DEPARTMENT OF THE AIR FORCE 6TH AIR MOBILITY WING (AMC) MACDILL AIR FORCE BASE, FLORIDA

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1 DEPARTMENT OF THE AIR FORCE 6TH AIR MOBILITY WING (AMC) MACDILL AIR FORCE BASE, FLORIDA MEMORANDUM FOR 6 AMW FROM: 6 AMW/CC AFI33-322_MACDILLAFBSUP_MACDILLAFBGM December 2017 SUBJECT: MacDill AFB Guidance Memorandum to AFI33-322_MACDILLAFBSUP, Records Management Program ACCESSIBILITY: Publications and forms are available for downloading or ordering on the e- Publishing website at RELEASABILITY: There are no releasability restrictions on this publication. 1. By order of the Commander, MacDill AFB, this Guidance Memorandum (GM) and its attachment immediately implements procedures for the 6th Air Mobility Wing (6AMW) records management program and rescinds all requirements of AFI33-322_MACDILLAFBSUP dated 16 June This GM applies to all military, civilian and contractor personnel assigned to the 6AMW as well as any tenant organizations with a support agreements requesting records management support. This GM supports the Secretary of the Air Foce s elimination of Functional Area Record Managers and Records Custodians and the Wing Commander s waiver of those duties establishing MacDill AFB s RM Plan. Ensure that all records created as a result of processes prescribed in this publication are maintained IAW Air Force Manual (AFMAN) , Management of Records, and disposed of IAW Air Force Records Information Management System (AFRIMS) Records Disposition Schedule (RDS). Refer recommended changes and questions about this publication to the Office of Primary Responsibility (OPR) using the AF Form 847, Recommendation for Change of Publication; route AF Forms 847 from the field through the appropriate functional chain of command. Compliance with this memorandum is mandatory. The use of the name or mark of any specific manufacturer, commercial product, commodity, or service in this publication does not imply endorsement by the Air Force. To the extent, its directions are inconsistent with other Air Force publications; the information herein prevails, in accordance with AFI , Publications and Forms Management. 2. This memorandum becomes void after one-year has elapsed from the date of this memorandum, or upon publication of an Interim Change or rewrite of the affected publication, whichever is earlier. APRIL D. VOGEL, Colonel, USAF Commander MISSION FOCUSED VALUED AIRMEN

2 ATTACHEMENT MACDILL AFB RECORDS MANAGEMENT PROGRAM 1. General. Air Force records serve a crucial role in supporting the mission of the Air Force (AF) by ensuring information is available to support effective decision making through authoritative information and to protect the legal rights of the Air Force, its employees, and the public. Records document official business, serve as the memory of the organization, provide a record of past events, and are the basis for future actions. This publication defines the roles and responsibilities to effectively manage Air Force records and establishes the program for Records Management (RM) Air Force units at all levels have a requirement to document their organization s functions, policies, procedures, and activities. This documentation serves as the official record of the Air Force. These records must be preserved by implementing effective life-cycle management procedures and must be managed systematically to ensure they are complete, accurate, trustworthy, and easily accessible. Every activity must manage its records to comply with legal accountability requirements Personnel employed by the Department of the Air Force, shall not conceal, remove, mutilate, obliterate or destroy records without proper authority. Unauthorized concealment, removal, mutilation, obliteration or destruction of records, or any attempt to do so, is a violation of 18 U.S.C and may be punished by up to three years confinement and a fine. Failure to obey the prohibitions in this paragraph is also a violation of Article 92, Uniform Code of Military Justice. Failure of civilian employees to follow the prohibitions in this paragraph may also result in administrative disciplinary action under applicable civilian personnel instructions without regard to otherwise applicable criminal or civil sanctions The keys to an effective Records Management Program are the integrity of the filing system and effectively resourced and trained personnel. The filing system ensures a standard methodology for filing, storing, retrieving, and ultimately disposing of records according to published retention schedules. Criteria for establishing a file plan is provided in AFMAN along with the AF RDS. The AF RDS is located in the AF Records Information Management System (AFRIMS). 2. Definition of Records. Consistent with the definition of records used in the Presidential and Federal Records Act Amendments of 2014, which updated the definition in 44 U.S.C. 3301, records includes all recorded information, regardless of 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 United States Government or because of the informational value of data in them. Materials exempt from the definition of records include extra copies of documents kept only for reference, stocks of publications and processed documents, and library or museum materials intended solely for reference or exhibit. 3. Roles and Responsibilities. Effective management of records for an organization, the

3 scope and size of the MacDill Air Force Base, requires a network of records professionals. The network of roles at the base level include the Commanders, Base Records Managers (BRM), Records Inventory Managers (RIM), and all other records users (RU). 4. Commanders. Commanders and civilian directors at all levels must implement the Records Management Program for their organizations IAW this instruction. Commanders and civilian directors: 4.1. Have responsibility for the physical and legal custody of all records within their organization and for ensuring the proper management of all records in accordance with (IAW) the Records Management policy and guidance Host Base Wing Commander shall appoint in writing a BRM to manage the records management program. The minimum recommended grade for the primary BRM is a GS-09 or MSgt (7-level) Group and/or Squadron Commanders shall appoint in writing, Records Inventory Managers (RIMs) and provide appointment letter to the BRM. Depending upon span of control the recommended minimum grade is a GS-07 or SSgt (7-level). Multiple RIMs may be required based on the complexities of the mission and the size of the organization. The RIM shall have overall understanding of the functions being performed by the organization and the types of records required to accurately document its functional procedures and activities. If the appointed RIM is a military member, an alternate is required to ensure coverage during extended periods of absence due to training and/or deployment Upon notification that an appointed RIM is unable to fulfill his/her duty due to circumstances removing him/her from their normal duty for more than ninety (90) days (e.g., Permanent Change of Station (PCS), temporary duty (TDY), etc.), RIMs shall be replaced 30 days prior to departure date to allow sufficient time for training and integration into the program. All RIM Appointment Letters shall be coordinated and approved through the Appointment Letter Management Tool (ALMT) located on the 6 Air Mobility Wing SharePoint site: If ALMT becomes unavailable the appointment letter may be created via a Microsoft Word document or Adobe and digitally signed (Reference guidance for digital signatures found in AFI , Authentication of Air Force Records) Ensure the appointed RIMs have the appropriate security clearance levels to access all records and are current in their annual Information Protection module of Total Force Awareness Training (TFAT) Will support and ensure records management data calls and records searches are conducted and completed IAW defined requirements Will ensure RIMs have appropriate clearance to access classified records (paper/electronic), to include sensitive compartmental information facilities (SCIF), to ensure proper oversight of classified records and to comply with records management data calls and

4 records searches. RIMs have a valid need to access Air Force records for the purpose of ensuring compliance with records management policy and guidance The Wing Commander shall direct the BRM to conduct a base RM program selfassessment every 24 months and provide signed report of self-assessment to Command Records Mangers (CRM)/Air Force Records Managers (ARM) as appropriate Ensures all records and records locations are correctly documented in the Air Force Records Information Management System (AFRIMS) for the Squadron. Develops an organizational file plan and approves by digitally signing the file plan coversheet Ensures a thorough office-wide search for all data calls (e.g. record searches), to include active and inactive, physical and electronically stored final and draft documentary materials both classified and unclassified Ensures all corrective actions are closed within 90 days of receipt of the records inspection by the BRM. All responses will be provided in AFRIMS Ensures vital records are identified and establishes a restoration and disaster recovery plan for paper and electronic records. Ensures identified vital records are included in the base, agency or MAJCOM emergency preparedness plans. 5. Base Records Manager (BRM). The BRM administers the installation records management program Provides direct support to Wing Commander and implements and oversees the Records Management program in coordination with Commanders across the base Enforces the federal mandate of the E-Government Act of 2002, requiring electronic processes be applied to records created and maintained electronically that have a retention disposition of 10 years or less. If records are to be maintained electronically, ensure Records Professionals verify OPRs have authoritative guidance pertaining to legal recognition and validity before approving transfer (i.e. scanning documents) to electronic form. This includes protecting the scanned paper records from destruction until such authoritative guidance is provided Reviews Wing directives and forms before publication to ensure compliance with records management directives. Ensures records generated by directives and information collections (forms) are scheduled Works with the Inspector General (IG) to identify areas requiring special review by command IG teams and provide compliance evaluation criteria and standards for functional area inspectors Provides guidance to tenants and RIMs on local support agreements for program assistance, training, electronic records storage (where applicable), inspections, staging, or

5 records shipping services Oversees the implementation of the AFRIMS according to AFMAN Develops meaningful metrics in the areas of file plan approval rates, inspections (visited/not visited), staging, and training. AFRIMS will be utilized as much as possible Accomplishes initial training upon appointment and maintains proficiency by completing the Information Protection module of TFAT and annual role-based training. (T-1) Ensures appropriate network permissions for RIMs and Records Users Performs inspections on each RIM at least once every 12 months. Schedules, manages and documents all inspections in AFRIMS using the AF-wide checklist. Open findings must be tracked and documented using AFRIMS Direct subordinate RIMs and/or other records users to conduct non-foia records management data calls and records searches upon receipt of an official request from the Air Force Records Office (AFRO) Serves as the approval authority for RIMs account requests for AFRIMS Develops role-based training for RIMs and provides base-specific training at Newcomers briefings. Courses will be reviewed at least every 6 months to ensure content is relevant and appropriate actions taken, if any. Provides additional training when requested Makes recommendations on records storage issues when additional storage space is requested. Provides guidance on using document imaging systems for records storage and authorized disposition of paper-based records following imaging Provides guidance on electronic record-keeping requirements and implements procedures for creating, transferring, storing, retrieving, and disposing of electronic records. Performs the role of Electronic Transfer Staff for the purpose of packaging and transmitting electronic records to National Records Admistration (NRA) via an electronic transfer method Reviews proposals for electronic storage and document imaging of records, makes recommendation to improve processes, and sends the proposal to the CRM before implementation Implements AFRIMS IAW AFMAN Implements procedures for processing and approving file plans. The BRM is the file plan approval/disapproval authority Investigates incidences of lost records and unauthorized destruction of records.

6 5.20. Provides guidance and assistance to reconstruct lost/destroyed records Makes recommendations to management on preventing future records loss Reviews directives and forms before publication to ensure compliance with records management directives Provides instruction to the Office of Primary Responsibility (OPR) on submitting AF Form 525, or its equivalent, recommending new, modified, or deletion of a records schedule Reviews documentation used to survey electronic data and records in AF information systems, (AF Form 1341 or its equivalent) and proposed disposition (AF Form 525 or its equivalent) of system from OPRs and Program Managers. Submits documentation and review to the CRM. Information systems which contain Privacy Act System of Records, coordinate with the program manager to ensure disposition of data in the survey and schedule is consistent with the records disposition in the System of Records Notice Serves as the POC for the Archives and Records Centers Information System (ARCIS) used for transactions with Federal Records Centers (FRC) Provides a report memorandum to the RIM and respective Commander. The report memorandum will be signed by the respective Commander and will describe any findings, areas of improvements, and will include a rating of the overall program If any findings are noted on the report, the unit RIMs will submit a follow-up memorandum with corrective actions to the BRM no later than 30 days after the initial inspection to ascertain if the findings have been corrected. The BRM will conduct a follow-up inspection upon RIM s indication all open discrepancies are closed. RIM will submit responses via AFRIMS regarding steps taken to correct discrepancies. Upon re-inspection, if all findings have been corrected the SAV will be closed. If all findings have not been corrected, the respective Commander will provide a report memorandum with corrective actions to the BRM and a new inspection scheduled by the BRM 30 days from receipt of the Commander s memorandum. This process will continue until the SAV is officially closed by the BRM Periodically conduct an electronic records review to ensure proper maintenance and utilization of Electronic Records Management (ERM) at all levels. The BRM will send a report of findings to each RIM. RIMs will notify affected records office and the appropriate records users will make corrections as necessary Conducts self-assessment of base records management program at least every 24 months. Self-assessment shall be signed by the base Commander and a copy of the report of selfassessment provided to the CRM/ARM as appropriate Directs RIMs and records users to conduct non-foia records management data calls and record searches upon receipt of an official request from the CRM or ARM.

7 5.33. Ensures all subordinate RIMs and records users complete and report responses to non-foia records searches in AFRIMS before closing out base response in AFRIMS Manages network permissions for all ERM users Coordinates on the local base Disaster and Recovery Plan and Continuity of Operations Plan (COOP) to account for the Vital Records Program. At a minimum, plan will include a description of how vital records are protected and recovered during a disaster or link to the vital records plan Reviews all support agreements for records management issues Managing Staging Areas: Manages a staging area for temporary storage of records pending destruction or transfer to a FRC including centralized storage of electronically stored inactive records Provides records staging service for Air Force tenant activities, or other DOD tenants as provided for in a support agreement Maintains custody of and accountability for staged records, and accountability for records transferred to other agencies or FRCs by maintaining the Standard Form (SF) 135, Records Transmittal and Receipt, in AFRIMS and an official copy on ERM drive or AFRO approved system, as prescribed in AFI Conducts an annual inventory of records in base staging area and validates holdings staged to FRC(s) Makes the determination as to whether records have met criteria for disposition. Where required, the BRM negotiates contracts for the disposal of paper-based records stored in the staging area Shall ensure vital records maintained in the staging area are readily identified and properly documented in AFRIMS as to their location in the staging area Training: Accomplishes initial training upon appointment and maintains proficiency by completing the Information Protection module of TFAT and annual role-based training Trains all base personnel professionals via Newcomers Briefings and upon request. Training shall include command-unique or local operating procedures or requirements, particularly where electronic storage processes are implemented Ensures that unit Commanders receive training regarding their role within the base s Records Management Program.

8 6. Records Inventory Manager (RIM). Serves as the point of contact for and monitors the Records Management Program of their organization. Shall have knowledge of the categories of records created and used by the units under his or her functional area. Serves as liaison with the BRM for their functional area. Recommend Commanders utilize Squadron CSS for this function. RIMs: 6.1. Accomplishes initial training upon appointment and maintain proficiency by completing the Information Protection module of TFAT Assist in preparing files maintenance and disposition plans Assist offices of record to retire eligible records Guide and assist organization personnel in maintaining and disposing of records Create and maintain the organization s master file plan in AFRIMS; account for all file locations both physical and electronic Review record and non-records drives to ensure proper records management practices and procedures Coordinate with BRM in conducting non-foia records management data calls and record searches upon receipt of an official request when records users are unavailable to respond in a timely manner Ensure subordinate records users complete and report responses to non-foia records searches in AFRIMS before closing out assigned unit(s) in AFRIMS Serve as the unit Privacy Act Monitor (PAM) unless otherwise designated by the organizational Commander. See AFI , Air Force Privacy Act Program, for PAM responsibilities. Base Records Management office will notify Base Privacy Act office of any modification to RIM appointments to ensure modification of appointment letters and proper Privacy Act training to new appointments Request specialized PAM training from the BRM office The RIM appointment letter will contain the following:

9 Table 1. RIM Appointment Letter Example Reference(s): AFI , Air Force Records Management Program AFI , Records Disposition-Procedures and Responsibilities AFMAN , Management of Records Air Force Records Disposition Schedule: AFI , The Air Force Privacy and Civil Liberties Program AFI33-322_MACDILLAFBSUP_MACDILLAFBGM_ The below listed individuals are appointed Primary and Alternate RIM(s) and Unit Privacy Monitor(s) for [State Squadron]: 2. The appointed individuals are subject matter experts (SMEs) and have the appropriate security clearance levels to access all records in the Unit to which they are assigned and have completed their Information Protection module of Total Force Awareness Training (TFAT). 3. Direct questions to appointees Attend required quarterly Training Meetings Conduct an electronic records review on their assigned areas every 3 months to ensure proper maintenance and utilization of ERM Coordinate with records users to ensure that the permission levels on the folders within their unit s electronic files area are correct. RIMs provide an ERM Permissions spreadsheet to the BRM to indicate all Users of the file plan by indicating the Security groups, names, addresses and rights (Read Only/Modify) of the individuals who will have access to the electronic files. RIMs must update and resubmit the spreadsheet as personnel change. BRM office will grant/remove the proper access levels to the appropriate individuals within their organizations. Documents which contain For Official Use Only (FOUO) and/or Privacy Act (PA) information will be restricted to those users with a need to know using security groups. The RIM and records users need to identify and make sure those folders are properly secured to appropriate individuals. The BRM will inspect the permission levels during the periodic ERM reviews to ensure compliance. 7. Records Users. Defined as ALL military, civilian, foreign nationals employed by the Department of the Air Force and contractors: 7.1. Complete Total Force Awareness Training (TFAT) Protecting Sensitive Information training on an annual basis to meet requirements directed in DoDD Create and declare records that sufficiently document the function, organization, administration, policies and procedures. File records IAW AF official procedures.

10 7.3. Notify the RIM upon notification of retirement, separation, or change of assignment. This is necessary to preserve any records in possession of the records user prior to the user s departure Comply with BRM/RIM requests to search using provided search terms, for all information including paper, non-electronic, and electronic within his or her assigned workspace, on his or her respective government provided desktop/laptop computer, and personal government accounts/.psts/and files in time to meet assigned suspense. The search will include all information, regardless of classification or format. All information in the custody, possession, or control of the Air Force is subject to the discovery process and may contain potentially relevant information. Notify the RIM when the search has been completed. If responsive information is found, notify the BRM as soon as possible for preservation guidance. Any potentially relevant information shall immediately be suspended from additional modification or destruction Must inform the BRM of any actual or potential unlawful or inadvertent removal, change, or destruction of Air Force records Must distinguish records from non-record materials and maintain personal papers separately Ensure official records containing FOUO, sensitive, classified, Privacy Act, or Personally Identifiable Information are properly marked and ensure records are filed so only personnel who have a valid need to know have access Should have knowledge of the E-Government Act including privacy aspects, the Paperwork Reduction Act, and the Federal Information Quality Act Are responsible for the physical and legal custody of all records the office creates or receives, regardless of their physical characteristics Ensure the office creates and captures essential records, permanently preserves valuable records, promptly stages eligible records and disposes of temporary records according to the RDS. Determines records access and enforces RM compliance Upon assignement to the base, receive an orientation to the office to include, at a minimum, what records are created and managed by the office, location of files, office filing procedures, and vital records, if applicable Promptly and properly transfer eligible records to the base staging area or the designated FRC. Works with the RIM to create the SF 135s utilizing the Staging module in AFRIMS Must be proficient on the equipment used for storing and retrieving records Know and implement the records maintenance, use, and disposition policies and procedures for records maintained.

11 7.15. Consult with the RIM as necessary on problems that affect creating, maintaining, using, and disposing of records Conduct non-foia records management data calls and record searches Provide office orientation to newly assigned personnel Provide training for users on proper electronic filing procedures. plan Assist/instruct users on how to create a shortcut to their respective electronic file 8. Naming Convention for electronic files and attachments. Labeling, naming, and filing conventions for e-records should be short and simple When creating a file name the following should be considered: Create unique file names. Duplicate file names will cause problems. File names should be simple and easy to understand. File names shall not exceed 60 characters Use only alpha-numeric characters. Avoid using special characters such as:? / $ % & ^ #. \ : < >. Special characters are often reserved for use by the operating system Use underscores (_) and dashes (-) to represent spaces. Spaces are often reserved for operating system functions and might be misread Use leading zeros with the numbers 0-9 to facilitate proper sorting and file management Dates should follow the ISO 8601 standard. Format dates as YYYY-MM-DD, YYYY_MM_DD, or YYYYMMDD. This maintains chronological order. If dates of creation are used, these can make following retention schedules easier Keep the file name as short as possible and always include the three character file extension preceded with a period (e.g.,.jpg or.doc) to prevent file corruption Utilize version number in the file name by using v or V and the version number at the end of the document when necessary. (Ex: 2004_Notes_v01.doc). Include the word Final on all final documents Order the pieces of information or elements being used to create the file name in the most logical order based on retrieval methods. For example, use the date first on events that are time specific or reoccurring, and use the name of the event for events that are infrequent and will be easier to find by name rather than date.

12 Based on the content/purpose of the file, they may be filed: Alphabetical, Chronological, Geographical, Numerical, or Organizational Sample Naming Conventions: Alphabetical: What-is-it_Unit-Office_YYYYMMDD Explanation GPCApptLtr_6CS-SCXR_ GPC appointment ltr for 6CS/SCXR dated 11 Sep 16 Chronological: YYYYMMDD_Unit-Office_What-is-it _6CS-SCXK_FacMgrAptLtr _6CS-CSS_StaffMtgSlides Explanation Facility Manager Appt Ltr for 6CS/SCXK dated 01 SEP CS/CSS Staff Meeting Slides Geographical: Where-is-it_What-is-it_Unit-Office_YYYMMDD Bldg262_FacMgrAptLtr_6CS-SCX_ Explanation Facility Manager Appt Ltr for Building 262 Numerical: Number_What-is-it_Unit-Office Explanation _HP-Elitbook_6CS HP Elitebook laptop with serial number Organizational: Unit-Office_What-is-it_YYYYMMDD 6CS-SCXK_FacMgr-AptLtr_ Explanation Facility Manager Appt Ltr for 6CS/SCXK dated 01 SEP ERM Folder Naming Conventions: Records professionals will not be able to mirror File plan titles descriptions reflected in AFRIMS. They are too long for operating systems. Abbreviate folder names where possible Folder numbers will be utilized to agree with the file plan sequence created in AFRIMS for each office of record Title of Folders: 00-AbbrviateTbleNmes_NoSpaces_LmitUseofUndrscore Subfolders/categories are authorized in ERM but Do NOT have to be reflected on the File plan in AFRIMS.

13 Figure 1. Sample ERM Folder Naming Conventions.

14 BY ORDER OF THE SECRETARY OF THE AIR FORCE AIR FORCE INSTRUCTION JUNE 2012 Incorporating Change 1, 18 December 2014 Certified Current 9 April 2015 MACDILL AIR FORCE BASE Supplement 16 JUNE 2015 Communications and Information RECORDS MANAGEMENT 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: SAF/A6PP Supersedes: AFI , 7 October 2003 (MACDILLAFB) OPR: 6 CS/SCXK Certified by: SAF/A6PP (Lt Col Hewett Wells) Pages: 24 Certified by: 6 CS/CC (Lt Col Davis) Pages:4 Supersedes: AFI33-322_MACDILLAFBSUP, 12 March 2004 This Air Force instruction (AFI) implements DoDD , DoD Records Management Program, DoDD , Support of the Headquarters of Combatant and Subordinate Joint Commands, Air Force Policy Directive (AFPD) 33-3, Information Management, and DoD Standard (DoD STD), Design Criteria Standard for Electronic Records Management Software Applications. It establishes roles and assigns responsibilities for the Air Force Records Management Program. This instruction applies to all Air Force personnel to include active duty, guard, and reserve military, civilian, foreign nationals employed by the Department of the Air Force and Air Force contractor personnel. Contractors who perform roles associated with records management, defined in this instruction, must fully comply with the duties for their assigned role. Performance work statements for contracts awarded to perform any of the records management roles in this instruction will reflect this requirement. This instruction

15 2 AFI33-322_MACDILLAFBSUP 16 JUNE 2015 sets forth policies regarding penalties associated with unauthorized concealment, removal, mutilation, obliteration or destruction of records without proper authority in paragraph 1.2 that are applicable to civilian and military personnel, including the Air Force Reserve and Air National Guard. Failure by military personnel to observe prohibitions and mandatory provisions of this directive in paragraph 1.2, is also a violation of Article 92, Uniform Code of Military Justice. Violations by Title 32 ANG military personnel may subject members to prosecution under their respective State Military Code or result in administrative disciplinary action without regard to otherwise applicable criminal or civil sanctions for violations of related laws. Violations may also result in administrative disciplinary action for civilian and contractor employee personnel. In the case of a conflict, this AFI takes precedence over any Air Force publication that addresses Air Force records. Send recommended changes or comments to Cyberspace Capabilities and Compliance (SAF/CIO A6X), 1800 Air Force Pentagon, Washington DC , through appropriate channels, using Air Force (AF) Form 847, Recommendation for Change of Publication. The authorities to waive wing/unit level requirements in this publication are identified with a Tier ( T-0, T-1, T-2, T-3 ) number following the compliance statement. See AFI , Publications and Forms Management, Table 1.1 for a description of the authorities associated with the Tier numbers. Submit requests for waivers through the chain of command to the appropriate Tier waiver approval authority, or alternately, to the Publication OPR for non-tiered compliance items. Ensure that 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 Air Force Records Disposition Schedule (RDS) located in the Air Force Records Information Management System (AFRIMS). The use of the name or mark of any specific manufacturer, commercial product, commodity, or service in this publication does not imply endorsement by the Air Force. (Added-MACDILLAFB) This supplement implements AFI33-322, Records Management Program. It establishes procedures for the 6th Air Mobility Wing (6AMW) records management program. This supplement applies to all military, civilian and contractor personnel assigned to the 6AMW as well as any tenant organizations with a support agreements requesting records management support. Refer recommended changes and questions about this publication to the Office of Primary Responsibility (OPR) using AF Form 847, Recommendation for Change of Publications; route AF Form 847s from the field through each Group to the OPR. 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) located at SUMMARY OF CHANGES This interim change revises AFI by (1) adding tiering, IAW AFIS and AFI , Publications and Forms Management, (2) adding to roles and responsibilities of the Air Force Records Officer and the Command Records Managers and Agency Records Managers, and (3) updating office symbols, links, and addresses to reflect current organizations. (Added-MACDILLAFB) This document has been substantially revised and must be completely reviewed. Major changes include, but are not limited to the following: requirements

16 AFI33-322_MACDILLAFBSUP 16 JUNE to appoint records professionals when one is to be absent more than 90 days and to appoint them 30 days prior to departure; requirement of staff assistance visits (SAVs) to be conducted annually along with a quarterly schedule of SAVs; detailed processes for noncompliant SAVs; required records management items to include in Functional Area Records Manager (FARM) continuity binders, FARM requirements to attend quarterly Records Management Training; requirements of FARMs and Records Custodian (RCs) to conduct periodic electronic records reviews; require all FARMs to serve as Privacy Act Monitors (PAMs) for their unit. 1. General Definition of Records Roles and Responsibilities Commanders Users Records Professionals Table 6.1. (Added-MACDILLAFB) BRM Staff Assistant Visit Schedule for FARMs Portfolio Manager (PfM) of IT investments Program Manager (PM) of an IT investment Publication and Form Office of Primary Responsibility (OPR) ATTACHMENT 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION General. Air Force records serve a crucial role in supporting the mission of the Air Force by ensuring information is available to support effective decision making through authoritative information and to protect the legal rights of the Air Force, our employees, and the public. Records document official business, serve as the memory of the organization, provide a record of past events, and are the basis for future actions. This publication defines the roles and responsibilities to effectively manage Air Force records. This publication establishes the Air Force program for Records Management (RM) Air Force units at all levels have a requirement to document their organization s, functions, policies, procedures, and activities. This documentation serves as the official record of the Air Force. These records must be preserved by implementing effective lifecycle management procedures and must be managed systematically to ensure they are complete, accurate, trustworthy, and easily accessible. Every Air Force activity must manage its records to comply with legal accountability requirements Personnel employed by the Department of the Air Force, shall not conceal, remove, mutilate, obliterate or destroy records without proper authority. Unauthorized concealment, removal, mutilation, obliteration or destruction of records, or any attempt to do so, is a violation of Title 18, U.S.C., Section 2071 and may be punished by up to three years confinement and a fine. Failure to obey the prohibitions in this paragraph is also a violation

17 4 AFI33-322_MACDILLAFBSUP 16 JUNE 2015 of Article 92, Uniform Code of Military Justice. Failure of civilian employees to follow the prohibitions in this paragraph may also result in administrative disciplinary action under applicable civilian personnel instructions without regard to otherwise applicable criminal or civil sanctions. (T-0) The keys to an effective Records Management Program are the integrity of the filing system and effectively resourced and trained personnel. The filing system ensures a standard methodology for filing, storing, retrieving, and ultimately disposing of records according to published retention schedules. Criteria for establishing a file plan is provided in AFMAN along with the AF RDS. The AF RDS is located in the AF Records Information Management System (AFRIMS). 2. Definition of Records. Consistent with the definition of records used in 44 U.S.C records include all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and is preserved or is appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policy, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Materials exempt from the definition of records include extra copies of documents kept only for reference, stocks of publications and processed documents, and library or museum materials intended solely for reference or exhibit. 3. Roles and Responsibilities. The Air Force Chief Information Officer (SAF/A6 & CIO) has overall responsibility for the Air Force Records Management Program. The Policy and Compliance Division (SAF/A6PP ) develops policy and guidance and administers procedures necessary to implement the Air Force Records Management Program. The Air Force Records Officer (AFRO) administers the program for the CIO, represents the Secretary of the Air Force (SAF) on records management issues, and oversees the legal requirements for the management of Air Force records Effective management of records for an organization, the scope and size of the Air Force, requires a network of records professionals. The network of roles include the AFRO, Command and Agency Records Managers (CRM/ARM), Base Records Managers (BRM), Functional Area Records Managers (FARM), Chiefs of Office of Record (COR) and Records Custodians (RC). 4. Commanders. Commanders and civilian directors at all levels must implement the AF Records Management Program for their organizations IAW this instruction. Commanders and civilian directors: 4.1. Have responsibility for the physical and legal custody of all records within their organization and for ensuring the proper management of all records IAW the AF Records Management policy and guidance MAJCOM A6s serviced by the centralized CRM function at the Air Force Network Integration Center (AFNIC) shall be responsible for working with the CRM to obtain resolution of records management issues at units within their respective commands Commanders and civilian directors of field operating agencies shall appoint in writing an ARM to manage the records management program within their agency. The appointment

18 AFI33-322_MACDILLAFBSUP 16 JUNE memorandum shall be provided to the AFRO. Exceptions are authorized for field operating agencies (FOA) within the National Capital Region that receive records management support through agreement with the HQ USAF Records Manager. (T-2) Host Base Wing Commanders and supporting Air Force Joint Base Wing Commanders shall appoint in writing a BRM to manage the records management program within their Wing and/or Joint Base. The appointment memorandum shall be provided to their respective CRM/ARM. The minimum recommended grade for the primary BRM is a GS-09 or MSgt (7-level). (T-3) Group and/or Squadron Commanders shall appoint in writing, subject matter experts for each functional area to serve as FARM and provide appointment letter to the BRM. Depending upon span of control the recommended minimum grade is a GS-05 or SrA (5- level). Multiple FARMs may be required based on the complexities of the mission and the size of the organization. The FARM shall have overall understanding of the functions being performed by the organization and the types of records required to accurately document its functional procedures and activities. If the appointed FARM is a military member, an alternate is required to ensure coverage during extended periods of absence due to training and/or deployment. (T-3) (MACDILLAFB) Group Commanders shall appoint Group primary and alternate FARMs who are responsible for the Group s and associated Squadron s records management program. Each Squadron Commander shall appoint Squadron FARMs who are responsible for ensuring that Squadron s records management program is effectively managed. Upon notification that an appointed FARM is unable to fulfill his/her duty due to circumstances removing him/her from their normal duty for more than ninety (90) days (e.g., Permanent Change of Station (PCS), temporary duty (TDY), etc.), FARMs shall be replaced 30 days prior to departure date to allow sufficient time for training and integration into the program. All FARM Appointment Letters shall be coordinated and approved through the Appointment Letter Management Tool (ALMT) located on the 6 Communications Squadron SharePoint site: ttps://eim.amc.af.mil/org/6cs/default.aspx (Added-MACDILLAFB) Group and/or Squadron Commanders will appoint a primary and alternate FARM. The FARM should be given the managerial authority to carry out their duties (Added-MACDILLAFB) Group and/or Squadron Commanders will ensure the appointed FARMs are subject matter experts (SMEs) within their functional area; have the appropriate security clearance levels to access all records; and are current in their annual Information Protection module of Total Force Awareness Training (TFAT) Will support and ensure AF records management data calls and records searches are conducted and completed IAW defined requirements Will ensure assigned records professionals have appropriate clearance to access classified records (paper/electronic); to include sensitive compartmental information facilities (SCIF), to ensure proper oversight of classified records and to comply with AF records management data calls and records searches. The BRM, FARM, and RC have a valid need to access Air Force records for the purpose of ensuring compliance with records management policy and guidance.

19 6 AFI33-322_MACDILLAFBSUP 16 JUNE Each installation commander shall maintain a base staging facility, ensuring the facility is compliant with Title 36, CFR, Parks, Forests, and Public Property, Chapter XII, National Archives and Records Administration, Part 1234, Facility Standards for Records Storage Facilities, and that funding is available to cover costs associated transfer to AFRO authorized records centers. (T-0) Each installation commander shall direct the BRM to conduct a base RM program selfassessment every 24 months. Provide signed report of self-assessment to CRM/ARM as appropriate. (T-1). 5. Users. Defined as all military, civilian, foreign nationals employed by the Department of the Air Force and contractors: 5.1. Complete Total Force Awareness Training (TFAT) Information Protection training on an annual basis to meet requirements directed in DoDD Create and declare records that sufficiently document the function, organization, administration, policies and procedures. File records IAW office procedures Notify the office RC upon notification of retirement, separation, or change of assignment Comply with FARM/RC request to search using provided search terms, for all information including paper, non-electronic, and electronic within his or her assigned workspace, on his or her respective government provided desktop/laptop computer, and personal government accounts/.psts/and files in time to meet assigned suspense. The search will include all information, regardless of classification or format. All information in the custody, possession, or control of the Air Force is subject to the discovery process and may contain potentially relevant information. Notify the RC when the search has been completed. If responsive information is found, notify the RC as soon as possible for preservation guidance. Any potentially relevant information shall immediately be suspended from additional modification or destruction Must inform the COR and RC of any actual or potential unlawful or inadvertent removal, change, or destruction of Air Force records Must distinguish records from non-record materials and maintain personal papers separately (Added-MACDILLAFB) Ensure official records containing FOUO, sensitive, Privacy Act, or Personally Identifiable Information are properly marked and the RC is immediately notified to ensure records are filed so only personnel who have a valid need to know have access. 6. Records Professionals. Records professionals must protect record content and comply with FOUO, sensitive, Privacy Act, and other policy and legal requirements. (T-0) Air Force Records Officer Works with the National Archives and Records Administration (NARA) and General Services Administration (GSA) using the guidelines from 36 Code of Federal Regulations (CFR), Parks, Forest, and Public Property and 41 CFR, Public Contracts and Property Management.

20 AFI33-322_MACDILLAFBSUP 16 JUNE Develops and issues policies governing life-cycle management of Air Force records Works with the Archivist of the United States in applying standards, rules, and techniques to improve managing records of any media type, to improve how the Air Force identifies, maintains, and protects permanently valuable records, and separates and disposes of records of temporary value in accordance with Titles 36 and 41 CFR Certifies to the Archivist of the United States that all temporary records meeting their retention period are no longer of value to the Air Force and shall be disposed for Agency, HAF and ANG units. Serves as the approving official for the transfer of records with a permanent retention and the Transfer Approving Official in NARA s Electronic Records Archives (ERA) system for the approval and transfer of permanent electronic Air Force records to the Archivist Reports to the Archivist of the United States potential unlawful removal, change, or destruction of Air Force records Establishes guidance and processes to ensure the Air Force properly creates and preserves records that document all aspects of its business to protect the rights of the United States Government and of persons directly affected by Air Force actions. Ensures that all records including , electronic documents, databases, and those in automated information systems, Web 2.0 technology or social media, generated by processes and prescribed in Air Force publications are scheduled. Ensures that system developers include official records management requirements in automated information systems development and redesign Applies DOD records management functional and system requirements to all electronic record-keeping systems Obtains written approval or concurrence from the Comptroller General of the United States to dispose of records of claims and demands by or against the United States Government or accounts affecting the United States Government Negotiates agreements to transfer Air Force records to NARA, Federal Records Centers (FRC), other Federal agencies, or private organizations and implements agreements to store, service, dispose of, access, or use records Publishes an RDS authorizing disposal of organization records and directing prompt and proper retention of temporary records and retirement of permanent records. Serves as the Certifying Official in ERA for submission of an AF Records Schedule to NARA for approval Conducts or directs evaluations of the Air Force Records Management Program during staff visits or Inspector General (IG) team visits, ensuring compliance with Federal, DOD, and Air Force requirements. This may include staff visits to Command or Agency Records Managers as needed or upon request Issues guidance on authenticating records Directs CRMs/ARMs/BRMs/FARMs and RCs to conduct non-foia record searches upon receipt of a written request from a valid legal or Federal authority.