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217325[PDF] afi33-322pdf - Air Force

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 33-322

23 MARCH 2020

Incorporating Change 1, 28 JULY 2021

COMMUNICATION AND

INFORMATION

RECORDS MANAGEMENT AND

INFORMATION GOVERNANCE

PROGRAM

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available for downloading or ordering on the e-

Publishing web site at www.e-Publishing.af.mil.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: SAF/CNZA

Supersedes: AFI33-321, 3 August 2011;

AFI33-322, 4 June 2012; AFMAN33-363; 1

March 2008; AFI33-364, 22 December 2006

Certified by: SAF/CNZ,

(Ms. Wanda Jones-Heath)

Pages: 97

This Air Force Instruction implements Air Force Policy Directive 33-3, Information Management. It establishes the Air Force records management program. This publication applies to all civilian employees and uniformed members of the Regular Air Force, Air Force Reserve, Air National Guard, and government contractors who create or maintain Air Force records. All individuals who are bound to comply with this instruction are This publication may be supplemented at any level, but all supplements must be routed to the OPR of this publication for coordination prior to certification and approval. Send suggestions on AF Form 847, Recommendation for Change of Publication, to make comments and suggested improvements in this instruction. The authorities to waive wing/unit level requirements in this

T-0, T-1, T-2, T-3

statement. See AFI 33-360, Publications and Forms Management, for a description of the authorities associated with the Tier numbers. Submit requests for waivers through the chain of commander for non-tiered compliance items. A reference to an internal paragraph that contains

the authority and directions is also permitted. This instruction sets forth penalties associated with

unauthorized concealment, removal, mutilation, obliteration or destruction of records without proper authority that are applicable to civilian and military personnel, including the Air Force Reserve and Air National Guard. Violations by Title 32 Air National Guard military personnel

2 AFI33-322 23 MARCH 2020

may subject them 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. Civilians who violate information records management and information governance policy may be disciplined in accordance with Air Force Instruction 36-704, Discipline and Adverse Actions of Civilian Employees. 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. Ensure all records generated as a result of processes prescribed in this publication adhere to Air Force Instruction 33-322, Records Management and Information Governance Program, and are disposed in accordance with the Air Force Records Disposition Schedule, which is located in the

Air Force Records Information Management System.

SUMMARY OF CHANGES

This interim change revises AFI 33-322 by (1) introducing the concept of zero trust, (2) adding

the access control of least privilege for records in shared drives and other electronic environments,

(3) adding information about records freezes, and (4) updating the Litigation Hold ESI request process. A margin bar (|) indicates newly revised material.

Chapter 1RECORDS MANAGEMENT OVERVIEW 5

1.1. Purpose. ................................................................................................................... 5

1.2. Federal and Departmental Guidance. ....................................................................... 5

1.3. Records. ................................................................................................................... 5

Chapter 2RECORDS MANAGEMENT RESPONSIBILITIES 9

2.1. Organizations. .......................................................................................................... 9

2.2. Formal Roles and Responsibilities. .......................................................................... 9

CHAPTER 3MANAGING RECORDS 23

3.1. Records Maintenance Objectives. ............................................................................ 23

3.2. Air Force Records Information Management System. ............................................ 23

3.3. Inventory of Records. .............................................................................................. 23

3.4. Records Maintenance Procedures. ........................................................................... 24

3.5. Process to Request Copies or Removal of Official Records. ................................... 27

3.6. Essential Records Plan. ............................................................................................ 27

3.7. Deployed Units. ....................................................................................................... 29

Chapter 4MANAGING ELECTRONICALLY STORED INFORMATION 31

4.1. Electronically Stored Information. ........................................................................... 31

AFI33-322 23 MARCH 2020 3

4.2. Electronically Stored Information Management Roles and Responsibilities. ......... 31

4.3. Electronic Records Systems. .................................................................................... 31

Table 4.1. Sample of Decision Logic Table to Accompany AF Form 525. ............................. 32

4.4. Electronic Records management. ............................................................................. 34

4.5. Electronically Stored Information and the Federal Rules of Civil Procedure. ........ 34

4.6. Managing the E-File Area. ....................................................................................... 35

Figure 4.1. E-Files Directory (example). ................................................................................... 36

4.7. Records Integration. ................................................................................................. 38

4.8. Schedule Disposition. .............................................................................................. 38

4.9. Social Media. ........................................................................................................... 39

Chapter 5RECORDS STAGING AREAS 40

5.1. Records Staging Areas. ............................................................................................ 40

5.2. Size and Location. .................................................................................................... 40

5.3. Staging Area Waivers. ............................................................................................. 40

5.4. Staging Area Procedures. ......................................................................................... 41

Chapter 6DISPOSING AND TRANSFERRING RECORDS 43

6.1. Disposing of Records. .............................................................................................. 43

Table 6.1. Retention and Retirement Standards for Air Force Activities (Records not in

Electronic form). ...................................................................................................... 44

6.2. Transferring Records to the National Archives and Records Administration. ........ 57

6.3. Transferring Records to Other Agencies and Organizations. .................................. 58

6.4. Getting Records from a Records Center, Staging Area, or Other Organizations..... 58

6.5. Restrictions on Release of Information. ................................................................... 60

6.6. Removing Records Permanently. ............................................................................. 60

6.7. Returning Borrowed Records. ................................................................................. 60

6.8. Loaning Already Borrowed Records. ...................................................................... 60

6.9. Addressing Inquiries. ............................................................................................... 60

6.10. Withdrawing Records by Reactivated Installations and Units. ................................ 60

Chapter 7SHIPPING RECORDS 61

7.1. Standard Form 135. .................................................................................................. 61

Table 7.1. Number of Copies and Distribution of SF 135. ....................................................... 61

7.2. Methods of Shipment. .............................................................................................. 62

7.3. For Official Use Only Files...................................................................................... 62

4 AFI33-322 23 MARCH 2020

7.4. Information for using Standard Form 135. .............................................................. 62

7.5. Using Archives and Records Centers Information System to ship boxes of

records to and pull boxes from a federal records center. ......................................... 62

7.6. Shipping Containers. ................................................................................................ 62

Chapter 8AUTHENTICATING RECORDS 63

8.1. Authentication Methods for Air Force Records. ...................................................... 63

8.2. Authentication Authority. ........................................................................................ 64

8.3. Misuse of Authentication Authority or Methods. .................................................... 65

Chapter 9DISCOVERY/LITIGATION HOLD PROCESS 66

9.1. Scope. ....................................................................................................................... 66

9.2. Responsibility for Search. ........................................................................................ 66

9.3. Guidance on Search Procedures. .............................................................................. 67

9.4. Tracking Search Results. ......................................................................................... 67

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 33-322

23 MARCH 2020

Incorporating Change 1, 28 JULY 2021

COMMUNICATION AND

INFORMATION

RECORDS MANAGEMENT AND

INFORMATION GOVERNANCE

PROGRAM

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available for downloading or ordering on the e-

Publishing web site at www.e-Publishing.af.mil.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: SAF/CNZA

Supersedes: AFI33-321, 3 August 2011;

AFI33-322, 4 June 2012; AFMAN33-363; 1

March 2008; AFI33-364, 22 December 2006

Certified by: SAF/CNZ,

(Ms. Wanda Jones-Heath)

Pages: 97

This Air Force Instruction implements Air Force Policy Directive 33-3, Information Management. It establishes the Air Force records management program. This publication applies to all civilian employees and uniformed members of the Regular Air Force, Air Force Reserve, Air National Guard, and government contractors who create or maintain Air Force records. All individuals who are bound to comply with this instruction are This publication may be supplemented at any level, but all supplements must be routed to the OPR of this publication for coordination prior to certification and approval. Send suggestions on AF Form 847, Recommendation for Change of Publication, to make comments and suggested improvements in this instruction. The authorities to waive wing/unit level requirements in this

T-0, T-1, T-2, T-3

statement. See AFI 33-360, Publications and Forms Management, for a description of the authorities associated with the Tier numbers. Submit requests for waivers through the chain of commander for non-tiered compliance items. A reference to an internal paragraph that contains

the authority and directions is also permitted. This instruction sets forth penalties associated with

unauthorized concealment, removal, mutilation, obliteration or destruction of records without proper authority that are applicable to civilian and military personnel, including the Air Force Reserve and Air National Guard. Violations by Title 32 Air National Guard military personnel

2 AFI33-322 23 MARCH 2020

may subject them 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. Civilians who violate information records management and information governance policy may be disciplined in accordance with Air Force Instruction 36-704, Discipline and Adverse Actions of Civilian Employees. 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. Ensure all records generated as a result of processes prescribed in this publication adhere to Air Force Instruction 33-322, Records Management and Information Governance Program, and are disposed in accordance with the Air Force Records Disposition Schedule, which is located in the

Air Force Records Information Management System.

SUMMARY OF CHANGES

This interim change revises AFI 33-322 by (1) introducing the concept of zero trust, (2) adding

the access control of least privilege for records in shared drives and other electronic environments,

(3) adding information about records freezes, and (4) updating the Litigation Hold ESI request process. A margin bar (|) indicates newly revised material.

Chapter 1RECORDS MANAGEMENT OVERVIEW 5

1.1. Purpose. ................................................................................................................... 5

1.2. Federal and Departmental Guidance. ....................................................................... 5

1.3. Records. ................................................................................................................... 5

Chapter 2RECORDS MANAGEMENT RESPONSIBILITIES 9

2.1. Organizations. .......................................................................................................... 9

2.2. Formal Roles and Responsibilities. .......................................................................... 9

CHAPTER 3MANAGING RECORDS 23

3.1. Records Maintenance Objectives. ............................................................................ 23

3.2. Air Force Records Information Management System. ............................................ 23

3.3. Inventory of Records. .............................................................................................. 23

3.4. Records Maintenance Procedures. ........................................................................... 24

3.5. Process to Request Copies or Removal of Official Records. ................................... 27

3.6. Essential Records Plan. ............................................................................................ 27

3.7. Deployed Units. ....................................................................................................... 29

Chapter 4MANAGING ELECTRONICALLY STORED INFORMATION 31

4.1. Electronically Stored Information. ........................................................................... 31

AFI33-322 23 MARCH 2020 3

4.2. Electronically Stored Information Management Roles and Responsibilities. ......... 31

4.3. Electronic Records Systems. .................................................................................... 31

Table 4.1. Sample of Decision Logic Table to Accompany AF Form 525. ............................. 32

4.4. Electronic Records management. ............................................................................. 34

4.5. Electronically Stored Information and the Federal Rules of Civil Procedure. ........ 34

4.6. Managing the E-File Area. ....................................................................................... 35

Figure 4.1. E-Files Directory (example). ................................................................................... 36

4.7. Records Integration. ................................................................................................. 38

4.8. Schedule Disposition. .............................................................................................. 38

4.9. Social Media. ........................................................................................................... 39

Chapter 5RECORDS STAGING AREAS 40

5.1. Records Staging Areas. ............................................................................................ 40

5.2. Size and Location. .................................................................................................... 40

5.3. Staging Area Waivers. ............................................................................................. 40

5.4. Staging Area Procedures. ......................................................................................... 41

Chapter 6DISPOSING AND TRANSFERRING RECORDS 43

6.1. Disposing of Records. .............................................................................................. 43

Table 6.1. Retention and Retirement Standards for Air Force Activities (Records not in

Electronic form). ...................................................................................................... 44

6.2. Transferring Records to the National Archives and Records Administration. ........ 57

6.3. Transferring Records to Other Agencies and Organizations. .................................. 58

6.4. Getting Records from a Records Center, Staging Area, or Other Organizations..... 58

6.5. Restrictions on Release of Information. ................................................................... 60

6.6. Removing Records Permanently. ............................................................................. 60

6.7. Returning Borrowed Records. ................................................................................. 60

6.8. Loaning Already Borrowed Records. ...................................................................... 60

6.9. Addressing Inquiries. ............................................................................................... 60

6.10. Withdrawing Records by Reactivated Installations and Units. ................................ 60

Chapter 7SHIPPING RECORDS 61

7.1. Standard Form 135. .................................................................................................. 61

Table 7.1. Number of Copies and Distribution of SF 135. ....................................................... 61

7.2. Methods of Shipment. .............................................................................................. 62

7.3. For Official Use Only Files...................................................................................... 62

4 AFI33-322 23 MARCH 2020

7.4. Information for using Standard Form 135. .............................................................. 62

7.5. Using Archives and Records Centers Information System to ship boxes of

records to and pull boxes from a federal records center. ......................................... 62

7.6. Shipping Containers. ................................................................................................ 62

Chapter 8AUTHENTICATING RECORDS 63

8.1. Authentication Methods for Air Force Records. ...................................................... 63

8.2. Authentication Authority. ........................................................................................ 64

8.3. Misuse of Authentication Authority or Methods. .................................................... 65

Chapter 9DISCOVERY/LITIGATION HOLD PROCESS 66

9.1. Scope. ....................................................................................................................... 66

9.2. Responsibility for Search. ........................................................................................ 66

9.3. Guidance on Search Procedures. .............................................................................. 67

9.4. Tracking Search Results. ......................................................................................... 67


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