OFFICE OF THE SECRETARY

DEPARTMENT OF THE AIR FORCE WASHINGTON, DC

HOI33-17_AFGM2018-01

19 March 2018

MEMORANDUM FOR DISTRIBUTION C FROM: SAF/AAI SUBJECT: Air Force Guidance Memorandum to Headquarters Operating Instruction

(HOI) 33-17, Headquarters Air Force Records Management Program.

References: (a) Interim Change to Air Force Instruction 33-322, Air Force Records Management (b) Headquarters Operating Instruction (HOI) 33-17, Headquarters Air Force Records Management Program.

By Order of the Secretary of the Air Force, this Air Force Guidance Memorandum (AFGM) immediately implements a change to HOI 33-17, Headquarters Air Force Records Management Program. Compliance with this Memorandum is mandatory.

The attachment to this memorandum contain guidance changes to HOI 33-17.

This Memorandum becomes void after one year has elapsed from the date of this Memorandum, or upon incorporation by interim change to, or rewrite of HOI 33-17, Headquarters Air Force Records Management Program, whichever is earlier.

PATRICIA J. ZARODKIEWICZ Administrative Assistant

1 Attachment: 1. Changes from Incorporating Change (IC) to Air Force Instruction (AFI) 33-322, 25 May 2017

HOI33-17_AFGM2018-01

Attachment 1

Changes Resulting from IC to AFI 33-322, 25 May 2017

SUMMARY OF CHANGES.

Unless otherwise noted, throughout the HOI, references to the responsibilities of the Chief of the Office of Records (COR), Functional Area Records Manager (FARM) and Records Custodians (RCs), and the term “Office of Record” are hereby deleted. HAF two-letter organizations (commanders, civilian directors or their designees) have added responsibilities. This change reflects the elimination of those roles and the shift of responsibilities within the records management program in accordance with (IAW) AFI 33-322. Throughout the HOI, references to “vital records” are replaced with “essential records”, and “file plan” is replaced with “inventory of records.” Additional local policies in reference to senior leaders’ records management responsibilities were also added.

1.1.1. Added: This policy has been incorporated into the HAF RM Plan for organizations within HAF as required by AFI 33-322, para 4.10. HAF two-letter organizations will comply with this HOI and the RM Plan as the standardized, repeatable process for managing records. HAF RM Plan is located in the HAF Records Management SharePoint Site: https://cs2.eis.af.mil/sites/11841/hafrm/HAF%20RECORDS%20MANAGEMENT%20rm%20PLAN/Forms/AllItems.aspx.

2.1.3. Conducts virtual Staff Assistance Visits (SAVs) every two years and provide deficiencies and guidance for 2-letter organizations to take corrective action.

2.1.4. Coordinates and ensures records searches are completed when the Air Force (AF) is required by law or other legal authority to search for records pertaining to a specific subject or event, as detailed in Paragraph 2.7.

2.2. HAF Two-Letter Organizations (Commanders or Civilian Directors) will:

2.2.1. Implement the Air Force AF RM program IAW AFI 33-322 for their organization within 60 days of taking command (or from the date of this AFGM) through the development and submission of an RM Plan to the HAF RM office.

2.2.1.1. Added: The commander or director shall comply with this HOI and the HAF RM Plan.

2.2.2. Designate organization RM POCs in writing to perform some or all records management responsibilities for the commander or director. Notify the HAF RM office in writing of the name, rank, phone number, email address of the RM POCs appointed. Designation should be made to someone with adequate authority and a thorough knowledge of the office’s mission and the records created by the organization. Ultimately, senior leaders in HAF Two-Letter Organizations have physical possession/supervision of records in the organization and retain responsibility for the legal custody of the records in his or her office of record. In cases of large and/or complex organizations, additional RM POCs may be appointed as needed to maintain a manageable span of control. However, only the Primary and Alternate RM POCs are appointed in writing to the HAF RM office. Sample appointment letter is located on HAF RM SP Site: https://cs2.eis.af.mil/sites/11841/privacy/TEMPLATES/Forms/AllItems.aspxOrganization. RM POCs will:

2.2.2.1. Manage the RM Programs for all assigned offices of record and perform duties per AFI 33-322, Air Force Manual (AFMAN) 33-363, and this HOI as designated by the commander or director, including creation, use, preservation, protection, and authorized destruction of electronic and paper records.

2.2.2.2. Added: Complete initial HAF RM training within 90 days of appointment and completes annual role-based training IAW AFMAN 33-363, Paragraph 6.1.1.2.6.1.

2.2.2.3. Added: Ensure additional RM POCs designated by the commander or director to perform internal or office RM POC duties complete required RM training within 90 days of appointment. A record of completed training must be annotated in Air Force Records Information Management System (AFRIMS) and documentation must be uploaded to SharePoint.

2.2.2.4. Added: Provide guidance to all users that they have the responsibility to ensure that information within their care is available to support effective decisions, meet legal and regulatory data calls, document official business, and to pass on custodianship when appropriate. Users must

protect record content and comply with Privacy Act, Personally Identifiable Information (PII), sensitive or classified information, and other policy and legal requirements.

2.2.2.5. Added: Track all users’ RM training using HAF RM Training Tracker on SharePoint.

2.2.2.6. Added: Create, maintain, approve, and review AFRIMS inventory of records for all assigned offices of record to ensure compliance with AFMAN 33-363, Chapter 2. Ensure the AFRIMS inventory of records identifies all files in the office.

2.2.2.7. Added: Conduct office SAVs with assigned offices of record at least once every 24 months using checklists provided through AFRIMS, prepare reports of findings in AFRIMS, and establish suspense for corrective actions to be taken including improvements in the creation, use, preservation, and authorized destruction of electronic records.

2.2.2.8. Added: Ensure records search procedures, discovery, and litigation hold processes are performed IAW AFMAN 33-363, Chapter 7 to include completion of required actions, certifications, documentations and/or Litigation Hold Memo and Worksheets associated with records searches specified in Paragraph 2.7. See AFMAN 33-363 for Litigation Hold Acknowledgment Memo and Certified Litigation Hold Worksheet Templates.

2.2.2.9. Added: Produce and coordinate on all AF Form 525, Records Disposition Recommendation, or changes to the AF Records Disposition Schedule (RDS) and submits to HAF RM Office. Ensures AF Form 525s are coordinated by all relevant stakeholders prior to submission to the HAF RM Office.

2.2.2.10. Added: Process records transfers for all assigned offices of record.

2.2.2.10.1. Added: Prepare and submit Standard Form (SF) 135 to HAF RM Office for approval and accession number for all records retirement actions from assigned offices. Certify on the SF 135 that classified records have been reviewed for possible downgrading or declassification per applicable directives.

2.2.2.10.2. Added: Arrange shipments of records; assure boxes are properly packed and contain appropriate shipping documents.

2.2.2.10.3. Added: Maintain a master file of all SF 135s prepared by assigned offices of record according to disposition.

2.2.2.10.4. Added: Upon deactivation or re-organization of an Office of Record, prepare SF 135s to transfer all records to the gaining organization(s) or to the appropriate Federal Records Center (FRC).

2.2.2.11. Added: Work with the Information Technology (IT) Portfolio Manager or organization asset owner, and the Program Manager of an IT investment to ensure proper disposition and records management guidance is applied in Information Technology Investment Portfolio System (ITIPS). All RM-related questions concerning records stored in ITIPS should be addressed to the organization RM POCs. The RM questions must be completed prior to the HAF RM validation and recommendation for RM compliance.

2.2.3. Ensure RM POCs initiate corrective actions identified during a virtual SAV and provides written response to all virtual SAV findings by suspense given in the SAV report.

2.3. (All) Deleted.

2.4. (All) Deleted.

2.5. (All) Deleted.

2.6.2. Manage each record’s movement throughout the HAF staffing process in accordance with HOI 33-3, Information Workflow Management & Correspondence Preparation. Task

Management Tool (TMT) related records should be archived to the Electronic Records Management (ERM) in an approved format within 10 working days of TMT taskers’ final closure. Action officers will refer to the RDS in AFRIMS for disposition guidance on TMT tasker records.

2.6.3. Added: Responsible for managing electronic records uploaded to TMT. Currently, TMT is not an official Electronic Record Keeping System; it is an IT infrastructure application to convey task deliverables from the tasked organization to the tasking organization. Records dispositions are not performed in TMT.

2.8. Added: Senior Leaders RM Responsibilities.

2.8.1. Added: Senior Leaders’ Email Account Creation and Archiving Process. The Capstone implementation will affect General Officers (GOs), Senior Executive Service (SES) civilians, and civilian equivalents, including all Senior Leader and Senior Technician personnel assigned to HAF and NCR, using Defense Information System Agency's Non-Classified Internet Protocol Router Network (NIPRNet) and Secret Internet Protocol Router Network (SIPRNet) Defense Enterprise Email (DEE) AF accounts. The Capstone process is IAW with SAF/CIO’s memo dated 4 Oct 2016, which states “the journaling of emails created and received by individuals with the emails deemed to merit permanent retention and eventual accessioning to the National Archives and Records Administration (NARA).” Director/Commander or organization RM POCs should ensure account creation follows local guidelines.

2.8.1.1. Added: Journaling has been added to the 844th Communication Focal Point account creation process for all SESs and GOs assigned to HAF. However, the RM POCs should coordinate with personnel responsible for requesting email account creation and ensure that journaling is enabled for newly assigned and newly promoted SESs and GOs within the organization. An incident ticket should be submitted to the 844th Communication Focal Point requesting the feature be enabled for their SESs and GOs.

2.8.2. Added: Social Media (Official and Personal) Account Creation and Archiving Process. The transition and archiving of all official social media accounts across the Department of Defense (DoD), including accounts run by or for Presidential appointees confirmed by the Senate and other political appointees must follow the guidance either be per SECDEF Memo, 6 Jan 2017, which states “Retention and disposition of the records associated with the accounts should

be managed in accordance with the appropriate DoD Component records schedule. Components should work with their records managers to ensure proper compliance.” In addition, GOs, SES civilians, and civilian equivalents, including all Senior Leader and Senior Technician personnel should receive (as part of their initial and annual training) informational materials (such as HAF senior leaders’ tri-fold for social media) from HAF two-letter organizations, or organization RM POCs on the creation and archiving of social media account. Director/Commander or organization RM POCs should coordinate with senior leaders assigned to the organization to ensure they understand their responsibilities on the proper archiving procedures of social media accounts when transitioning.

2.8.3. Added: Senior Leaders In-processing and Out-processing Process/Senior Leaders’ Exit Briefings Process and Tracking. GOs, SES civilians, and civilian equivalents, including all Senior Leader and Senior Technician personnel assigned to HAF must in process through the commander/director or organization RM POCs to receive initial RM training which includes the awareness of Capstone process and senior leaders RM roles and responsibilities to include archiving social media accounts. Before transitioning or retiring, GOs, SES civilians, and civilian equivalents, including all Senior Leader and Senior Technician personnel must receive an out processing briefing from the Director/Commander or organization RM POCs regarding records management policies and procedures, IAW SAF/AA, 18 Nov 2016 Memo. Out-processing includes review of RM policies for retiring or separating senior leaders’ trifold and RM AF transition of political appointee slides. The acknowledgement memo signed by departing senior leader should be tracked by the organization RM POCs.

2.8.4. Added: Training Materials for Senior Leaders. The training materials and other informational products are located in the HAF Training Support Site: https://cs2.eis.af.mil/sites/11841/hafrm/MANAGEMENT%20OF%20OFFICIAL%20SOCIAL%20MEDIA%20ACCOUNT/Forms/AllItems.aspx

2.9. Added: Users, defined as all military, civilians, foreign nationals employed by the Department of the Air Force and contractors, will:

2.9.1. Added: Comply with all users' responsibilities specified in AFI 33-322 and AFMAN 33-363. All users have the responsibility to ensure that information within their care is available to support effective decisions, meet legal and regulatory data calls, document official business, and to pass on custodianship when appropriate. Users must protect record content and comply with Privacy Act, Personally Identifiable Information (PII), sensitive or classified information, and other policy and legal requirements

2.10. Added: Records Holders (RHs), defined as personnel who may have custody, possession, or control of information relevant to discovery and litigation hold proceedings, will comply with records search and litigation hold procedures IAW AFMAN 33-363.

2.10.1. Added: Conduct a thorough search of all information including paper, non-electronic, and electronic within their assigned workspace, on their respective government provided desktop/laptop computer, and personal government e-mail accounts/.psts/and files using the search terms provided in time to meet the AFRIMS assigned suspense.

2.10.2. Provide additional search declarations and other documentation necessary to substantiate their involvement in the discovery/litigation hold process.

3.3.3.1. Added: Unless otherwise described in the "inventory of records" in AFRIMS, electronic records will continue to be saved on official ERM or dedicated shared records network drives. SharePoint will not be used to store electronic records with PII. HAF organizations can store e-records with PII on SharePoint, provided data-at-rest encryption is implemented.

3.7. Added: The HAF RM Training support site (on SharePoint) will host the initial role-based RM training for senior leaders assigned to HAF two-letter organizations and organization RM POCs, as well as All Users’ RM training, unless superseded by AF-provided RM training for all users.

3.7.1. Added: All Users’ RM Training. IAW federal, DoD and AF regulations and instructions, all federal employees, to include contractors must complete RM training annually. The HAF RM training consists of familiarization of RM guidance and individual RM responsibilities. As a minimum, HAF users must review the HAF RM ALL USERS training slides located in the HAF RM SharePoint Site: https://cs2.eis.af.mil/sites/11841/hafrm/ALL%20USERS%20RM%20AWARENESS/RM%20Training%20_All%20Users_20170619.pptx. Organizations RM POCs use SharePoint for tracking training completion. Contact the HAF RM Office for additional information.

3.7.2. Added: Initial Role-Based RM Training. The initial role-based training for senior leaders and/or organization RM POCs will include two modules. The first module consists of Specialized RM training through detailed review of PowerPoint slides. The second module consists of viewing the AFRIMS training video. After completion of local Initial RM Training located at https://cs2.eis.af.mil/sites/11841/hafrm/Training%20Documents/Initial%20RM%20Training.aspx?PageView=Shared, commanders/directors and/or organization RM POCs will download, fill out, and digitally sign, using Common Access Card (CAC) certificate the RM Certification Statement located at the same site. The signed RM Certification Statement will be attached to the appropriate entry on the Unit RM POCs Contacts List on SharePoint, and the date of the RM Certification Statement will be the “Initial Training” date used on AFRIMS and in the entry on SharePoint. Note: Annual role-based Advanced Distributed Learning Service (ADLS) training is still required. Contact the HAF RM Office for additional information.

3.8. Added: AFRIMS and New Terminology Based on Roles. Due to changes in roles outlined in IC to AFI 33-322, Records Management Program, changes to the AFRIMS User Interface is coming soon. Until these changes are incorporated, the following interpretation to the current text in AFRIMS are as follows:

3.8.1. Added: When “Office POC” appears in AFRIMS, treat this as "Office records management point of contacts or previously known as Records Custodian" or "RC".

3.8.2. Added: When “Unit POC” appears in AFRIMS, treat this as "organization records management point of contacts or previously known as "Functional Area Records Manager" or "FARM".

3.8.3. Added: When “Commander” appears in AFRIMS, treat this as “Commander/Director” or “Chief/Director of Staff” or HAF two-letter or previously known as “Chief of Office of Record" or "COR".

3.8.4. Added: When "File Plan" appears in AFRIMS, treat this as "Inventory” of Records.

3.8.5. Added: When "Vital Records" appears in AFRIMS, treat this as "Essential Records".

4.0. References: (Added)

4.1. SAF/ CIO Memo, A New Approach to Managing Senior Leaders' Emails, 4 Oct 2016

4.2. SECDEF Memo, Guidance on Transition and Archiving of Official Social Media Accounts, 6 Jan 2017

4.3. SAF/AA Memo, Records of Departing Department of the Air Force-Confirmed Political Appointees, 18 Nov 2016

BY ORDER OF THE HEADQUARTERS OPERATING INSTRUCTION 33-17 SECRETARY OF THE AIR FORCE 26 DECEMBER 2013

Communications and Information

HEADQUARTERS AIR FORCE RECORDS MANAGEMENT PROGRAM

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY ACCESSIBILITY: HAF Publications and forms are available on the Air Force e-Publishing

website: http://www.e-publishing.af.mil/.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: SAF/AAII Certified by: SAF/AAII (Mr. Kent Chadrick) Supersedes: HOI 33-17, 23 June 2009 Pages: 20 This Headquarters Operating Instruction (HOI) implements Air Force Policy Directive (AFPD) 33-3, Air Force Information Management and is consistent with AFI 33-322, Records Management Program. It applies to all Headquarters Air Force (HAF) military, civilians, and contractor personnel. User must comply with Air Force Instruction (AFI) 33-322, Records Management Program, which provides overarching Air Force Records Management program guidance, to include roles and responsibilities; and must ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual (AFMAN) 33-363, Management of Records, and disposed of in accordance with the Air Force Records Disposition Schedule (RDS) located at https://www.my.af.mil/afrims/afrims/afrims/rims.cfm. In addition to expanding on that guidance, this HOI explains the processes of retiring, transferring and accessing records staged in the Washington National Records Center (WNRC) in reference AFI 33-364, Records Disposition—Procedures and Responsibilities. Refer recommended changes and questions about this publication to the Office of Primary Responsibility (OPR) using the AF IMT 847, Recommendation for Change of Publication, route AF IMT 847s from the field through the appropriate functional chain of command. SUMMARY OF CHANGES This document has been substantially revised and must be completely reviewed. 1. Overview. Records play a vital role in managing and operating Air Force activities. In simple terms, records document official business, serve as the memory of the organization, record past events, and are the basis for future actions. Every Air Force activity must manage its records to achieve legal and regulatory accountability requirements. There are four keys for ensuring these requirements are met: (1) The integrity of the filing system--a system which ensures a standard methodology for filing, storing, preserving, protecting, retrieving, and ultimately disposing of records according to published retention and disposition schedules such as the Air Force Records Disposition Schedule (AF RDS); (2) A Chief of the Office of Record (COR) who understands the importance of records and his/her responsibilities (see Para 9); (3) A Records Custodian (RC) who consults with the COR or 33-322 (FARM) to resolve

2 HOI33-17 26 DECEMBER 2013

problems with the creation, maintenance, use and disposition of records, and who consistently consults with each Action Officer (AO) to ensure a full understanding of the overall records management responsibilities; and (4) A trained AO who conscientiously manages and files in a timely manner all records within their area of responsibility IAW this HOI (see Para 12). 1.1 All HAF organizations must implement an effective records management process in order to

comply with this HOI and to protect the rights of the U.S. Government, its employees, and persons directly affected by Air Force actions.

1.2. Contracts and performance work statements with respect to the use and retention of Air Force

records by contractors must include Air Force record keeping requirements. 1.3. HAF organizations at all levels must manage records systematically to make sure they are

complete, accurate, trustworthy, and easily accessible. HAF leaders must document their organization, function, and activities and preserve their records by implementing effective life-cycle management procedures within their areas of responsibility.

2. Responsibilities.

2.1. HAF Records Manager (SAF/AAII). Serves as Command and Base Records Manager for HAF organizations exercising procedural and staff responsibilities as specified in AFI 33-322. The HAF Records Manager:

2.1.1. Provides liaison between HAF organizations and the AFRO and Federal Records Centers

(FRC) on transfer, retirement, retrieval, and destruction of records.

2.1.2. Provides consulting, technical advice, and assistance to FARMs as required or requested. This assistance does not include the actual establishing, maintaining, or disposing of files.

2.1.3. Conducts staff assistance visits (SAVs) to each FARM at least once every 24 months to

discuss and evaluate program compliance – see Attachment 5 SAV Guidance. Visits Offices of Record as required or requested.

2.1.4. Conducts records searches when the Air Force is required by law or other legal authority to

search for records pertaining to a specific subject or event, as detailed in Paragraph 12 below.

2.1.5. Coordinates changes to appropriate AFIs, AFMANs, HOIs, pamphlets, handbooks, etc. for impact to records management such as creation of new types of records due to processes prescribed in publications, presence of IT systems and databases whose records data need to be properly scheduled with an approved records disposition, discussion of records retentions which do not appear in the AF Records Disposition Schedule and are not approved by the National Archives and Records Administration.

2.1.6. Coordinates requests from the FRC for disposal of records with office which generated the records.

2.1.7. Assigns accession numbers from NARA’s Archives and Records Centers Information System (ARCIS) to all Standard Forms 135 (SF 135), Records Transmittal Receipt.

2.1.8. Signs as “Transferring Agency Official” in SF 135, Item 2, for transfer of records to

Washington National Records Center (WNRC).

HOI33-17 26 DECEMBER 2013 3

2.1.9. Maintains a master file of SF 135s for all records retirement or transfer by HAF.

2.1.10. Assists with retrieval of records from WNRC as detailed in Attachment 4, Para 2.

2.1.11. Evaluates and approves, prior to implementation, HAF electronic record-keeping systems (ERKS), including their AF Form 1341, Electronic Record Inventory (or equivalent in the EITDR system). Especially during the design and development phases, Program Managers of IT investments with records data such as systems and databases shall invite the HAF Records Office to participate. Works with HAF Portfolio Manager to identify potential ERKS in HAF portfolio of IT investments.

2.1.12. Establishes Air Force Records Management Information System (AFRIMS) accounts for

FARMs. 2.1.13. Approves Files Maintenance and Disposition Plans for each Office of Record.

2.1.14. Provides training to HAF personnel involved in Records Management, including but not limited to CORs, FARMs, and RCs, and ensures training is properly documented.

2.1.15. Establishes Electronic Records Management (ERM) shares for units and assigns access permissions to folders for records professionals. 2.1.16. Works with Offices of Record in HAF to accession and pre-accession electronic records, including records data, of a permanent retention to the National Archives and Records Administration, especially through NARA’s Electronic Records Archives (ERA) system. 2.1.17. Works with Offices of Record in HAF to ensure exit briefings are conducted for senior officials on the appropriate disposition of the records, including e‐mail, under their immediate control. This action will have increased importance during changes in Presidential administrations that may affect politically appointed AF officials. 2.1.18. Works with Offices of Record in HAF to ensure senior leaders, as well as their Executive Officers, understand that senior leader communication must be captured and preserved per Table 33 – 42, Rule 01.00. 2.1.19. Review staff compliance on the AF’s e-mail preservation policies outside of Staff Assistance Visits. 2.1.20. Review and validate retention of records and data in Privacy Act System of Records Notices (SORNs) and Privacy Impact Assessments (PIAs) from systems originating in HAF organizations.

2.2. HAF Two-Letter Organizations will:

2.2.1. Implement this instruction and all Air Force records management publications and

advocate the creation, use, preservation, protection, and authorized destruction of electronic records.

2.2.2. Appoint a primary FARM and an alternate FARM (if possible) for their Two-Letter

organization.

4 HOI33-17 26 DECEMBER 2013

2.2.2.1 In cases of large and/or complex organizations, additional FARMs may be appointed as needed to maintain a manageable span of control.

2.2.2.1.1. It is recommended that a FARM manage up to approximately 20 file plans. Avoid appointing additional FARMs to manage a small number of file plans. Additional FARMs increase the administrative burden (training, accounts and permissions, SAVs, etc.) for all involved.

2.2.2.1.2. All primary FARMs are considered equal and will perform FARM duties and manage the records program in support of the offices assigned. However, SAF/AAII may request a single FARM to serve as the liaison between the unit and the HAF Records Management Office (which falls under SAF/AAII).

2.2.3. Executive Services Division (HAF/ES) provides FARM support to the offices of

Secretary of the Air Force and Chief of Staff.

2.2.3. Notify SAF/AAII in writing of the name, rank, phone number, e-mail address, location of each FARM, and their areas of responsibility. Submit changes as they occur within 5 working days. See sample FARM appointment letter (Attachment 2).

2.2.4. Ensure FARM initiates corrective actions identified during a SAV. Provides written response to all staff visit findings by suspense given in the SAV report and will provide written follow-up responses every 30 days until all findings are closed.

. 2.3. Chief of the Office of Record (COR):

2.3.1. The COR has physical possession/supervision of records used in his/her duties, including legal custody of the records in his/her Office of Record, with the duties and responsibilities as specified in AFI 33-322. The COR is the senior position of authority in the respective office of record; however, these duties may be delegated as appropriate - but not the responsibilities. Delegation of the COR duties must be made in writing to the HAF Records Manager. Delegation should be made to someone with adequate authority and a thorough knowledge of the office’s mission and the records created by the office. Delegation of the COR duties should be approved at one level higher than the office of records or at a minimum by the inherent COR's supervisor; a COR cannot sign their own delegation letter. Ultimately, the COR retains responsibility for the legal custody of the records in his or her office of record. The COR:

2.3.2. Appoints an RC and an alternate RC (if possible) in writing and submits to the FARM. See

sample RC appointment letter (Attachment 3). Ensures all assigned RCs receive training within 3 months of date of appointment on the maintenance, use, and disposition of records. Submits names of individuals requiring training to the FARM within 5 days of appointment.

2.3.3. Ensures the AFRIMS file plan identifies all files in the office; reviews file plan with RC

and FARM. The file plan is considered official after it is signed by the COR.

2.3.4. Ensures the RC initiates corrective actions identified during a SAV. Provides written response to all staff visit findings by suspense given in the SAV report and will provide written follow-up responses every 30 days until all findings are closed.

2.3.5. Determines whether office holds any vital records and ensures those records are properly

HOI33-17 26 DECEMBER 2013 5

identified on the file plan (See Paragraph 5 and Attachment 6).

2.3.6. Ensures records are reviewed annually and eligible records are destroyed or retired to the FRC. Prepares waiver requests for exceptions and forwards to SAF/AAII for approval.

2.3.7. Ensures SF 135 is prepared and submitted to the FARM, requesting approval and

assignment of accession number. Certifies on SF 135 that classified records have been reviewed for possible downgrading or declassification per DoDM 5200.1-V1, DoD Information Security Program: Overview, Classification and Declassification.

2.3.8. Ensures records on temporary loan from the FRC are returned in the original box or folder,

with no documents removed or inserted. These records will be returned to the FRC within two weeks of receipt.

2.3.9. Takes required annual role-based training IAW AFMAN 33-363, paragraph 6.1.1.2.6.1.

There is no option to waive annual training. 2.3.10. Provides guidance to RCs and AOs on the appropriate disposition of records the

organization considers important enough to be declared final and what table and rule to associate with each final record.

2.3.11. Provides guidance to RCs and AOs on appropriate disposition of drafts.

2.3.12. 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.

2.4. Functional Area Records Manager (FARM):

2.4.1. Monitors the Records Management Programs for all assigned offices and perform duties per AFI 33-322, including creation, use, preservation, protection, and authorized destruction of electronic records.

2.4.2. Coordinates on all AF 525, Records Disposition Recommendation, or changes to the Air

Force Records Disposition Schedule, prepared by assigned offices and submits to SAF/AAII. Ensures AF Form 525s are coordinated by all relevant stakeholders prior to submission to the HAF Records Office.

2.4.3. Reviews AFRIMS file plans prepared by assigned offices to ensure compliance with

AFMAN 33-363, Chapter 2.

2.4.4. Submits SF 135 to SAF/AAII for approval and accession number for all records retirement actions from assigned offices.

2.4.5. Assists offices in arranging shipments of records to the WNRC; assures boxes are properly

packed and contain appropriate shipping documents. 2.4.6. Maintains a master file of all SF 135s prepared by assigned offices.

2.4.7. Upon deactivation or re-organization of an Office of Record, prepares SF 135s to transfer all records to the gaining organization(s) or retire to an FRC.

6 HOI33-17 26 DECEMBER 2013

2.4.8. Conducts office SAVs to assigned offices at least once every 24 months, prepares report of findings in AFRIMS, and establishes suspense for corrective actions to be taken, including improvements in the creation, use, preservation, and authorized destruction of electronic records.

2.4.9. Ensures that all RCs are scheduled for initial HAF Records Management training within 90 days of appointment. Send names of individuals requiring initial training to SAF/AAII for scheduling.

2.4.10. Ensures that all CORs and RCs complete annual role-based training IAW AFMAN 33-363, paragraph 6.1.1.2.6.1.

2.4.11. Maintains a record of personnel completing training and annotates training dates for CORs

and RCs in AFRIMS. 2.4.12. Establishes AFRIMS accounts for all RCs in their unit.

2.4.13. Establishes new offices in AFRIMS and ensures COR information and an organizational email is entered for each office in AFRIMS.

2.4.14. Completes initial HAF Records Management training within 90 days of appointment and completes annual FARM role-based training IAW AFMAN 33-363, paragraph 6.1.1.2.6.1. Forwards training certificates to HAF Records Manager.

2.5. Records Custodian. Executes the duties and responsibilities as specified in AFI 33-322, paragraph 6.6. The RC:

2.5.1. Consults with the COR or the FARM on problems with the creation, maintenance, use,

preservation, protection, and disposition of records (including electronic) and complies with applicable instructions.

2.5.2. Prepares AF Form 525, Records Disposition Recommendation for records created that have

not been scheduled in the Air Force Records Disposition Schedule, and forwards to the FARM. 2.5.3. Prepares AFRIMS file plan per AFMAN 33-363, Chapter 2. Ensures FARM reviews

before submitting to SAF/AAII for approval. Obtains the COR signature on the approved file plan.

2.5.4. Reviews records annually and destroys or retires eligible records. Notifies COR when

waiver requests need to be prepared. 2.5.5. Prepares SF 135 and forwards to the FARM for coordination. 2.5.6. Schedules appointment for the FARM to inspect shipment.

2.5.7. Upon deactivation of an Office of Record, forwards to the COR and FARM copies of SF 135 identifying those records.

2.5.8. Transfers records to appropriate office or FRC after approval by SAF/AAII. 2.5.9. Maintains accountability for records on temporary loan from the FRC.

HOI33-17 26 DECEMBER 2013 7

2.5.10. Completes any corrective actions identified during a SAV visit by the suspense date

given.

2.5.11. Works with each AO to familiarize him/her with their appropriate Tables and Rules and the associated dispositions, and overall records management responsibilities.

2.5.12. Completes initial HAF Records Management training within 90 days of appointment and completes annual RC role-based training IAW AFMAN 33-363, paragraph 6.1.1.2.6.1. Forwards training certificates to FARM.

2.5.13. Ensures electronic and non-electronic records with personally identifiable information are protected and restricted to individuals who are properly authorized and have a valid need-to-know. PII breaches will be reported per AFI 33-332, Air Force Privacy Program and Civil Liberties Program.

2.6. Action Officer (AO). Responsible for the proper handling of each record within his/her area of responsibility in a timely manner, from its creation through its formal declaration into the designated official records repository.

2.6.1. To meet these responsibilities successfully, the AO will:

2.6.1.1 Become familiar with the concepts and practice of distinguishing between drafts and final records.

2.6.1.2. Ensure all drafts and records under his/her purview are maintained and filed according to COR direction.

2.6.1.3. Work with his/her RC to familiarize themselves with their appropriate tables and rules and the associated disposition.

2.6.2. The AO must properly shepherd each record throughout the HAF staffing process in

accordance with HOI 33-3, Information Workflow Management & Correspondence Preparation.

2.7. Records Searches. In certain circumstances, the Air Force is required to conduct a search for records pertaining to a specific subject or event and to provide those records to an organization or individuals outside the Department of the Air Force. Such circumstances are usually triggered by a subpoena or other legal action from the Judicial or Legislative Branches of government.

2.7.1. Normal procedures to be followed for Records Searches: 2.7.1.1. The Air Force Records Officer will send the Departmental Records Search task to all

affected records professionals via AFRIMS. FARMs and RCs with an AFRIMS account and organizational emails entered in AFRIMS will receive an automatic e-mail notification stating that a records search is required with a suspense date. AFRIMS may instruct that more information regarding the records search is available on the classified side. FARMs and RCs will work with the HAF Records Office via the SIPRnet or other authorized means.

2.7.1.2. Each RC tasked will conduct a comprehensive search of all data, to include electronic

and paper data, records and non-records, classified and unclassified data, email, personal workstations, shared drives, TMT, SharePoint, etc. Each RC will indicate positive or negative

8 HOI33-17 26 DECEMBER 2013

findings in AFRIMS. The RC will input neither classified information nor high-risk personally identifiable information in the response in AFRIMS in order to prevent a spillage or a breach, respectively.

2.7.1.3. The RC must consolidate any positive search findings and ensure this data is not altered

or destroyed until a legal representative (such as the AF managing attorney) or the HAF Records Manager contacts them for the data. The normal records disposition that would have applied to the records deemed to be responsive to the search is suspended.

2.7.1.4. The FARM will ensure records searches are completed on time and close the overall records search for their unit in AFRIMS after all offices of record have completed the search.

3. Procedures and Guidance.

3.1. Purpose. Records serve a vital role in documenting the Air Force mission and provide evidence and accountability of our organization, function, policy, and procedures to the public, Congress, and the Department of Defense (DoD). They 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. Consequently, records management includes the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of Air Force operations. 3.2. Definition. Records consist of recorded information created or received for the business of the Air Force. Examples of media in which records can be embodied are unstructured data such as word processing documents and spreadsheets, data in information systems and databases, e-mails, and social media. Not all electronic files are records; if they are records, most of them are likely to be transitory in nature. Based on their subject, electronic records of enduring value to AF business should be filed and disposed in accordance with the AF Records Disposition Schedule. 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 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 Government or because of the informational value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference and stocks of publications and of processed documents are not included (AFI 33-322, Records Management Program; Title 44 U.S.C. Section 3301) .”

3.3. Electronic records.

3.3.1. A concerted effort should be made to reduce paper storage across the Enterprise as reinforced by OMB Memorandum M-12-18, Managing Government Records Directive. All temporary records shall be electronic and filed into the official electronic records management (ERM) drive located at \\BEGONIA\ERM_HAFORSAF-UNITNAME. Permanent records should be maintained in the format received. As with temporary records, permanent electronic records

HOI33-17 26 DECEMBER 2013 9

will be filed into the ERM drive.

3.3.1.1. Waivers may be granted for certain circumstances where paper records are required. Send waiver requests to the HAF Records Management Office.

3.3.1.2. Electronic records that are scheduled as permanent shall follow the file format guidance established in AFMAN 33-363. Offices wanting to digitize paper and other non-electronic records with a permanent retention per the AF RDS must provide a Notification to the National Archives and Records Administration; work with the HAF Records Management Office first before digitizing permanent records.

3.3.2. E-mails and attachments containing information about the operations of the Air Force are considered Air Force records IAW Paragraph 2 of this HOI.

3.3.2.1. Information in an e-mail that renders the e-mail an official government record include,

but is not limited to, information about the functioning of an office; information about meetings; recommendations; opinions; government decisions; policies, procedures and operations of the government; and any other information that is of “informational value” about the operations of the Air Force.

3.3.2.2. The definition of an “official record” is very broad. E-mails that need NOT be

retained include administratively trivial matters such as e-mails about schedules, “out of office” information (I’ll be at lunch, leave, etc), administrative requests such as “xxx, send me this …” and other matters of a purely trivial nature. Such e-mails are transitory in nature.

3.3.3. Electronic records will be filed according to the Air Force Electronic Records Management (ERM) Solution Using Existing Resources guide. 3.4. Drafts and Final Records.

3.4.1. Final records are those that need to be filed into the official records repository for appropriate disposition, which is the plan approved by the National Archives and Records Administration to legally dispose of official records when no longer needed for AF business. These records have been signed or officially released and cannot be altered.

3.4.1.1. The AF Records Disposition Schedule is organized by functional series with tables and rules (T&R) that assign dispositions for records that have been determined to be final. Each AO will work with his/her Records Custodian (RC) to familiarize themselves with their appropriate tables and rules and the associated disposition. Each AO should have a clear understanding and working knowledge of what should be filed based on T&R, input from the RC, and their COR. If necessary, examples will be presented by the RC in classes conducted, training provided, instructions given, or white papers written to delineate which records are final; i.e., important enough for the organization to store in official records repository. Each COR will ensure his/her people know what should be filed in the official records repository for appropriate disposition. If in doubt, file it. Typical final records that an organization would consider keeping are:

3.4.1.1.1. Decision memorandums

3.4.1.1.2. Policy statements

10 HOI33-17 26 DECEMBER 2013

3.4.1.1.3. Documents that had final input on decisions

3.4.1.1.4. Relevant e-mails

3.4.1.1.5. Relevant documents uploaded for task fulfillment in Task Management Tool (TMT) and other workflows

3.4.2. Drafts do not need to be filed into the official records repository, unless there is a specific

T&R designated for the draft. Drafts have not been signed or officially released and can be altered.

3.4.2.1. Drafts should be candidates for deletion.

3.4.2.2. Drafts are subject to record searches (discoverable) and must be presented when

asked (to include lawsuits, litigation holds, electronic discovery, Freedom of Information Act requests, and other authorized reasons).

3.4.2.3. Drafts in an electronic medium take up space on the network.

3.5. Vital Records are defined as records essential to the continued functioning or reconstitution of an

organization during and after an emergency and also those records essential to protecting the rights and interests of that organization and of the individuals directly affected by its activities. Identification of vital records should be incorporated into the organization’s continuity of operations plan or disaster plan. Vital records include two basic categories:

3.5.1. Emergency operating records serve the Federal Government if the country is attacked

and include records necessary for:

3.5.1.1. The military effort.

3.5.1.2. The mobilization and protection of material, personnel, services, and systems.

3.5.1.3. Maintenance of public health, safety, order and the conduct of civil defense activities.

3.5.2. Rights and interest records uphold the legal rights and interests of individual citizens

and their Government and include: 3.5.2.1 Social Security records. 3.5.2.2. Retirement records. 3.5.2.3. Payroll records. 3.5.2.4. Insurance records. 3.5.2.5. Valuable research records. 3.6. Air Force Records Management Program Guidance.

3.6.1. The Air Force Director, Policy and Resources, Office of Information Dominance and Chief

HOI33-17 26 DECEMBER 2013 11

Information Officer (A6P), oversees the Air Force records management program and appoints the Air Force Records Officer (AFRO) to administer the program, represents the Secretary of the Air Force on records management issues, and oversees compliance with the legal requirements of records disposal. This Director is also the Air Force Senior Agency Official for Records Management.

3.6.2. The HAF Records Manager is assigned to the HAF Chief Information Officer Support Division (SAF/AAII) in the Information Management Directorate, Office of the Administrative Assistant to the Secretary of the Air Force, and implements within the HAF the Air Force Records Program guidance from the AF Records Office, and develops local procedures for those assigned to the HAF.

3.6.3. The HAF Records Management program requires each 2-ltr to appoint a FARM to oversee records management within the unit and each office to appoint a RC to implement records management within the office.

3.6.4 Air Force Military, Civilian Employees, and Contractors:

3.6.4.1. Must not conceal, remove, mutilate, obliterate, destroy, or otherwise use government 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 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. Contractor employees may also be administratively disciplined by their employer.

3.6.4.2. Must inform officials of any actual or potential unlawful removal, change, or

destruction of Air Force records.

3.6.4.3. Must inform HAF Records Office of the loss of Air Force records not disposed in accordance with the AF Records Disposition Schedule. Depending on the investigation by the HAF Records Office, the affected office will have to prepare the Lost Records Report for submission to the National Archives and Records Administration.

3.6.4.4. Must distinguish Federal records from non-Federal record materials (such as

personal papers) and maintain them separately.

TIM BEYLAND

Administrative Assistant

12 HOI33-17 26 DECEMBER 2013

Attachment 1

GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION References: Title 18 USC Part I, Chapter 101, § 2071 Concealment, Removal, or Mutilation of Records OMB Memorandum M-12-18, Managing Government Records Directive, 24 August 2012 DoDM 5200.1-V1, DoD Information Security Program: Overview, Classification and Declassification, 24 February 2012 AFPD 33-3, Information Management, 8 September 2011 AFI 33-322, Records Management Program, 4 June 2012 AFI 33-332, Air Force Privacy and Civil Liberties Program, 5 June 2013 AFI 33-364, Records Disposition--Procedures and Responsibilities, 22 December 2006 AFMAN 33-152, User Responsibilities and Guidance For Information Systems, 1 June 2012 AFMAN 33-363, Management of Records, 1 March 2008 Prescribed and Adopted Forms: SF 135, Records Transmittal Receipt AF Form 1341, Electronic Record Inventory AF Form 525, Records Disposition Recommendation OF 11, Reference Request - Federal Records Center NA Form 13016, Notice of Accession Location Change NA Form 13000, Agency Reviews for Contingent Disposal NA Form 13001, Notice of Eligibility for Disposal Abbreviations and Acronyms: AFRIMS—Air Force Records Information Management System AFRO—Air Force Records Officer AO—Action Officer COR— Chief of the Office of Record FARM—Functional Area Records Manager FRC— Federal Records Center HAF— Headquarters Air Force (Includes Secretariat and Air Staff) HOI— Headquarters Operating Instruction MAJCOM—Major Command NA—National Archives NARA—National Archives and Records Administration OF—Optional Form PII—Personally Identifiable Information RC—Records Custodian RM—Records Manager RMA—Records Management Application SAF—Secretariat Offices within the HAF (Headquarters Air Force) SAV— Staff Assistance Visit SECAF—Secretary of the Air Force SF—Standard Form WNRC—Washington National Records Center

HOI33-17 26 DECEMBER 2013 13

Attachment 2

SAMPLE APPOINTMENT OF FUNCTIONAL AREA RECORDS MANAGERS MEMORANDUM FOR SAF/AAII (Date) FROM: (Sender Two-Letter Organization) SUBJECT: Appointment of Functional Area Records Manager 1. The following individuals listed below are appointed as FARMs for this organization. The FARM will monitor the Records Management Programs for all assigned offices and perform duties in accordance with AFI 33-322 and HOI 33-17. Note: If more than one primary FARM is being appointed, specify which offices (ASSIGNED OFFICES:) they are assigned to monitor. PRIMARY/NAME: RANK/GRADE: OFFICE SYMBOL: ASSIGNED OFFICES: DSN PHONE: COMM PHONE: E-MAIL: ALTERNATE/NAME: RANK/GRADE: OFFICE SYMBOL: ASSIGNED OFFICES: DSN PHONE: COMM PHONE: E-MAIL: 2. This letter supersedes previous letter, same subject. Signature Block

14 HOI33-17 26 DECEMBER 2013

Attachment 3

SAMPLE APPOINTMENT OF RECORDS CUSTODIANS MEMORANDUM FOR (2-Ltr FARM) (Date)

FROM: (Unit/CC)

SUBJECT: Appointment of Records Custodian

1. The following individuals are appointed as Record Custodians:

PRIMARY/NAME:

RANK/GRADE:

OFFICE SYMBOL:

DSN PHONE:

COMM PHONE:

E-MAIL: (Only if not located on the global addressing system)

ALTERNATE/NAME:

RANK/GRADE:

OFFICE SYMBOL:

DSN PHONE:

COMM PHONE:

E-MAIL: (Only if not located on the global addressing system)

2. The individuals named above will fulfill unit RC responsibilities described in AFI 33-322, Paragraph 9 and HOI 33-17.

3. This letter supersedes previous letter, same subject.

COR’s Signature Block

HOI33-17 26 DECEMBER 2013 15

Attachment 4

RETIREMENT OR TRANSFER OF RECORDS HAF retires inactive records to the Washington National Records Center (WNRC), 4205 Suitland Road, Suitland, MD 20746. AFI 33-364 provides guidance on how to maintain records in office areas. Transfer paper records with a retention period of at least three years remaining to WNRC. A41. Transfer of Records to WNRC: A41.1. SAF/AAII will submit SF 135(s) to the records center in advance for approval. A41.2. For physical shipments:

A41.2.1. The HAF RM will arrange for WNRC personnel pick up boxed records from the Remote Delivery Facility at the Pentagon on the last Wednesday of January, April, July and October each year when required. One or two days in advance, WNRC usually notifies the contact official listed in Item 3 of the SF 135 of the time for the records pickup.

A41.2.2. The RC delivers or arranges for delivery of boxed records to the designated loading

platform on the scheduled pickup date. AFI 33-364, Figure 8.2. explains how to load boxes on delivery skids. Ensure that appropriately cleared personnel accompany the Secret and Confidential records to the loading platform and turn them over to authorized WNRC personnel.

A41.2.3. Place one copy of the approved SF 135 returned from WNRC in the first and last box of

each accession in the shipment.

A41.3. After records arrive at the WNRC, a location number will be assigned and the AF 135 will be sent to the RM indicating the location of their records. After receiving the SF 135 from WNRC, send one copy to SAF/AAII.

A42. How to Retrieve Records from WNRC: A42.1. The RC uses OF 11, Reference Request - Federal Records Center, to withdraw records from

WNRC. Only authorized personnel may request, receive or pick up records at WNRC. Ask SAF/AAII for the name of the official authorized to sign the OF 11. Contact SAF/AAII if you need to expedite processing of your request during regular duty hours with justification as to why expediting is necessary. When completing the OF 11, furnish the accession number, box number, location number, and the nature of the service. If you do not need the full box, indicate in the “Description of the Record(s) or Information Requested” which folder (s) you want to retrieve.

A42.2. Return the records to WNRC in the original folders and containers to allow accurate re-filing.

If for some reason the box is unusable for shipment, copy all information from its front onto the front of the replacement box.

A43. Relocation of Records. Occasionally, it becomes necessary to move records within the FRC.

When this happens, WNRC will send a NA Form 13016, Notice of Accession Location Change. The RC annotates the SF 135 to show the new location number for future record retrieval.

A44. Disposition of Records. Before records are destroyed, WNRC will send a NA Form 13000,

Agency Reviews for Contingent Disposal and NA Form 13001, Notice of Intent to Destroy.

16 HOI33-17 26 DECEMBER 2013

SAF/AAII will forward the form to the Office of Primary Responsibility for review and destruction determination.

A44.1. To approve the action, the COR signs the form and returns it to SAF/AAII within 30 days.

SAF/AAII will respond to WNRC, in writing, at least 30 days prior to the disposal date. A44.2. To disapprove the action, the COR must sign the form, provide justification for holding

the records past the approved disposal date, indicate a disposal date, and return the form to SAF/AAII within 30 days. The SAF/AAII, in turn, obtains approval from the Air Force Records Officer to maintain records in a FRC past their approved disposal date. SAF/AAII forwards the NA Form 13000 and OPR justification to the Air Force Records Officer who rejects or approves the OPR justification and notifies WNRC.

Attachment 5

HOI33-17 26 DECEMBER 2013 17

STAFF ASSISTANCE VISIT (SAV) GUIDANCE

A51. Staff Assistance Visit (SAV). The purpose of the SAV is to evaluate the unit/office records management program and practices ensuring compliance with Air Force requirements. This is also a time to discuss and receive guidance regarding any records management issues or concerns. The SAV is mandatory and must be performed every 24 months.

A51.1 SAVs to Units (FARMs). SAVs will normally be conducted onsite to the primary Functional Area Records Manager (FARM) at least once every 24 months. Part of the purpose of the SAV is to assist the FARM by providing guidance and answering questions. The HAF Records Management Office is available to discuss in detail the Unit SAV Checklist and any questions related to records management practices at any time during the year and not just during the SAV timeframe.

A51.1.2 Scheduling. The HAF Records Manager will schedule the SAV to the units via AFRIMS at least 30 working days in advance. An AFRIMS notification will be sent to the FARM announcing the SAV date.

A51.1.2.1 Extensions. Records management practices are required year-round and not just during the SAV timeframe. Requests for extensions to the scheduled unit SAV date will not be granted.

A51.1.3 Date of SAV: On the SAV date, the HAF Records Manager will review the Unit’s records management program for compliance by analyzing the information recorded in AFRIMS and observing records filing practices using the Electronic Records Management (ERM) system ( “R drive”). The HAF Records Manager will use the “SAV Checklist for Units” that is located in AFRIMS to review records management practices for compliance.

A51.1.3.1 SAV Checklist: The SAV Checklist for Units contains a series of YES/NO questions which survey the unit’s records management practices for compliance with the HAF Records Management Program. The HAF RM will check either YES, NO, or N/A and complete the comments section with observations, along with required corrective actions for each checklist item. FARMs can find the most current checklist in AFRIMS by stepping through the following menu items: SAV > Initiate/Manage SAVs > SAV Unit > View Blank Checklist.

A51.1.4 SAV Review: Once the SAV Checklist is populated, the HAF Records Manager will mark the SAV for review in AFRIMS. An automatic email will notify the FARM that the SAV Checklist is ready for review. The email will contain a hyperlink to the SAV location in AFRIMS where the FARM can view the populated checklist and post comments in response to the populated checklist. The FARM will be given 5 working days to post a response to the SAV Checklist in AFRIMS. Posting a response is optional and encouraged if the FARM would like to comment on the SAV findings. The FARM can post comments by clicking View Responses > Add Posting.

A51.1.5 SAV Completion: After the 5-day review period, the HAF Records Manager will mark the SAV Checklist complete. An official SAV report with the attached checklist will be sent from the SAF/AAII Director to the Unit Director requesting corrective actions for observed discrepancies. The unit will be given no less than a suspense date of 30 working days to correct

18 HOI33-17 26 DECEMBER 2013

findings. The official SAV report will be sent and the suspense tracked using the Task Management Tool (TMT). A51.2 SAVs to Offices (RCs). The FARM conducts SAVs onsite to each Records Custodian (RC) in the offices of record he/she is assigned to manage at least once every 24 months. Part of the purpose of the SAV is to assist the RC by providing guidance and answering questions. The FARM will be available to discuss in detail the Office SAV Checklist and any questions related to records management practices at any time during the year and not just during the SAV timeframe.

A51.2.1 Scheduling. The FARM will schedule the SAV to the offices via AFRIMS at least 30 working days in advance. An AFRIMS notification will be sent to the RC announcing the SAV date.

A51.2.1.1 Extensions. Records management practices are required year-round and not just during the SAV timeframe. Requests for extensions to the scheduled office SAV date will not be granted.

A51.2.2 Date of SAV: On the SAV date, the FARM will review the office’s records management practices for compliance by analyzing the information recorded in AFRIMS, observing records filing practices using the Electronic Records Management (ERM) system (“R drive”), inspecting paper records filing procedures, and interviewing and counseling the RC on records management practices. The FARM will use the “SAV Checklist for Offices” that is located in AFRIMS to review records management practices for compliance.

A51.2.2.1 SAV Checklist: The SAV Checklist for Offices contains a series of YES/NO questions which survey the office’s records management practices for compliance with the HAF Records Management Program. The FARM will check either YES, NO, or N/A and complete the comments section with observations and required corrective actions for each checklist item. FARMs and RCs can find the most current checklist in AFRIMS by stepping through the following menu items: SAV > Initiate/Manage SAVs > SAV Office > View Blank Checklist.

A51.2.3 SAV Review: Once the SAV Checklist is populated, the FARM will mark the SAV for review in AFRIMS. An automatic email will notify the RC that the SAV Checklist is ready for review. The email will contain a hyperlink to the SAV location in AFRIMS where the RC can view the populated checklist and post comments in response to the populated checklist. The RC will be given 5 working days to post a response to the SAV Checklist in AFRIMS. Posting a response is optional and encouraged if the RC would like to comment on the SAV findings. The RC can post comments by clicking View Responses > Add Posting.

A51.2.4 SAV Completion: After the 5-day review period, the FARM will mark the SAV Checklist complete. An official SAV report with the attached checklist will be sent (in-writing, email, or TMT) from the Unit Director to the Chief of the Office of Record (COR) requesting that the items observed be corrected. The office will be given no less than a suspense date of 30 working days to correct findings. The SAV report shall request an official response from the RC's COR stating corrective actions have been taken.

A51.3 SAV Ratings. A SAV will be rated Satisfactory or Unsatisfactory based on the observations of the HAF Records Manager (Unit SAV) and FARM (Office SAV) evaluator. Failure to comply with all items marked “critical” on the SAV Checklist will result in an

HOI33-17 26 DECEMBER 2013 19

Unsatisfactory rating. Additionally, the evaluator may rate a SAV as Unsatisfactory if multiple non-critical items are observed. In these cases, the evaluator shall use their own judgment and give consistent ratings among the units and within the unit. A rating of Unsatisfactory is not always a reflection of the knowledge and practices of the current FARM or RC and in cases where this is observed the SAV report will acknowledge this (i.e, the FARM has just been appointed, the RC is not receiving needed support from leadership, etc.). A51.4 Filing SAV Reports. SAV reports are official records and will be filed under the following Table and Rule:

A51.4.1 SAV reports conducted to offices will be filed under Table 33-46, Rule 14. A51.4.2 SAV reports received will be filed under Table 33-46, Rule 15.

20 HOI33-17 26 DECEMBER 2013

Attachment 6

HAF BASE AND FUNCTIONAL AREA VITAL RECORDS PLAN

A61. The HAF Vital Records Plan provides for the inventorying of vital records and ensuring records are available during and after an emergency event. A61.2.1. Only those records series or electronic information systems (or portions of them) most

critical to emergency operations or the preservation of legal or financial rights are to be designated as vital. A61.2.2. Records Professionals will ensure all vital records are inventoried by indicating the

series as containing vital records on the office file plan in AFRIMS.

A61.2.3. Duplicate copies of vital records are kept at a geographically separate location.

A61.2.3.1. In the HAF, the unclassified and classified official records servers (ERM) are backed up on a regular basis and data is archived to a geographically separate location. Data can be requested to be restored by submitting a ticket to 844th CS.

A61.2.3.2. If vital records are required to be paper-based, they can be stored at the Washington National Records Center (WNRC) - see Attachment 4 RETIREMENT OR TRANSFER OF RECORDS.

A61.2.3.3. HAF 2-Ltr organizations will take any extra provisions to ensure their vital records are protected and available during an emergency if the above options do not meet the operational needs of the organization. A61.2.3.4. Identification of vital records should be incorporated into the organization’s continuity of operations plan or disaster plan.