Records Management Program

What plays a vital role in managing and operating Air Force activities?
Records
Whose rights must be protected through the proper implementation of the records management programs?
The United States government and persons directly affected by Air Force actions
What are Draft records?
Records that can be altered and have not been signed or officially released
What are Final records?
Records that have been signed, officially released and cannot be altered
How must Air Force units at all levels manage records?
Systematically to make sure they are complete, accurate, trustworthy, and easily accessible
What records relate solely to an individual’s private affair?
Personal records
Manages the base staging area
RM
Ensures offices of records receive a staff assistance visit at least every 24 months
FARM
Ensures records custodians attend record management training
COR
Maintains the office files plan and accountability for active and inactive records
RC
Ensures all personnel who create, maintain, and dispose of records, attend records management training.
COR
Trains all personnel within three months of assignment, whose duties include filing, maintaining, and disposing of records
RC
The BRM ensures offices of record receive a SAV how often?
Every 24 Months
What is a staging area used for?
Temporary storage of records pending destruction or transfer to a Federal records center
How should you save e-mails?
In Message Format to keep all attachments intact and to store file in their native form
What contributed to the need for an ERM solution?
E-mail revolutionized the flow of communication and significantly contributed to the need for an ERM solution
Who will work together to create an effective, base-wide e-record file structure?
BRMs, NCC staff, and CSAs
What happens to a document after it is signed or approved by an authorized authority?
The document becomes a record and must be transferred to the shared drive designated for records to ensure proper lifecycle management
Who must monitor the e-file box and assist and or file the records in the box?
The FARM and RC
Why do we want to fill out the summary information on documents we create?
Final records will be easier to manage and retrieve
How does AFRIMS ensure standardization and accuracy of every record series?
by ensuring offices Air Force-wide use the same disposition instructions for records
What is AFRIMS specifically responsible for automating?
the preparation and maintenance of the files maintenance and disposition plan, and files disposition control label
What does AFRIMS provide from the RDS?
an on-line database of tables and rules
What labels does AFRIMS print?
the subdivisions along with the file disposition control labels and file folder labels of the items on the file plan.
What type of material is never entered into AFRIMS?
sensitive, classified, or PA material
What is the decision logic table?
a read-only database which allows users to view and print series RDS information, tables, rules, disposition instructions, and notes. The decision logic tables are approved by the national archives and records administration
What are the first and second numbers of the decision logic tables associated with?
The first number is the publication series and the second number is assigned for control purposes only
What program generates the file disposition control labels?
AFRIMS
How many tables and rules can be applied to each record series?
Only one
What are the requirements for placing disposition control labels on a guide card?
The label is usually affixed to the first (left) tab position of the guide card, but you may place it on the first, second, or third tab positions provided you do this consistently throughout the files
What purpose does the disposition guide card serve?
to identify the records filed behind it and to provide cutoff and disposition instructions for the records
Where do you place the disposition control label on records located away from the file drawer?
place the disposition control label either on each container or on a card or sheet of paper in the container or binder, where it is obvious
Where do you place the disposition control label when a series is filed in more than one
container?
place the disposition label on the first container or on each container
What purpose do folders serve?
used to group related paper records together
What should be done with folders when they become too bulky for use?
use more file folders as necessary. Be sure to affix more file folder labels to each additional folder and identify, on the label, the inclusive dates included on each of the file folders
What is shown on the file folder label?
the item number, series title, and the office of record
What is added to the file folder label when there is a retention period of one year or longer?
add the year (CY or FY)
What is done when files expand to more than one drawer?
review the file plan to determine the inclusive series numbers to be placed on the drawer labels
What is the first step in filing a document?
assemble the documents for filing in the same manner as required for their creation, dispatch, and use with the latest action on top
What should you do prior to filing a document if an attachment is missing?
Take action to get the missing records or information included in the file or make a notation to show what part of the file is missing or where filed, if included in another series
What items do you remove from a document prior to filing?
Remove all mail control forms and receipts, envelopes, and memo routing or coordination slips, except those containing remarks of significant record value
How is a record marked for filing?
by using the word “file” and the proper official’s initials. Mark for file and file code in the upper right hand corner of the record. Use the item number of the separate series from the file plan
What is the primary purpose for maintaining records?
to ensure we can give needed information to decision makers whenever and wherever it is needed
What is the first item in a file plan?
the file plan
What form do you use for cross-reference?
DD Form 2861
What can you use if the official cross-referencing form is not available?
make copies of the record and file each copy in the applicable series
What does cross-referencing provide?
provides more reliable files service as long as excessive cross-referencing is avoided
Why are records kept?
Because they contain needed information
Why are filing systems developed?
So information can be retrieved promptly and efficiently
Where is the AF Form 614 filed?
put the form in place of the removed record or folder
Define disposition.
Includes destruction, salvage, and donation; transfer to the staging area or record center; and transfer to staging area or records center; transfer from one organization to another
What are the two categorized areas of disposition?
transfer and destruction
What key roles does the records disposition program play in the management of Air Force records?
In economic and efficient management of Air Force records
What does the records disposition program consists of?
•Scheduling all records for retention or periodic destruction.
•Preserving records that reflect the organization, functions, policies, decisions, procedures, and essential transactions of the Air Force.
•Preserving records that protect the legal and financial rights of the government and of individuals that Air Force actions directly affect.
•Offering records of enduring value for permanent preservation in the national archives.
•Promptly and systematically disposing of records of temporary value.
•Setting up safeguards against illegal removal, loss, or destruction of records
What are the three objectives of the records disposition program?
•Retire long-term (10 years old or older) paper records to authorized federal record centers. Long-term electronic records are stored within the Air Force.
•Transfer short-term paper records, (less than 10 years old) to authorized local staging areas.
•Dispose of short-term holdings as soon as authorized
What is the length of time the Air Force keeps a record?
Depends on its retention period
What retention period do records have that are not authorized for a specific disposition?
Permanent
What does enduring value mean?
The documentation will remain in existence indefinitely
Define a temporary record.
Temporary records are any records determined by the Archivist of the United States to have insufficient value to warrant preservation by the National Archives
How do you destroy magnetic tapes or other magnetic medium?
Degauss (neutralize the magnetic field or erase information from) or overwrite magnetic tapes or other magnetic medium
What should you do with records when a unit is redesignated or reorganized and there is no change in function or mission?
the files are continued and cut off the same way and at the same time as if no change of status had occurred (except that all files created after redesignation bear the new designation’s name)
When can records with a retention period of more than two years be retired to the proper federal records center any time after the cutoff?
In hostile or potentially hostile areas, during war or when war seems imminent
When can you dispose of records without regard to the table and rules?
1. The records are a menace to health, life, or property.
2. A state of war or threatened war or hostile action occurs and the unit is located outside the continental United States (CONUS). In this case, destroy the records.
3. Keeping the records would be prejudicial to the interest of the United States.
4. If the records are taking up space urgently needed for military purposes.
5. The records are not considered valuable enough to warrant preservation
What does the vital records program ensure?
Continuity of government during national emergencies
What are the two traditional types of vital records?
emergency-operating records and records needed to protect rights
What is an emergency?
a situation or an occurrence of a serious nature, developing suddenly and unexpectedly, and demanding immediate action
What is a disaster?
an unexpected occurrence inflicting widespread destruction and distress and having long-term adverse effects on agency operations
Given the importance of vital records, how should agencies arrange for offsite storage?
agencies should arrange for offsite storage of copies in a facility not subject to the same emergency or disaster but still reasonably accessible to agency staff
How do records custodians accomplish the end-of-year closeout?
By transferring physical records to the inactive files area or to the staging area
Define cutoff.
term we use for separating active records from inactive records
How often should the records custodian review the file plan?
at least annually
What determines the cutoff for active records?
The retention period
What are the three cutoff periods?
• N/A – disposition instruction does not contain a month or year.
• MO – disposition instructions contain 1 to 11 months.
• 30 Sep/31 Dec – disposition instruction contains a year or 12 months or more
How is the cutoff identified when it does not contain a month or year?
N/A
What form is used as a packing list for transferred or retired records?
SF135
When is a separate SF 135 prepared?
A separate SF 135 is prepared for each series of temporary records in a shipment and for permanent records. You must also prepare a separate SF 135 for unclassified, SECRET, CONFIDENTIAL, and TOP SECRET records, regardless of volume, when records are placed in a staging area.
What minimum items should be included on deployed unit file plans?
maintenance and disposition, policy and precedent, delegations, general correspondence, office administrative files, transitory and word processing files maintained in organized file, in accordance with the RDS
What record management advice did the DOD provide on 15 Aug 2003?
advised that records on combat operations in Iraq and those of all major deployments are of historical value and must be preserved for future studies and analyses
Who is the Air Force working with to establish archiving capabilities?
NARA and other major AOR areas such as Central Air Force (CENTAF)
Who manages the staging area for a base?
BRM
What type of records do these facilities maintain?
records with a retention period of less than nine years to eliminate the expense of transporting records to the FRC
What types of records are not kept at the staging area?
active records
Who must approve a waiver to grant small volumes of 2- to 8-year retention records to be kept in the current files area?
Base RM
What are some of the criteria that must be met for selecting a staging area?
The staging area must be weather tight, and if practical, fire-resistant. The space must have adequate light, heat, ventilation, and be close to restroom facilities. Seal holes in walls and floors against insects and rodents. If insects are found, eliminate them using a dry-base insecticide
What does an OPR use an Air Force Form 525, Records Disposition Recommendation, for?
To recommend a change, addition, or deletion to the records disposition schedule
What must you do if the disposition of the record cannot be determined in advance of the implementation of a directive because of unknown user and reference needs for the record?
The OPR simply recommends a proposed disposition standard and submits the AF Form 525 with a qualifying statement
What is the minimum length of time an Air Force Form 525 stays in suspense with the records manager if a disposition cannot be determined?
the RM holds the AF Form 525 in suspense for at least six months and then asks for the OPR’s confirmation of the proposed disposition
What is the Federal Register?
the OFR is the official daily publication for rules, proposed rules, and notices of federal agencies and organizations, as well as executive orders and other presidential documents
What are some of the responsibilities of the AFFRLO?
• Act as the single point of contact with the OFR.
• Provide advice/guidance to AF personnel on publishing rules and notices.
• Ensure that rules prepared by Air Force organizations include certification and statements of determination in compliance with executive, legislative, and Federal Register requirements.
• Authorize, certify, validate, obtain regulatory identifier number (RIN), assign billing code,and send rules and notices to the OFR for publication in the Federal Register.
• Maintain original certifications and statements of determination.
Air Force units at what level must document their organization, function, and activities and preserve their records by implementing effective lifecycle management procedures within their areas of responsibility?
Every
Which of the following is not an example of an Air Force record?
Museum material
What type of record is created when the Air National Guard (ANG) is creating the records and the federal emergency management agency get involved and federal dollars are put towards the emergency
State and federal only
Once they are assigned, active duty personnel whose duties include filing, maintaining, and disposing of official records must be trained within
3 months
who appoints a records custodian?
Chief of the Office of Record (COR)
who should know and implement the records maintenance, use, and disposition policies and procedures for records maintained?
Records custodian (RC)
By filling out summary information for documents you create, your final records will be
easier to manage and retrieve
How does the Air Force Records Information Management (AFRIMS) ensure standardization and accuracy of every records series?
Ensuring offices Air Force-wide use the same disposition instructions for records
what type of labels does the Air Force Records Information Management System (AFRIMS) print?
Subdivision
The Air Force Records Information System (AFRIMS) generates a file disposition control label for
each item listed on the file plan
How many disposition authorities (table and rule) are allowed per records series?
One
What identifies file records and provides the cutoff for the records?
Disposition guide cards
Where are labels placed on the file folders?
Placement is based on the needs of the office and is consistent
What information does not appear on a subdivision label?
Cutoff
What is reviewed when files expand to more than one drawer or files are filed in other locations to determine the inclusive series number to be placed on the drawer label?
File Plan
what should you remove from a document prior to filing?
Envelopes
why is the file plan filed as the first item in a filing system?
to help retrieve filed documents efficiently
What gives the reader a reference trail to follow when a document is located somewhere else?
Cross-reference sheet
When additional copies of a record for cross-referencing, how is the cross-reference locations identified?
Mark each copy by circling the appropriate file code showing where the duplicate copies are filed
Cross-refrencing provides more reliable files service as long as
excessive cross-referencing is avoided
What determination must be made before a record can be loaned to an authorized person?
period of time a record is needed
What is “dispositon”, when dealing with Air Force records?
Actions taken with inactive records
What is disposition based when dealing with Air Force records?
Time period or event
How does the records disposition program play a key role in the management of Air Force records?
Economic and efficient management
How are long-term paper records 10 years or older handled?
Retired to authorized federal records centers
Who is authorized to approve the permanent retention of records?
Archivist of the United States
When units change status but do not change function or mission, files are
continued and cut off the same way and at the same time as if no change of status had occured
The emergency disposal of records, without regard to tables and rules, is applied when the records
are a menace to health, life, or property
What is the first part of the plan when developing a vital records plan?
Description of the records
Each of the following is a description of files cutoff except
physically stop adding records to a series
Which of the following is not a cutoff period?
Quarterly
At least how many years remaining retention must records have to be shipped to a federal records center?
Three
What type of records does the SF 135, Records Transmittal and Receipt, identify?
Retirement to a fderal records center, staging center, or transfer to another organization
What type of records does the staging area store?
Permanent and temporary
Who approves a waiver to keep small volumes of 2- to 8-year retention records in the current files area?
Base records manager (BRM)
What does the staging area review to determine what records are eligible for disposal and when?
SF form 135, Records Transmittal and Receipt before the end of each calendar year (CY) or fiscal year (FY)
To recycle Privacy Act (PA) material, what must recycling contracts include?
Specific contract clause on safeguarding privacy material until it’s destruction
who does the office of primary responsibility (OPR) submit an AF IMT 525, Records Disposition Recommendation, to?
Records manager (RM)
Which of the following is an objective for determining retention?
how much Air Force documentation is really essential
What is the official daily publication for rules, proposed rules, and notices of federal agencies and organizations, and other presidential documents?
The federal register
What is one of the duties of the Air Force Federal Liasian Office (AFFRLO)?
Provide advice/guidance to Air Force personnel on publishing rules and notices.