modification(s) of the LOA

5.

Any memoranda of understanding or memoranda of agreement relating to the LOA, amendments, or modifications

6.

Correspondence relative to internal review(s)/coordination

A. Letter forwarding an advanced copy of (unsigned) LOA to purchaser pending the results of congressional review, if applicable

B. Letter of transmittal of countersigned LOA, if applicable

7.

Correspondence/letters of transmittal to purchaser and acceptance of the LOA

 

Table AP10.C5.T7. Financing Arrangements Documentation

1.

Financing agreements

2.

North Atlantic Treaty Organization (NATO) country-to-country agreements

3.

Requests and approvals for special waivers from routine loan conditions

4.

Federal Acquisition Regulation (FAR)/Defense Federal Acquisition Regulation Supplement (DFARS) exception requests and approvals

5.

Supporting documentation for pricing waiver requests and approvals (see Section C9.6., “Pricing Waivers” for waiver types and descriptions)

 

Table AP10.C5.T8. Financial Control Documentation

1.

Request and Approval of Department of Defense (DD) Form 2060, Foreign Military Sales (FMS) Obligational Authority (OA) (or automated system equivalent)

2.

DD Form 2061, FMS Planning Directive (or automated system equivalent).

3.

Expenditure authorizations

4.

Documentation concerning DoW Component internal allotments or delegations of obligational and expenditure authorizations

5.

Final Case Closure Worksheet, as applicable

 

Table AP10.C5.T9. Implementation Directives Documentation

1.

Foreign Military Sales (FMS) program/case directives

2.

Program management plans

3.

Implementing project directives

4.

Implementation letters

5.

Amendments or updates to #1-4

 

Table AP10.C5.T10. Defense Security Assistance Management System and 1200 System Update Documentation

1.

Copies of worksheets or other evidence that the Defense Security Assistance Management System (DSAMS) and DSCA 1200 systems were updated at the appropriate times

 

Table AP10.C5.T11. Case Execution Documentation

1.

Documents substantiating annual financial and logistical reconciliation.

2.

Documents substantiating payment schedule revisions to include purchaser requested schedules (and approvals)

3.

Purchase requests

4.

USG contracts with commercial vendor, to include statements of work, as applicable

5.

Work requests and project orders

6.

Reimbursable Orders. Include records management documentation as defined in Section 4 of Department of Defense Instruction (DoDI) 4000.19 - Support Agreements, to substantiate general terms and conditions. Also retain accepted order documentation such as Military Interdepartmental Purchase Requests (MIPRs) and/or Interagency Agreements (IAAs), and applicable receipt and acceptance documentation.

7.

Assisted Acquisitions. Accepted MIPR and/or funding documentation. Copies of contract documentation and associated statements of work, as applicable

8.

Internal billing documentation (e.g., Standard Form (SF) 1080, Voucher for Transfers Between Appropriations and/or Funds; DD Form 250, Material Inspection and Receiving Report (or automated system equivalent); temporary duty orders/vouchers)

9.

Receipt document from Foreign Military Sales (FMS) purchaser or purchaser's representative (a freight forwarder), with official purchaser signature

10.

Invitational Travel Orders (ITOs)

11.

Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate-prepared Command Pay Listing (if filed in the case file folder)

 

Table AP10.C5.T12. Special Logistics Documentation

1.

Cooperative Logistics Supply Support Arrangements (CLSSA) Foreign Military Sales Order (FMSO) I Equity Listing

2.

Concurrent Spare Parts listing

3.

Other (e.g., Air Force Security Assistance Management Integration System (SAMIS) local management reports)

 

Table AP10.C5.T13. Accessorial Charges Documentation

1.

Applicable documentation to substantiate the reporting of actual (instead of the estimated percentage) packing, crating, and handling (PC&H); transportation; port loading and unloading; and staging costs

 

Table AP10.C5.T14. Government Furnished Materiel Documentation

Note: The inclusion of Government Furnished Materiel (GFM) as part of a case requires special attention from a financial standpoint since the GFM becomes a part of the major item being procured. Unless this information is included as part of another section, this section should have the documentation listed in rows 1-3

1.

Listing, by contract number, of contracts under which GFM may be requisitioned by contractors

2.

Listing of GFM by requisition or document numbers

3.

Worksheets/backup data showing that Packing, Crating, and Handling (PC&H) and transportation costs for other than Defense Working Capital Funds (DWCF) items has been added to the base price of GFM

 

Table AP10.C5.T15. Foreign Military Sales Billing Documentation

Note: The detailed nature and size of this documentation may render inclusion in the case folder impractical. In such instances, it is sufficient to maintain a local record or checklist showing that the documentation and lists have been reviewed, as necessary, to monitor progress, detect errors, and perform satisfactory financial oversight.

1.

Department of Defense (DD) Form 645, Foreign Military Sales (FMS) Billing Statement (or automated system version equivalent), and financial forecast attachments. Replies to purchaser requests for adjustments are filed in a subsequent section. Include any documents pertaining to special billing arrangements directly associated with the case.

2.

Documentation relating to delivery transactions

3.

Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate worksheets and correspondence maintained in the case file folder appendices

4.

Correspondence related to authorized exceptions to normal billing procedures

 

Table AP10.C5.T16. Supply Discrepancy Report Billing Documentation

1.

Supply Discrepancy Reports (SDRs)

2.

Correspondence/documentation relative to such discrepancies

3.

Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate reply to purchaser requests for listing of adjustments

 

Table AP10.C5.T17. Review Information

The minutes and other correspondence resulting from:

A. Foreign Military Sales (FMS) implementation review

B. Country program/case review

C. FMS financial management review

 

Table AP10.C5.T18. Case Closure Documentation

1.

The DoW Component's case closure certification to Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate. The final Department of Defense (DD) Form 2060 and DD Form 2061s should be on file in the "Financial Control Documents" section

2.

Any correspondence with DFAS-SCA, or other organizations, relative to the case closure certification

3.

The final DD Form 645 (DFAS-SCA only)

4.

The case closure checklist (see Section AP7.C4.3.)

5.

The case closure notification sent to DFAS-SCA via e-mail or fax, as well as the system generated C1I case closure transaction (see Section AP7.C4.7.)

6.

A directory identifying the location of stored case records

 

Table AP10.C5.T19. Reopened Case Documentation

Note. This section is only operative if the case, once closed, must be reopened.

1.

All correspondence and data about why the case had to be reopened, including the written authorization(s) approving the reopening.

2.

The re-finalized Department of Defense (DD) Form 2060 and DD Form 2061s (filed in the “Financial Control Documentation” section)

3.

The closure certification

4.

The final DD Form 645

 

Figure AP10.C5.F1. Key Planning Milestones Template

Event

Planned Date of Completion

Actual Date of Completion

Letter of Request (LOR) Acknowledged

 

 

Completed Department of Defense (DD) Form 2061 or associated Defense Security Assistance Management System (DSAMS) RP069

 

 

Letter of Offer and Acceptance (LOA) Data completed

 

 

Congressional Notifications (CNs) completed if necessary

 

 

LOA prepared

 

 

LOA countersigned/mailed to purchaser

 

 

LOA implemented

 

 

LOA Lines delivery complete (delivery transactions with estimated prices submitted)

 

 

Line 001

 

 

Line 002

 

 

Line 003

 

 

Line 004

 

 

Line 005

 

 

Add additional lines as needed

 

 

LOA Lines financially complete (delivery transactions with actual prices submitted

 

 

Line 001

 

 

Line 002

 

 

Line 003

 

 

Line 004

 

 

Line 005

 

 

Add additional lines as needed

 

 

Final DD form 2060 forwarded to Defense Finance and Accounting Service Security Cooperation Accounting (DFAS-SCA) Directorate

 

 

Case Closure notification forwarded to DFAS-SCA

 

 

Note: Other milestone plans as developed by the Implementing Agencies (IAs) may be used.