AFI33-364.pdf

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 33-364

22 DECEMBER 2006

Communications and Information

RECORDS DISPOSITION—PROCEDURES

AND RESPONSIBILITIES

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available for downloading or ordering on the e-Publishing website at http://www.e-publishing.af.mil.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: SAF/XCISI Certified by: SAF/XCIS (Col Marcus S. Miller) Supersedes AFI 37-138, 31 March 1994. Pages: 73

This instruction implements Air Force Policy Directive (AFPD) 33-3, Information Management, by list-ing program objectives and responsibilities, guiding personnel in disposing of special types of records, retiring or transferring records using staging areas, and retrieving information from inactive records. This instruction applies to all Air Force military, civilian, and contractor personnel under contract by the Department of Defense (DoD) who maintain records in their area of responsibility, including the Air National Guard (ANG), Air Force Reserve Command (AFRC), and unified commands for which the Air Force is the executive agent. If a major command (MAJCOM) supplements this instruction, a copy of the supplement must be provided to the Secretary of the Air Force, Office of Warfighting Integration and Chief Information Officer, Information Policy Branch (SAF/XCISI), 1800 Air Force, Pentagon, Washing-ton DC 20330-1800. Send recommended changes or comments to Headquarters Air Force Communica-tions Agency (HQ AFCA/EASD), 203 W. Losey St, Room 1100, Scott AFB IL 62225-5222, through appropriate channels, using Air Force (AF) Form 847, Recommendation for Change of Publication, with an information copy to SAF/XCISI. Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual (AFMAN) 37-123, Management of Records (will become AFMAN 33-363), and disposed of in accordance with the Air Force Records Infor-mation Management System (AFRIMS) Records Disposition Schedule (RDS) located at https:// afrims.amc.af.mil/rds_series.cfm. See Attachment 1 for a glossary of references and supporting infor-mation.

SUMMARY OF CHANGES

This document applies to all Air Force contractor and military personnel, including active duty, AFRC units, ANG, and civilian personnel; defines ownership of records created by ANG units; deletes the need to ship long-term electronic records to a Federal records center; updates references to reflect current sup-porting material; updates the definition of records management terms; adds several new terms; terminol-ogy, as defined in Attachment 1, will be used as source definitions for implementing instructions, manuals, and handbooks of this instruction.

http://www.e-publishing.af.mil https://afrims.amc.af.mil/rds_series.cfm https://afrims.amc.af.mil/rds_series.cfm

2 AFI33-364 22 DECEMBER 2006

Chapter 1— OVERVIEW AND OBJECTIVES 6

1.1. Overview of the Records Disposition Program

1.2. Objectives of the Records Disposition Program

Chapter 2— CATEGORIES OF RECORDS 7

2.1. Federal Records

2.2. Personal Records

2.3. Private Organizations’ Records

2.4. Permanent Records

2.5. Temporary Records

2.6. Unscheduled Records

2.7. State Records

2.8. Records in Other Than Paper Form

2.9. Vital Records During Emergency

2.10. Contractors’ Records

Chapter 3— TRANSFER OF PERMANENT ELECTRONIC RECORDS TO NATIONAL

ARCHIVES AND RECORDS ADMINISTRATION (NARA) 11

3.1. Current Acceptable Formats Transferable to National Archives and Records Administration

3.2. Transfer Criteria

3.3. Transfer Information

3.4. Transfer Requirements for Scanned Images of Textual Records

3.5. Image File Format

3.6. Acceptable Image Quality Specifications

3.7. Transfer Documentation

3.8. Transfer Mechanisms for Scanned Images Textual Records

3.9. Records in Portable Document Format (PDF)

3.10. Digital Photographic Records

3.11. Digital Geospatial Data Records

3.12. National Archives and Records Administration (NARA) Records Manager (RM) ... 21

Chapter 4— PROCEDURES FOR DOCUMENT REMOVAL 24

4.1. Nonauthorized Removal of Documents

4.2. Documents Authorized for Removal

AFI33-364 22 DECEMBER 2006 3

4.3. Statutory and Regulatory Requirements

4.4. Removal Procedures

Chapter 5— DISPOSITION PROCEDURES 25

5.1. Authority and Implementation

5.2. Retention and Retirement Standards

Table 5.1. Retention and Retirement Standards for Active Air Force Activities

5.3. Emergency Retirement

5.4. Emergency Disposal of Records, IRCN: 1095-NAR-AR

5.5. Damage to or Unauthorized Disposition of Records

5.6. Intra-Air Force Transfer

5.7. Transfer to the National Archives

5.8. Transfer to Other Government Agencies

5.9. Transfer Outside of Government Agencies

5.10. Authorized Methods of Disposal

Chapter 6— DISPOSITION OF SPECIAL TYPES OF RECORDS 35

6.1. Records More Than 30 Years Old

6.2. Records Deteriorating Because of Storage Conditions

6.3. Foreign Language Records

6.4. Joint Activities Records

6.5. International Pact Organization Records

6.6. “For Official Use Only” (FOUO) Records

6.7. “Internal Air Force Working Papers” and “Air Force Eyes Only” Records

Chapter 7— DISPOSITION PROCEDURES FOR RECORDS OF UNITS

AND ACTIVITIES CHANGING STATUS 37

7.1. Redesignation or Reorganization of Units and Activities

7.2. Inactivation of Units and Activities

7.3. Installations Placed on Inactive or Standby Status

7.4. Units Alerted for Overseas Movement

7.5. Transferred Units

7.6. Air Force Reserve and Air National Guard (ANG) Units

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Chapter 8— SHIPPING RECORDS 39

8.1. Shipping Containers

Table 8.1. Number of Copies and Distribution of SF 135

8.2. Where To Obtain Boxes

8.3. Preparing Records Series for Packing

8.4. Packing Unclassified Records Series

Figure 8.1. Packing Records for Transfer or Retirement

8.5. Packing Classified Records Series

8.6. Sealing and Marking Boxes

8.7. Methods of Shipment

Figure 8.2. Sample of a Loaded Skid (Contact FRC for specific instructions)

8.8. For Official Use Only (FOUO) Files

8.9. Using Standard Form (SF) 135

Chapter 9— RECORDS STAGING AREAS 49

9.1. Purpose of Records Staging Areas

9.2. Setting Up Staging Areas

9.3. Using Staging Areas

9.4. Supervising Staging Areas

9.5. Staging Area Space

9.6. Staging Area Equipment

9.7. Storing Administrative Files

9.8. Receiving Procedures

9.9. Disposition Procedures

Chapter 10— GETTING INFORMATION FROM INACTIVE RECORDS 53

10.1. General Information

10.2. Getting Records From an Air Force Organization

10.3. Getting Records From a Records Center or Staging Area

Chapter 11— PROCEDURES TO REQUEST CHANGES 56

11.1. Revisions to this Instruction and/or AFRIMS RDS

11.2. Suggesting Changes, Additions, or Deletions to This Instruction and AFRIMS RDS

AFI33-364 22 DECEMBER 2006 5

11.3. Justification of Changes

11.4. Dispositions Pending

11.5. Information Collection, Records, and Forms

Attachment 1— GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION 58

Attachment 2— GUIDE TO RECORD CENTERS, REPOSITORIES, AND THE

LOCATION OF RETIRED AIR FORCE RECORDS 64

Attachment 3— REGIONAL ARCHIVES AND RECORDS CENTERS 70

6 AFI33-364 22 DECEMBER 2006

Chapter 1

OVERVIEW AND OBJECTIVES

1.1. Overview of the Records Disposition Program. Each military agency head must economically and efficiently manage the agency’s records according to Title 44 United States Code (USC) § 2101-2118;

§ 3101-3107; 3301-3314; Title 36 Code of Federal Regulations (CFR), Part 1228, Disposition of Records, and applicable regulations of the General Services Administration (GSA), Government Accountability Office (GAO), and DoD. In the Air Force, economical and efficient records management involves sched-uling 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, and setting up safeguards against illegal removal, loss, or destruction of records.

1.1.1. Do not dispose of any record without the specific authority of the Archivist of the United States. This guidance is reflected in the AFRIMS RDS.

1.1.2. See AFI 33-322, Records Management Program, for specific responsibilities.

1.2. Objectives of the Records Disposition Program.

1.2.1. Retire long-term (10 years old or older) paper records to authorized Federal Record Centers (FRC). A list of FRCs can be found at Attachment 2. Long-term electronic records are stored within the Air Force. Additional guidance on electronic records is found in the Electronic Records Manage-ment (ERM) Solution Guide at https://afrims.amc.af.mil/web_links.cfm and AFMAN 37-123 (will become AFMAN 33-363).

1.2.2. Transfer short-term paper records (less than 10 years old) to authorized local staging areas.

1.2.3. Dispose of short-term holdings as soon as authorized.

https://afrims.amc.af.mil/web_links.cfm

AFI33-364 22 DECEMBER 2006 7

Chapter 2

CATEGORIES OF RECORDS

2.1. Federal Records. Official records vary widely to include books, papers, maps, photographs, elec-tronic media, or other documentary materials, regardless of physical form or characteristics, that the Air Force makes or receives under Federal law or during the course of its public business and keeps as evi-dence of its organization, functions, policies, decisions, procedures, operations, or other activities, and because of the material’s informational value. Exception: Library and museum material that serves only reference or exhibition purposes, stocks of publications, and blank forms.

NOTE: Official records are public records and belong to the office, rather than the official.

2.1.1. Collections of official records are known as official files. Removal and destruction of official records must be according to AFRIMS RDS, or other directives authorized in this instruction. Dispose of classified official records according to AFRIMS RDS and AFI 31-401, Information Security Pro-gram Management.

2.2. Personal Records. Personal records relate solely to an individual’s private affairs, including papers the individual created before entering Government service, private materials the individual brought into, created, or received in the office, but are not related to Government business and work-related circum-stances. Personal records are not used for transacting Government business.

2.2.1. Maintain and dispose of correspondence designated “personal” or “private” but relating to the conduct of public business according to 44 USC §3101-3107.

2.2.2. Do not include classified information in personal records.

2.2.3. Work-Related Personal Records. Work-related personal records include diaries, journals, per-sonal calendars, and appointment schedules that contain work-related information, but exist for the official’s personal use (such as reminders and personal observations on work-related topics) and are not for transacting Government business.

2.2.3.1. File personal records separately from the records of the agency.

NOTE: The Air Force may later designate some of these materials as official records, depending on the circumstances surrounding their creation, maintenance, use, or disposition.

2.2.4. Personal Copies of Records and Nonrecord Materials. When leaving Government service, per-sonnel may take copies of particular agency papers, working papers, and nonrecord materials, espe-cially if they plan to continue working in the same field or write memoirs. With agency approval, personnel may take nonrecord copies of documents and copies of materials they drafted, reviewed, or otherwise acted upon.

2.2.4.1. If personnel have not been keeping extra copies of documents, the agency may arrange to make selected, preapproved copies for them before their departure.

2.2.5. Presidential appointees and other officials in policy-making positions may donate personal records and extra copies of official papers they created or acted upon during their term of office to a presidential library, the National Archives, or the Air Force Historical Research Agency (AFHRA), 600 Chennault Circle, Maxwell AFB AL 36112-6424.

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Exception: Donated papers must not contain classified material or compartmented, restricted data, or formerly restricted data.

2.2.5.1. Donors who qualify according to AFI 31-401 may be granted access to classified mate-rial.

2.2.5.2. Officials may choose to dispose of the reference (or extra copy) file according to approved disposition.

2.3. Private Organizations’ Records. Records of private organizations (such as the American Red Cross, Air Force Aid Society, federal credit unions, various national scouting organizations, Little League, American Legion, hobby clubs, and other special interest groups) serving Air Force communities are not official records within the scope of this instruction. (See AFPD 34-2, Managing Nonappropriated Funds, for more details on private organizations.)

2.4. Permanent Records. Permanent records include those that the Archivist of the United States decides have enduring value because they document the organization and functions of the Air Force, con-tain significant information on persons, things (such as historic buildings or manufactured objects), places, events, contingency operations, conflicts, problems, and conditions with which the Air Force has dealt.

2.4.1. Personnel must justify records that they consider worthy of permanent retention (see paragraph 11.3.2.).

2.4.2. Only the Archivist of the United States can approve the permanent retention of records. Such approvals take the form of appropriate disposition standards published in AFRIMS RDS; 44 USC § 3301-3314; the National Archives and Records Administration (NARA); General Records Schedule (GRS); Federal Information Resources Management Regulation; and Title 41, CFR, Part 105, Gen-eral Services Administration.

2.5. Temporary Records. Temporary records are any records determined by the Archivist of the United States to have insufficient value to warrant preservation by the National Archives. Temporary records are disposable after a fixed period of time or after an event and according to the AFRIMS RDS.

2.6. Unscheduled Records. Unscheduled records are not disposable under the GRS and have not been approved by NARA; they are described, but not authorized for disposal by NARA because they are on “Disposition Pending” status or NARA has not completed the appraisal. Do not retire unscheduled records to records centers without special permission from the Air Force Records Officer, who will send a waiver request addressing NARA restrictions.

2.7. State Records. These records are created by military members, most specifically ANG members in performance of state-funded activities and belong to the state funding the activity. There may be a thin line separating Federal and State records. For example, during a hurricane or flood an ANG unit may be activated to assist with a state emergency. Should the Federal Emergency Management Agency (FEMA) get involved or Federal dollars be expended toward the emergency, the records created by the ANG become Federal records. State records are the property of the state, and Federal records are the property of the Agency (i.e., Air Force). When there is an issue of whether records are state or Federal property, the ANG unit’s Base Records Manager (BRM) will contact the ANG Command Records Manager (CRM) for

AFI33-364 22 DECEMBER 2006 9

guidance. If necessary, the ANG CRM will coordinate with the Air Force Records Officer (and any appli-cable MAJCOM CRM.

2.7.1. State or Federal records pertaining to AFRC issues should be directed to the AFRC CRM.

2.7.2. State or Federal records pertaining to active duty Air Force issues should be directed to the applicable MAJCOM CRM.

2.7.3. The Air Force Records Officer will provide guidance to the BRM as necessary or in the event the CRM is unavailable.

2.8. Records in Other Than Paper Form. These records include data on servers, hard disk drives, shared drives, all types of compact discs, digital versatile disks (DVD), optical disks, magnetic tapes, floppy disks, computer disk drums, records on hard disks and in electronic databases, paper tapes, infor-mation on microform (such as roll films, aperture cards, film jackets, microfiche, ultrafiche, video disks, and tapes) and audiovisual records (such as motion pictures, still photography, and sound recordings). The same general principles of record evaluation and the specific disposition instructions prescribed in the AFRIMS RDS apply regardless of physical form or characteristics of the medium. Records of differing retention periods in the same system are retained for the longest period authorized for any of the recorded data in the system and require backup for records preservation.

2.8.1. Prepare and submit an AF Form 525, Records Disposition Recommendation, according to para-graph 11.2. for any records not covered in AFRIMS RDS. When evaluating records in other than paper form consider if all information contained in source documents is committed to the system; if medium involved will be exportable into a readable format for future reference such as audits, accountability, backup data to reports, and so forth; if optical disks, electronic records, and micro-forms are duplications of records, substitutions of records or new records; and if the records meet the requirements of NARA and GSA concerning the long-term retention value of audiovisual or carto-graphic records (see paragraphs 5.7.1.4. and 5.7.2.).

2.9. Vital Records During Emergency. The Federal vital records program includes two basic catego-ries: emergency operating records and rights and interest records.

2.9.1. Emergency operating records serve the Federal Government if the country is attacked and include records necessary for military efforts and mobilization; protection of material, personnel, ser-vices, systems, public health, safety, and order; and those needed to conduct civil defense activities.

2.9.1.1. Emergency operating centers must keep vital records immediately available.

2.9.1.2. The Headquarters United States Air Force, Deputy Chief of Staff, Plans and Programs, (HQ USAF/A8) manages the emergency operation program for the Air Force as part of the Air Force Continuity of Operations Plan, the USAF Operation and Mobilization Plan, and other con-tingency war or planning programs (see AFI 10-208, Continuity of Operations (COOP) Program;

AFI 10-401, Air Force Operations Planning and Execution; and AFI 10-2501, Full Spectrum Threat Response [FSTR] Planning and Operations).

2.9.2. Rights and interest records uphold the legal rights and interests of individual citizens and their Government and include research, Social Security, retirement, payroll, and insurance records.

2.9.2.1. The Social Security Administration maintains social security records.

2.9.2.2. The Office of Personnel Management maintains civilian retirement records.

10 AFI33-364 22 DECEMBER 2006

2.9.2.3. The Air Force Military Personnel and the Air Force Reserve Personnel Centers send the military personnel retirement records to the National Personnel Records Center (NPRC), 9700 Page Avenue, St Louis, MO 63132-5100.

2.9.2.4. The Defense Finance and Accounting Service (DFAS) maintains payroll and accompany-ing insurance records.

2.9.2.5. The offices of primary responsibility (OPR) send research records to the FRCs when the Air Force no longer needs the records.

2.9.2.6. The OPRs generally send permanent research records to the Washington National Records Center (WNRC).

2.9.2.7. The NARA will store, protect, and maintain rights and interest vital records for agencies desiring permanent storage of their vital records.

2.9.2.8. Each NARA record center has environmentally controlled space for storing records on magnetic tape and photographic film.

2.9.2.9. Transfer rights and interest records to a record center by contacting the Air Force Record Officer (SAF/XCISI) who will coordinate with personnel from the FRC Operations in Washington DC to determine which FRC will receive the records.

2.10. Contractors’ Records. Records relating to work that contractors perform are maintained accord-ing to AFRIMS RDS, the Federal Acquisition Regulation, and the Defense Federal Acquisition Regula-tion Supplement, as applicable.

2.10.1. When contractors create data for the government’s use, the contract must identify the back-ground data that contractors must deliver to the government for possible reuse.

2.10.1.1. Before identifying the background data that contractors must deliver to the government, program and contracting officers must coordinate with records and information managers, histori-ans and other government agencies as appropriate to ensure that all government needs are met, especially when the data supports new missions or programs.

2.10.1.2. When the background data includes electronic records, the contractor must deliver enough technical documentation to allow the Air Force or other agencies to use the data.

2.10.1.3. Manage all data created for government use or legally controlled by the government according to the records management procedures in this instruction.

AFI33-364 22 DECEMBER 2006 11

Chapter 3

TRANSFER OF PERMANENT ELECTRONIC RECORDS TO NATIONAL ARCHIVES AND

RECORDS ADMINISTRATION (NARA)

3.1. Current Acceptable Formats Transferable to National Archives and Records Administration (NARA) (36 CFR Part 1228).

3.1.1. Acceptable Format. Electronic records being transferred to NARA must be written in a format that does not depend on specific hardware or software to decode it. Acceptable codes are the Ameri-can Standard Code for Information Interchange and the Extended Binary-Coded Decimal Interchange Code. All extraneous control characters must be removed, except:

3.1.1.1. Record length indicators for variable length records.

3.1.1.2. Marks delimiting a data element, field, record, or file.

3.1.1.3. Standardized Markup Language tags.

3.1.2. Data files and databases will be transferred as flat files or as rectangular tables, i.e., as two-dimensional arrays, lists, or tables. All records in a database should have the same logical format.

Each data element within a record will contain only one data value. A record should not contain nested repeating groups of data items.

3.1.3. Acceptable Media. Media forms currently approved by NARA for electronic records transfer are listed in paragraphs 3.1.3.1., 3.1.3.2., and 3.1.3.3. NARA will copy the contents of the media at the time of accessioning and return the media to the transferring activity unless that activity indicates it does not want the media returned.

3.1.3.1. Open Reel Magnetic Tape. Open-reel magnetic tape shall be on ½-inch 9-track tape reels recorded at 1600 or 6250 bits per inch (bpi) that meet American National Standard Institute (ANSI) X3.39-1986, American National Standard: Recorded Magnetic Tape for Information Interchange (1600 characters per inch ) or ANSI X3.54-1986, American National Standard;

Recorded Magnetic Tape for Information Interchange (6250 cpi, Group Coded Recording), respectively.

3.1.3.2. Magnetic Tape Cartridge – 18-Track 3480-Class. Tape cartridges shall be 18-track 3480-class cartridges recorded at 37,871 bpi that meet ANSI X3.180-1990, American National Standard: Magnetic Tape and Cartridge for Information Interchange - 18-Track, Parallel, 1/2 inch (12.65 millimeter [mm]), 37871 cpi, Group-Coded - Requirements for Recording. The data shall be blocked at no more than 32,760 bytes per block.

3.1.3.3. Digital Linear Tape (DLT) Type IV. DLT Type IV high-density magnetic cartridge tape was added to NARA’s list of acceptable electronic records transfer media in November 2001. DLT Type IV can store up to 40 gigabytes of information on each cartridge. Activities interested in using this media for records transfer should coordinate with the appropriate Joint Staff/Headquar-ters Combatant Command Records Manager, who will coordinate with NARA’s Electronic and Special Media Records Services Division concerning technical limitations prior to initiating such a transfer.

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3.2. Transfer Criteria.

3.2.1. Transfers of electronic records must consist of an identifiable, organized body of records (not necessarily a traditional series, e.g., the electronic mail (E-mail) records of the Deputy Secretary from the past fiscal year). The records should be scheduled for transfer to NARA using the Standard Form (SF) 115, Request for Records Disposition Authority, prior to transfer if an existing approved schedule does not exist.

3.2.2. E-Mail transfers should come from E-mail systems or from a DoD 5015.2-STD, Design Crite-ria Standard for Electronic Records Management Software Applications, certified Records Manage-ment Application (RMA). (Note: In the ‘II’ format (i.e., little-endian), byte order is always from the least significant byte to the most significant byte.) If you need to send them from some other kind of system, first contact NARA to see if they can accommodate it.

3.2.3. For preservation purposes, NARA prefers that agencies transfer E-mail and their attachments in a markup language format that contains:

3.2.3.1. Delimiters to indicate the beginning and end of each message and the beginning and end of each attachment, if any. Each attachment must be differentiated from the body of the message, and uniquely identified.

3.2.3.2. Labels to identify each part of the message (Date, To [all recipients, including cc: and bc:

copies], From, Subject, Body, and Attachment) including transmission and receipt information (Time Sent, Time Opened, Message Size, File Name, and similar information, if available). Agen-cies that use an E-mail system that identifies users by codes or nicknames, or identifies addressees only by the name of a distribution list should include information with the transfer-level documen-tation, to ensure identification of the sender and addressee). (Note: For records created after the effective date of this guidance, tagged image file format (TIFF) version 6.0 is recommended and preferred. Versions 4.0 and 5.0 are acceptable. The reference specifications for version 6.0 are defined at http://partners.adobe.com/public/developer/tiff/index.html#dr).

3.2.3.3. If a markup language cannot be produced, NARA will accept E-mail messages and their attachments in their native formats. Each attachment should be labeled with its filename and the default file extension to indicate the proprietary software used to create the attachment. If attach-ment file names do not include the default file extension (e.g., .doc, .xls), agencies must provide documentation identifying the proprietary formats used to create each attachment.

3.2.4. At this time, NARA will not accept E-mail messages that have been converted to a portable document format (PDF) or other image file format. NARA is developing transfer requirements for PDF and scanned images as part of the NARA Electronic Records Management Initiative.

3.2.5. Attachments to E-mail messages may be transferred in their native formats, such as PDF, other image file formats, and common office automation formats.

3.3. Transfer Information.

3.3.1. Transfer records on Type IV DLT or through file transfer protocol (FTP). FTP transfers cur-rently are limited to a maximum size of five gigabytes (5 GB). For FTP transfers, the offering organi-zation must provide the following information to NARA: internet protocol (IP) address for the FTP site, a temporary user name and temporary password for NARA to use in accessing the FTP site, a designated time or time span for NARA to access the records and download a copy to NARA.

http://partners.adobe.com/public/developer/tiff/index.html#dr

AFI33-364 22 DECEMBER 2006 13

NOTE: See http://jitc.fhu.disa.mil/recmgt/register.htm for a list of Records Management Applications (RMA) compliant with DoD 5015.2-STD.

3.3.2. DoD 5015.2-STD defines intelligent names as clear, uncoded, indications of the individual.

3.4. Transfer Requirements for Scanned Images of Textual Records.

3.4.1. This guidance expands currently acceptable formats to enable the transfer of existing scanned images of textual records to NARA. (Note: In the ‘II’ format (i.e., little-endian), byte order is always from the least significant byte to the most significant byte.) The guidance does not apply to “original digital images” or scanned images of primarily nontextual records (e.g., maps and photographs).

3.4.2. NARA will accept transfers of scanned images that have been scheduled as permanent records on an SF 115. To facilitate preservation processing and future access to these records, agencies must comply with the following minimum requirements.

3.5. Image File Format.

3.5.1. NARA will accept scanned images in the following file formats:

3.5.1.1. TIFF, in ‘II’ format, versions 4.0 (April 1987), 5.0 (October 1988), and 6.0 (June 1992).

(Note: For records created after the effective date of this guidance, TIFF version 6.0 is recom-mended and preferred. Versions 4.0 and 5.0 are acceptable. The reference specifications for ver-sion 6.0 are defined at http://partners.adobe.com/public/developer/tiff/index.html#dr.)

3.5.1.2. Graphics Interchange Format, versions 87a (June 1987), and 89a (July 1990).

3.5.1.3. Basic Image Interchange Format (BIIF), International Standards Organization (ISO) Standard 12087-5, Part 5 (December 1998).

3.5.1.4. Portable Network Graphics, version 1.0 (October 1996).

3.5.2. NARA will periodically update this set of acceptable formats and versions.

3.5.3. NARA prefers uncompressed images. With prior consultation between NARA and the transfer-ring organization, NARA may accept compressed images created using a lossless compression method (e.g., International Telecommunications Unit (ITU) when it is impractical or technically impossible to transfer uncompressed files (e.g., due to limitations on bandwidth or storage media capacities). NARA will not accept images created using lossy compression techniques because the potential information loss that can result from compression can make such images unsuitable for archival preservation. (Note: Lossy refers to a method of image compression where some image con-tent is sacrificed in exchange for higher compression ratios).

3.6. Acceptable Image Quality Specifications.

3.6.1. Scanned images of textual records transferred to NARA must meet the following minimum requirements for scanning resolution and pixel (bit) depth to support archival preservation and contin-ued use.

3.6.2. Bitonal (1-bit) scanned at 300-600 pixels per inch (ppi). (Note: The acronym JPEG stands for the Joint Photographic Experts Group, a standards committee formed in 1982 by the ISO to research methods for electronically transmitting video, still images, and text.) This is appropriate for docu-http://jitc.fhu.disa.mil/recmgt/register.htm

14 AFI33-364 22 DECEMBER 2006

ments that consist exclusively of clean printed type possessing high inherent contrast (e.g., laser printed or typeset on a white background). Scanning at 600 ppi is recommended.

3.6.3. Gray scale (8-bit) scanned at 300-400 ppi. This is appropriate for textual documents of poor legibility because of low inherent contrast, staining or fading (e.g., carbon copies, thermofax, or doc-uments with handwritten annotations or other markings), or that contain halftone illustrations or pho-tographs. Scanning at 400 ppi is recommended.

3.6.4. Color (24-bit Red, Green, Blue [RGB]) scanned at 300-400 ppi. Color mode (if technically available) is appropriate for text containing color information important to interpretation or content.

Scanning at 400 ppi is recommended.

3.7. Transfer Documentation.

3.7.1. Submit signed SF 258, Agreement to Transfer Records to the National Archives of the United States.

3.7.1.1. For each transfer, supply documentation that identifies:

3.7.1.1.1. Imaging system and version (i.e., application software and storage system).

3.7.1.1.2. Records Management Application (if applicable) and version.

3.7.1.1.3. Image file format and version.

3.7.1.1.4. Image quality specifications (i.e., resolution, pixel (bit) depth, compression tech-nique).

3.7.1.1.5. Total number of documents in the transfer.

3.7.1.1.6. Total number of images in the transfer.

3.7.1.1.7. Arrangement of files on the transfer media.

3.7.1.1.8. Operating system and version.

3.7.1.1.9. Structure of image header (if applicable).

3.7.1.2. In addition, supply the following:

3.7.1.2.1. Control information necessary to enable retrieval of each file, including whether the file is a single image or multiple images. Such information can be conveyed through metadata (e.g., a thumbnail index), captured for each document either in the image header or in accom-panying documentation.

3.7.1.2.2. Finding aids, indexes, and other information used to retrieve the records also must be transferred to NARA to support future access to the records.

3.7.1.2.3. The Optical Character Recognition (OCR) versions of the images (i.e., additional files enabling full text searches linked to the appropriate scanned image), if available.

3.7.1.3. Supply a description of the quality control inspection performed as part of the imaging process and a report on the results of the last inspection performed on the images and the date of that inspection.

3.7.1.4. For inspections conducted after the effective date of this guidance, agencies must use one of the quality sampling methods presented in ANSI/Association of Information Imaging Manag-

AFI33-364 22 DECEMBER 2006 15

ers (AIIM) TR34-1966, Sampling Procedures for Inspection by Attributes of Images in Electronic Image Management and Micrographic Systems at http://www.aiim.org, or by contacting the Records Management Program Office at af.records@pentagon.af.mil.

3.8. Transfer Mechanisms for Scanned Images Textual Records.

3.8.1. Transfer scanned images as uncompressed and nonaggregated files.

3.8.1.1. Transfer records on DLT Type IV or through FTP. FTP transfers currently are limited to a maximum size of 5 GB. For FTP transfers, the offering agency must provide the following infor-mation to NARA: the IP address for the agency FTP site, temporary user name and temporary password for NARA to use in accessing the agency FTP site, designated time or time span for NARA to access the records and download a copy to NARA.

3.8.1.1.1. The “II” format (i.e., little-endian) byte order is always from the least significant byte.

3.9. Records in Portable Document Format (PDF).

3.9.1. This instruction expands currently acceptable formats to enable the transfer of records in PDF to NARA. Find transfer requirements for records in PDF (paragraphs 3.9.2. and 3.9.3.), records con-verted to PDF from their native electronic formats (e.g., office automation products), records con-verted to PDF from scanned paper or image formats such as TIFF.

3.9.2. Transfer Requirements for PDF Records.

3.9.2.1. Transfer PDF records that have been scheduled as permanent records on SF 115. Any organization that has permanent PDF records that do not meet the requirements in this instruction, should contact the NARA appraisal archivist for the Air Force and the Air Force Records Officer.

To facilitate future access to the records, organizations must comply with the following minimum requirements:

3.9.2.1.1. Provide PDF File Specification for all PDF records.

3.9.2.1.1.1. PDF records must comply with PDF versions 1.0 through 7.0 (i.e., all existing PDF versions as of the date of this instruction) and meet the requirements outlined in para-graphs 3.9.2. through 3.9.2.1.1.

3.9.2.1.1.2. NARA periodically updates the list of acceptable PDF versions.

3.9.3. General Requirements for All PDF records.

3.9.3.1. Security Requirements.

3.9.3.1.1. PDF records must not contain security settings (e.g., self-sign security, user pass-words, and/or permissions) that prevent NARA from opening, viewing or printing the record.

3.9.3.1.2. PDF records created after 1 April 2004 must have all security settings deactivated (e.g., encryption, master passwords, and/or permissions) prior to transfer to NARA. Deactiva-tion of security settings ensures NARA’s ability to support long-term record migration and preservation.

3.9.3.2. Review of Special Features. Because of the complexities associated with certain PDF fea-tures, NARA will review PDF records containing special features on a case-by-case basis when http://www.aiim.org mailto:af.records@pentagon.af.mil

16 AFI33-364 22 DECEMBER 2006

the records are scheduled. Examples of special features include but are not limited to: digital sig-natures; links to other documents, files or sites; embedded files (including multimedia objects);

form data; comments and/or annotations.

3.9.4. Requirements for Records Converted to PDF from their Native Electronic Formats (e.g., office automation products).

3.9.4.1. Electronic records that have been converted to PDF from their native electronic formats must include embedded fonts to guarantee the visual reproduction of all text as created. All fonts embedded in PDF records must be publicly identified as legally embeddable (i.e., font license per-mits embedding) in a file for unlimited, universal viewing and printing.

3.9.4.1.1. PDF records that reference fonts other than the “base 14 fonts” must have those fonts referenced in the record (i.e., as a minimum, subsets of all referenced fonts) embedded within the PDF file. (Note: TIFF version 6.0 is recommended and preferred for records created after the effective date of this guidance. Versions 4.0 and 5.0 are acceptable. The reference specifications for version 6.0 are defined at http://partners.adobe.com/public/developer/ tiff/index.html#dr.)

3.9.4.1.2. PDF records created after 1 April 2004 must have all fonts referenced in the record, including the “base 14 fonts,” embedded within the PDF file. This requirement is met by hav-ing, as a minimum, subsets of all referenced fonts embedded within the PDF file.

3.9.5. Requirements for Scanned Paper or Image Formats Converted to PDF.

3.9.5.1. Scanned images of textual paper records converted to PDF must adhere to the require-ments in NWM 02.2003, Memorandum to Agency Records Officers: Expanding Acceptable Transfer Formats: Transfer Instructions for Scanned Images of Textual Records (Scanned Images Transfer Guidance), dated December 23, 2002, located at http://www.archives.gov/ records-mgmt/initiatives/pdf-records.html.

3.9.5.1.1. Any organization that has PDF records that have not been scanned according to the minimum image quality specifications in the NWM 02.2003 guidance, must contact the Air Force Record Officer (SAF/XCISI) for guidance.

3.9.5.2. PDF records that contain embedded searchable text based on OCR must be identical in content and appearance to the source document. NARA understands that the ability to embed OCRed text in PDF records enhances access to the records. NARA will accept PDF records with uncorrected OCRed text. NARA will not accept PDF records resulting from OCR processes that either alter the content or degrade the quality of the original bit-mapped image.

3.9.5.2.1. NARA will accept PDF records that have been OCRed using processes that do not alter the original bit-mapped image. An example of an output process that accomplishes this requirement is Searchable Image - Exact.

3.9.5.2.2. NARA will not accept PDF records that have been OCRed using processes that sub-stitute OCRed text for the original scanned text within the bit-mapped image. Such OCR pro-cesses may involve loss of data through imprecise interpretation of scanned characters.

Examples of output processes that use this prohibited technique include Formatted Text and Graphics and PDF Normal.

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3.9.5.2.3. NARA will not accept PDF records that have been OCRed using processes that use lossy compression to reduce file size (e.g., JPEG). Such OCR processes degrade the quality of the original image and may make such images unsuitable for archival preservation. An exam-ple of an output process that uses this lossy compression technique for color and grayscale images is Searchable Image - Compact.

3.9.6. Transfer Documentation.

3.9.6.1. This guidance supplements transfer documentation requirements in 36 CFR Part 1228, located at http://www.archives.gov/about/regulations/part-1228/i.html to ensure that transfers of records in PDF are clearly identified and described. Organizations must also submit a signed SF 258, as required by 36 CFR Part 1228.

3.9.6.1.1. For each transfer, organizations must supply documentation that identifies the soft-ware used to create the PDF records (if available) and the version, and the operating system (if available) and version.

3.9.6.1.2. Organizations must provide all external finding aids for the transferred PDF records (e.g., indexes; descriptive, administrative, or technical metadata; and/or databases of OCRed text) in formats approved by NARA, with the appropriate documentation required by 36 CFR Part 1228.

3.9.6.1.3. When an organization develops standards or guidelines to assist in formatting, vali-dating, or accessing PDF records (including recommended software or quality settings, and/or guidelines for embedding metadata within PDF records), a copy of these standards or guide-lines must be included with the transfer.

3.9.6.1.4. PDF records converted from scanned images also must adhere to the transfer docu-mentation requirements of the Scanned Images Transfer Guidance, http://www.archives.gov/ records-mgmt/initiatives/scanned-textual.html.

3.9.7. Transfer Mechanisms for PDF.

3.9.7.1. PDF records must not be compressed (e.g., Winzip, PKZIP) or aggregated (e.g., tape archive [TAR]) for purposes of transfer unless NARA has approved the transfer in compressed or aggregated form in advance. In such cases, NARA may require the organization to provide the software to decompress the records (see 36 CFR Part 1228).

3.9.7.2. The basic fonts are: Courier (Regular, Bold, Italic, and Bold Italic), Arial MT (Regular Oblique, and Bold Oblique), Times New Roman PS MT (Roman, Bold, Italic, and Bold Italic), Symbol, and Zap dingbats.

3.10. Digital Photographic Records.

3.10.1. This instruction expands currently acceptable formats to enable the transfer of permanent dig-ital photographic records to NARA.

3.10.2. This instruction applies to digital photographic records that have been appraised and sched-uled for permanent retention at NARA. Included under the scope of this instruction are still photo-graphs of natural, real-world scenes or subjects created in support of agency business that are produced from digital cameras (excluding the types of records described below), and scanned images of photographic prints, slides, and negatives.

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18 AFI33-364 22 DECEMBER 2006

3.10.3. The instruction applies to master image files of digital photographs created using medium to high quality resolution settings appropriate for continued preservation. (Note: In the ‘II’ format (i.e., little-endian), byte order is always from the least significant byte to the most significant byte.)

3.10.4. The following digital photographic records will not be accepted for transfer under this instruc-tion:

3.10.4.1. Low-resolution photographs typically created for posting on organization web sites (i.e., all files created at less than 2 mega pixels, or scanned as less than 2000 line files). (Note: For records created after the effective date of this guidance, TIFF version 6.0 is recommended and pre-ferred. Versions 4.0 and 5.0 are acceptable. The reference specifications for version 6.0 are defined at http://partners.adobe.com/public/developer/tiff/index.html#dr.)

3.10.4.2. Digital photographs captured within office automation applications (e.g., word process-ing, spreadsheet, and presentation applications).

3.10.4.3. Digital photographic records such as aerial photography, and photogrammetric and sat-ellite imagery.

3.10.4.4. Vector-based images, such as records created using graphic arts software or com-puter-aided design applications.

3.10.5. Transfer requirements for digital photographic records. NARA will accept transfers of perma-nent digital photographic records that meet the specifications of this instruction. The requirements in paragraphs 3.10.5.1. through 3.10.6. list acceptable image file formats, image quality specifications, transfer documentation, and related information on how to transfer these records to NARA. Any orga-nization having permanent digital photographic records that do not meet the requirements in this instruction must contact the Air Force Records Officer for guidance.

3.10.5.1. General Requirements.

3.10.5.1.1. Digital photographic records acceptable for transfer to NARA must meet the pro-visions of paragraph 3.10.4.1. through paragraph 3.10.4.4. and shall include still photographs produced by digital cameras and scanned images of photographs.

3.10.5.1.2. Digital photographic records must be scheduled for permanent retention and trans-fer to NARA on SF 115. The records must be organized as either a discrete collection of pho-tographs or by Air Force record series.

3.10.5.2. Image File Format.

3.10.5.2.1. NARA will accept digital photographic records in the following file formats and versions. Additional formats may be added in subsequent iterations of this instruction or in future guidance from NARA.

3.10.5.2.1.1. TIFF, in ‘II’ format (Note: Height and width of an image in pixels). Default file extensions include .TIFF and .TIF.

3.10.5.2.1.2. JPEG File Interchange Format (JFIF), all versions compliant with ISO/Inter-national Electrotechnical Commission (IEC) Standard 10918-1: Information Technology— Digital Compression and Coding of Continuous-tone Still Images (1994). (Note: The pro-portion of an image's size given in terms of the horizontal dimension versus the vertical dimension.) Default file extensions include .JPEG, JFIF, and .JPG.

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3.10.5.2.2. NARA prefers that organizations transfer digital photographic records with file names that use the default file extension for each of the above formats. Records may be accepted that are named according to organization-specific naming conventions (e.g., organi-zation acronym or NARA-assigned record group number) provided the corresponding com-puter files can be opened and the organization has transferred adequate documentation describing the file name and format of the files.

3.10.5.3. Image Quality Specifications.

3.10.5.3.1. Records must be provided as continuous-tone gray scale or color raster images, 8-bit or 16-bit per channel.

3.10.5.3.2. Color images must be produced in RGB color mode as 24-bit or 48-bit color files.

3.10.5.3.3. Effective 1 January 2005, digital camera files must be captured as 6 megapixel files or greater with a minimum pixel array of 3,000 pixels by 2,000 pixels. Records produced at this resolution and size are comparable in quality to 35-mm film photographs, which is the minimum quality level for still pictures currently accepted by NARA [see 36 CFR Part 1228].

3.10.6. Photographs must be scanned as minimum 2,000 line files (Note: 3,000 line files describe dig-ital photographs that are 3,000 pixels across the long dimension of the image) to approximate a 2-megapixel file according to the following image size and resolution guidelines. (Note: Image reso-lution for scanned images of photographs will vary according to the size of the source document, which may affect actual pixel dimensions and aspect ratios). Scan an 8” x 10” original (print, slide, or negative) at 200 dots per inch (dpi) (Note: True optical resolution is defined as the maximum or actual resolution of a device without recourse to interpolation. Interpolation (see Note 12) that occurs as part of the normal operation of digital cameras is acceptable) to produce a file that is 1,600 x 2,000 pixels.

Scan a 4” x 5” original (print, slide, or negative) at 400 dpi to produce a file that is 1,600 x 2,000 pix-els. Scan a 35-mm original (print, slide, or negative) at 1400 dpi to produce a file that is 1,300 x 2,000 pixels.

3.10.6.1. Photographs scanned after 1 January 2005, must be produced as minimum 3,000 line files to approximate a 6 megapixel file according to the following image size and resolution guide-lines (Note: This process calculates greater or fewer pixels from existing pixels in order to resize an image as either larger or smaller). Records conforming to these guidelines will be comparable in quality to 35-mm film photographs, which is the minimum quality level for still pictures cur-rently accepted by NARA (see 36 CFR Part 1228) Scan an 8” x 10” original (print, slide, or nega-tive) at 300 dpi to produce a file that is 2,400 x 3,000 pixels. Scan a 4” x 5” original (print, slide, or negative) at 600 dpi to produce a file that is 2,400 x 3,000 pixels. Scan a 35-mm original (print, slide, or negative) at 2100 dpi to produce a file that is 2,000 x 3,000 pixels.

3.10.6.2. Effective 1 January 2005, organizations must ensure that digital cameras and scanners produce records with true optical resolution (Note: Lossless refers to a method of image compres-sion where there is no loss in quality when the image is compressed or uncompressed). Resizing images or interpolating to a higher resolution from a lower resolution for purposes of transfer will not be permitted

3.10.6.3. NARA will accept digital photographs in TIFF file formats that are compressed using a lossless compression method.