COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

Transcription

1 BY ORDER OF THE COMMANDER AIR FORCE RESEARCH LABORATORY (AFRL) AIR FORCE INSTRUCTION AIR FORCE RESEARCH LABORATORY Supplement 10 JULY 2018 Communications and Information AFRL RECORDS MANAGEMENT (RM) PROGRAM COMPLIANCE WITH THIS PUBLICATION IS MANDATORY ACCESSIBILITY: Publications and forms are available on the e-publishing website at for downloading or ordering. RELEASABILITY: There are no releasability restrictions on this publication. OPR: AFRL/DSO Supersedes: AFI33-322_AFRLSUP, 10 November 2015 Certified by: AFRL/DS (Col Jon Rucker) Pages: 10 This Air Force (AF) Research Laboratory (AFRL) supplement expands on Air Force Instruction (AFI) , Records Management Program by providing AFRL-specific guidance on responsibilities, policies and procedures for proper handling of records. This supplement applies to all AFRL Technology Directorates (TDs)/711th Human Performance Wing (HPW) and Site Offices. This publication may not be supplemented. Refer recommended changes and questions about this publication to the Office of Primary Responsibility (OPR), using AF Form 847, Recommendation for Change of Publication; route AF Form 847 through the appropriate functional chain of command. Request for waivers must be processed through command channels to the publication OPR for consideration. Ensure all records created as a result of processes prescribed in this publication are maintained in accordance with (IAW) Air Force Manual (AFMAN) , Management of Records, and disposed of IAW the Air Force Records Information Management System (AFRIMS) Records Disposition Schedule (RDS). SUMMARY OF CHANGES (AFRL) This document has been substantially revised and needs to be completely reviewed. Changes include standardizations of records management (RM) roles and responsibilities within AFRL. It adds the roles of the AFRL Headquarters (HQ) Base Records Manager (BRM), Assistant Records Manager (ARM), Chief of the Office of Record (COR), Unit Records Manager (URM) previously the Functional Area Records Manager (FARM), and the Area Records Professionals (ARP) previously the Records Custodians (RC).

2 2 AFI33-322_AFRLSUP 10 JULY (AFRL) Effective management of records for an organization with the scope and size of AFRL requires a network of records professionals. The network of roles include the AFRL Commander, AFRL HQ BRM, TDs/711 HPW, COR, ARM, URM, ARP and AFRL End Users (AFRL) AFRL Commander shall appoint an AFRL HQ BRM to administer, implement, and oversee the AFRL RM Program and provide direct support to the AFRL Commander (AFRL) AFRL Structure (AFRL) TDs/711 HPW Directors. Commanders and civilian directors at all levels must implement the AF Records Management Program for their organizations IAW this instruction Ensure organizations create mission-related records, permanently preserve valuable records, promptly stage eligible records, dispose temporary records and accession permanent records according to the AF RDS. Determine records access and enforces RM compliance Provides leadership support to ensure Air Force RM data calls and records searches are conducted and completed in a timely manner Complete AFRL Commander/Director RM Training within 30 days of assignment Appoint an ARM in writing using the appropriate AFRL appointment template. TD/711 HPW Division Chiefs appoint URM(s) in writing using the appropriate AFRL appointment template. Templates are available at AFRL Information Management SharePoint site located at: (AFRL) Chief of the Office of Record (COR). The individual designated as the head of an office where the inventory of records (previously referred to as file plans) will be maintained. It is recommended the inventory of records be at the division level. The division chief may delegate this duty to someone with adequate authority and a thorough knowledge of the office s mission and the records created (e.g. deputy division chief). Delegation of the COR responsibilities must be made in writing using the AFRL COR delegation template Complete AFRL RM initial training within 30 days of appointment and maintain proficiency by annually completing the AF RM training in Advanced Distributed Learning Service (ADLS) Ensures and assists in the development of the inventory of records using Air Force Records Management Information System (AFRIMS) for the office of record under his or her purview. Approves by signing the coversheet Reviews the inventory of records and reapproves on an annual basis. Regardless of changes, the COR must sign the new cover page to indicate review and approval Responsible for the physical and legal custody of all records the office creates or receives, regardless of their physical characteristics Appoints each ARP in writing using the AFRL appointment template Verifies completion of all RM training requirements for each ARP by endorsing the original signed appointment memo and providing training certificates to the appropriate TD ARM/URM for filing in the Electronic RM notebook.

3 AFI33-322_AFRLSUP 10 JULY Ensures a perpetual files review is completed and documented annually using the AFRL perpetual files review template available at the AFRL Information Management SharePoint site located at Ensures a thorough office-wide search to include all data drives, active/inactive, physical/electronic, draft/final, documentary materials, unclassified or classified records for all data calls, record searches, litigation holds and other requests for information are conducted and completed per AFMAN and AFRIMS requirements Ensures ARP provides written responses to all inspection, audit, and self-assessment findings within 30 days of receiving a report. Additionally, ensures written follow-up responses are submitted every 30 days until the findings are closed to the appropriate level Works with ARPs to properly identify essential records (previously referred to as vital records) for the organization s restoration and disaster recovery plan regarding physical and electronic records (AFRL) Assistant Records Manager (ARM). The ARM acts as the liaison to and as an extension of the AFRL HQ BRM, with designated restrictions. The ARM must appropriately communicate RM issues encountered within the TDs/711 HPW to the AFRL HQ BRM Complete AFRL RM initial training as well as training identified by AFRL HQ BRM within 30 days of appointment. Maintains proficiency by annually completing AF RM training in ADLS Guides and assists CORs and URMs in maintaining official electronic files. Ensures the folder structure in Collaborative Work Environment (CWE)/Content Server/Enterprise Connect (LiveLink) Official Files folder mirrors the AFRIMS inventory of records. The Official Files folder shall include the inventory of records by item number, appropriate series folders, appropriate rule-level folders, physical item folders, and appropriate RM classifications Inspects the offices of record where the URM is the ARP Ensures the following records are maintained in the appropriate TD/711 HPW Electronic RM Notebook: Appointment and Delegation Memos Listing of Offices on Record Training Matrix Training. Should include training certificates, sign-in sheets from training sessions, training presentations, etc ARM/URM Meeting Minutes. Should include attendance sheet, briefing charts, etc Inspection, Audit, and Self-Assessment Reports. Include follow-up information as well as replies from the ARPs and CORs Essential Records Plan or the No Essential Records memo signed by the COR Ensures all record searches and litigation requests within their scope of responsibility are completed. Ensures that responses are reported within 30 days of receipt, unless otherwise noted, before closing the requests for the TD/711 HPW in AFRIMS.

4 4 AFI33-322_AFRLSUP 10 JULY Conducts self-assessment of RM program a minimum of every 24 months and notifies the AFRL HQ BRM of completed corrective actions Conducts a minimum of quarterly URM training to ensure RM procedures are being followed (AFRL) Unit Records Manager (URM). The URM serves as the POC for and monitors the RM Program for their assigned unit(s). Knowledge of the record categories created and used by their assigned unit(s) is essential for this position Complete AFRL RM initial training as well as training identified by AFRL HQ BRM within 30 days of appointment. Maintains proficiency by completing annual AF RM training in ADLS Guides and assists ARPs and CORs in developing and preparing an inventory of records for the office Reviews each inventory of records for accuracy prior to approving in AFRIMS. Ensures CORs and ARPs have completed an annual review of perpetual files and filed the perpetual review memo in the 00 folder of the inventory of records Ensures each inventory of records contains the appropriate and needed tables and rules for the records being created in the office of record. Ensures the COR has completed the annual review and signed a new cover page and that each is appropriately filed. URMs are the final approval/disapproval authority within AFRIMs for their unit Ensures the office of record follows the AFRIMS RDS Use AFRIMS to schedule and conduct inspections on each office of record at a minimum of every 24 months. Ensures inspection results are documented via the AFRL HQ BRM created AFRIMS checklist Assists the offices of record to retire eligible records Ensures all ARPs within their assigned unit(s) have completed the required AFRL RM initial training as well as training identified by AFRL HQ BRM. Ensures all ARPs and CORs within their assigned unit(s) complete the annual AF RM training in ADLS and ensures training certificates are filed in the Electronic RM notebook Conduct a minimum of quarterly ARP training sessions to guide and assist personnel within their assigned unit(s) in properly maintaining, protecting, and disposing of records Creates, modifies and deletes AFRIMS accounts for ARPs; reviews user accounts annually to ensure ARPs are current Reviews record and non-record drives to ensure proper RM practices and procedures are conducted Works with the COR in overseeing non-freedom of Information Act (FOIA) RM data calls and record searches upon receipt of an official request when the appointed ARP will be unavailable to respond in a timely manner Ensures all ARPs within their assigned unit(s) complete and report responses to non-foia records searches in AFRIMS before closing out assigned unit(s) in AFRIMS.

5 AFI33-322_AFRLSUP 10 JULY Provides and documents RM overview to newly assigned personnel on creating records and proper maintenance of electronic filing procedures (i.e. electronic inboxes) (AFRL) Area Records Professional (ARP). The ARP maintains and disposes of office s active and inactive records IAW the RDS. Knowledge of the functional mission of the office and the purpose of the records are essential Complete AFRL RM initial training as well as training identified by AFRL HQ BRM within 30 days of appointment. Maintains proficiency by completing annual AF RM training in ADLS Develops and maintains the office inventory of records in AFRIMS and establishes by default electronic records and physical records only when necessary. Ensures inventory of records disposition and folder titles are replicated within the CWE/Content Server/Enterprise Connect (LiveLink) e-record storage area Regardless if changes are made, ensures files inventories are re-approved annually and whenever a new COR is assigned. Ensures a new cover page is created, signed by the COR, and is appropriately filed Reviews annually, perpetual files that continue as active until the event occurs that triggers disposition of the record. Completes the perpetual files memo to document the results of the review and files in 00 folder of inventory of records in LiveLink Demonstrates proficiency on equipment used for storing and retrieving records Understands and implements the records maintenance, use, and disposition policies and procedures for records maintained Consults with the COR and URM as necessary on problems that affect creating, maintaining, using, and disposing of records Conducts non-foia RM data calls and record searches Responds to questions on records requirements and the RDS Provides search results for all record searches in AFRIMS Ensures each user in their unit has the electronic unrestricted and restricted inboxes on their desktop and instructs each user on the proper usage (AFRL) Record Lifecycle CWE/Content Server/Enterprise Connect (LiveLink) is the approved RM system for AFRL and shall be used within each TD/711 HPW. Official records are not to be kept on shared drives or SharePoint Restricted and unrestricted electronic inboxes are set up to allow ARPs and end users an easier way to file and access electronic records/documents. Shortcuts to these electronic inboxes must be located on every AFRL-networked computer desktop.

6 6 AFI33-322_AFRLSUP 10 JULY The restricted inbox is used for documents containing sensitive or Privacy Act (PA) information. Records containing Personally Identifiable Information (PII) will be protected IAW instructions from AFI , Air Force Privacy and Civil Liberties Program. Some documents sent to an electronic inbox may fall in a category where restricted permissions are applicable (i.e., PA, For Official Use Only (FOUO), etc.) AFRL HQ BRM team provides oversight for the official records area in CWE/Content Server/LiveLink and serves as the POC for issues or problems that occur with electronic RM permissions (AFRL) Staging. ARMs and URMs will work with the ARPs to promptly and properly transfer eligible records to the base staging area or the designated Federal Record Center (FRC). TDs/711 HPW at Wright-Patterson Air Force Base (AFB) will use Standard Form (SF) 135, Records Transmittal and Receipt, via AFRIMS to retire records. All AFRL Geographically Separated Units (GSUs) will obtain an Archives and Records Centers Information System (ARCIS) account to stage records to the nearest FRC. Only one ARCIS account will be provided per GSU. TDs/711 HPWs must ensure processes are in place to maintain the official records for SF135s in active files (AFRL) Training/Orientation/Awareness AFRL Commander/Director RM training, AFRL RM initial training, AFRL End-User RM training, as well as any AFRL specific CWE/Content Server/LiveLink training can be located on the AFRL Information Management SharePoint site located at All AFRL commanders/directors shall accomplish AFRL Commander/Director RM training within 30 days of appointment CORs shall accomplishes AFRL RM initial training within 30 days of appointment and maintains proficiency by annually completing the AF RM training in ADLS The AFRL BRM, ARMs, URMs, and ARPs shall complete AFRL RM initial training within 30 days of assignment and maintain proficiency by annually completing the AF RM training in ADLS. Additional AFRL training and CWE/Content Server/LiveLink training is required as listed on the AFRL Information Management SharePoint site All AFRL users shall complete AFRL End-User RM training annually (AFRL) Inspections/Audits. The AFRL HQ BRM will create a standard Self- Assessment Communicator (SAC) in the Management Internal Control Toolset (MICT) for units to use to annually assess their RM processes. AFRL units will ensure the MICT SAC is being utilized as an ongoing assessment to facilitate effective monitoring of a unit s RM processes (AFRL) Record Searches. Upon receipt of a litigation hold or other records search request, the AFRL HQ BRM will forward a copy of the request to the TDs/711 HPW workflow and ARMs for execution IAW AFMAN

7 AFI33-322_AFRLSUP 10 JULY TDs/711 HPW shall search all physical, non-electronic (e.g., microfiche), and electronically stored information within their area of responsibility. The search is to include official records in the inventory of records, active and inactive records, CWE/Content Server/Enterprise Connect (LiveLink), external electronic media, desktops/laptops, share drives, and any other information systems used by the organization to process records. Additionally, records transferred for short- and long-term storage to base staging or offsite at an FRC, shall be searched when there is a reasonable indication that the stored information is responsive to the search request. Any records identified as responsive to the search will be placed in a litigation hold area TDs/711 HPW shall identify any proprietary/organizational information systems that may contain relevant information and direct the respective program manager for each system to conduct a search using the criteria identified in the search TDs/711 HPW shall notify all unit personnel who may have relevant information for the search request, ensure all tasked personnel perform thorough searches, and provide appropriate responses TDs/711 HPW ARMs will ensure all searches are completed within 30 days of receipt unless otherwise noted in the search request and all Litigation Hold Worksheets and relevant documents are held in litigation area until further guidance from the BRM (AFRL) Essential Records (previously referred to as Vital Records Program). The management of essential records is the policy of the United States Government and is part of AFRL s Continuity of Operations (COOP) designed to meet Emergency Management responsibilities. It is the policy of AFRL that each TD/711 HPW develop an essential records plan to ensure emergency operating, legal and financial rights records are properly maintained for availability during and after an emergency or disaster. Prior identification and protection of essential records will save valuable time and resources in the event of an emergency. It will allow recovery personnel to concentrate on restoring operations rather than finding information. Events such as a tornado, fire, flood, water damage, explosion, or loss of utilities may cause damage to official records designated as essential records in AFRIMS. Essential records shall be marked Vital for physical and electronic records in AFRIMS and in CWE/Content Server/Enterprise Connect (LiveLink) The essential records plan identifies where an archive or copy of the essential records are stored, if applicable, and describes the frequency the backups are created The AFRL TDs/711 HPWs ARM maintains a copy of the AFRIMS essential records report with the office essential records plan (AFRL) All AFRL users shall complete AFRL End-User RM training annually. Training is located on the AFRL Information Management SharePoint site (AFRL) AFRL HQ Base Records Manager (BRM). The Information Management Team Lead, located in the Integration and Operations Division (AFRL/DSO), is the AFRL HQ BRM for all AFRL organizations. The AFRL HQ BRM provides direct support to the AFRL Commander and administers, implements, and oversees the RM Program.

8 8 AFI33-322_AFRLSUP 10 JULY Coordinates with the Research Collaboration and Computing Directorate (AFRL/RC) to ensure all electronic records are backed-up on a scheduled basis and the capability exists to restore these records as needed Ensures AF RM data calls and record searches are conducted and completed in a timely manner. AFRIMS and the AFRL workflow will be used to notify the AFRL TDs/711 HPW and GSUs of the records search, provide the directions associated with the search, and report the findings Conducts a TD/711 HPW RM Program inspection/audit/self-assessment every 24 months and provides a signed report to the ARMs. Conducts a follow-up review until all discrepancies are closed based on the ARM s response to the corrective actions Ensures the MICT SAC is being utilized as an ongoing assessment to facilitate effective monitoring of the TDs/711 HPW RM processes Creates, modifies, and deletes AFRIMS accounts for the ARMs and URMs Develops role-based training as needed for CORs, ARMs, URMs, ARPs and end users. Provides additional training when requested. WILLIAM T. COOLEY, Major General, USAF Commander

9 AFI33-322_AFRLSUP 10 JULY Attachment 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION References AFI Records Management Program, 4 June 2012 AFMAN Management of Records, 1 March 2008 AFI Records Disposition- Procedures and Responsibilities, 22 December 2006 AFI Air Force Privacy and Civil Liberties Program, 12 January 2015 Adopted Forms AF 847 Recommendation for Change of Publication SF 135 Records Transmittal and Receipt Abbreviations and Acronyms ADLS Advanced Distributed Learning Service AF Air Force AFB Air Force Base AFI Air Force Instruction AFMAN Air Force Manual AFRIMS Air Force Records Information Management System AFRL Air Force Research Laboratory ARCIS Archives and Records Centers Information System ARM Assistant Records Manager ARP Area Records Professional BRM Base Records Manager COOP Continuity of Operations COR Chief of the Office of Record CWE Collaborative Work Environment FARM Functional Area Records Manager FOIA Freedom of Information Act FOUO For Official Use Only FRC Federal Records Center GSU Geographically Separated Unit HPW Human Performance Wing

10 10 AFI33-322_AFRLSUP 10 JULY 2018 HQ Headquarters IAW In Accordance With MICT Management Internal Control Toolset OPR Office of Primary Responsibility PA Privacy Act PII Personally Identifiable Information POC Point of Contact RC Records Custodian RDS Records Disposition System RM Records Management SAC Self Assessment Communicator SAV Staff Assistant Visit SF Standard Form TD Technology Directorate URM Unit Records Manager