US Space Command

DEPARTMENT OF DEFENSE USSPACECOM HOI 12-6
Headquarters United States Space Command
Peterson Air Force Base Colorado 80914-5001 17 November 1986

Records Management

AUTOMATED PERSONNEL MANAGEMENT SYSTEM
This headquarters operating instruction implements System of Records F030 AF
A, Automated Personnel Management. It explains policies and tells how to
collect, safeguard, maintain, use, access, and amend personal information used
in the management, career development, and training of personnel. It applies
to active duty and reserve military personnel and civilian personnel, including
nonappropriated fund employees, assigned to or on duty with HQ United States
Space Command.

1. Terms Explained:

a. Access. Letting individuals review or obtain copies of their own
records that are part of a system of records.

b. Individual. A living citizen of the United States or an alien
admitted for permanent residence. The parent or legal guardian of a minor or
an incompetent may exercise the Privacy Act rights of an individual. Note:
The Privacy Act confers no rights on deceased persons, nor may their next of
kin exercise any rights for them.

c. Maintain. Includes "hold," "collect," "use," "control," or
"disseminate."

d. Minor. Any individual under the age of majority as determined by
state law that governs the location of the facility where the records are
kept. If there is no prevailing state law (for example, overseas), a minor is
any individual under 18 years of age. According to DOD 5400.7-R, a member of
the Armed Forces is not a minor.

e. Official Use. Any action by a member or employee of DOD which is
prescribed or authorized by law or a regulation and is intended to perform a
mission or function of the department.

f. Personal Information. Any item of information about an individual
that is not a matter of public record and is usually considered to be personal
to the individual. It may include, for example, information about the indivi-
dual's financial, family (other than names and sex of dependents), social, and
recreational affairs; their medical, employment (other than duty assignments
and duty phone numbers), political, or criminal history (other than convic-
tions or acquittals in a military court); or information that identifies,
describes, or gives a basis for inferring personal characteristics, such as
voiceprints or fingerprints.

No. of Printed Pages: 8
OPR: DAD (S. A. Law)
Approved by: Co] G. A. Stansell
Editor: M. E. Walley
Distribution: F

2 USSPACECOM HOI 12-6 17 November 1986

g. Privacy Act Request. A request from an individual for information
about the existence, access to, or amendment of a record about him or her that
is in a system of records. The request cites or indicates a reliance on the
Privacy Act of 1974.

h. Record. Any item, collection, or grouping of information about an
individual that is kept by the government.

i. Routine Use. Any use or disclosure of information from a system of
records that has been listed in a published systems notice and that is con-
sistent with the purpose for which the information was collected. These
system notices are published in the Federal Register and AFP 12-36, Privacy
Act System of Records. This notice was published in Federal Register, volume
50, page 25740, with a correction published 21 June 1985.

j. System Manager (SM). The official responsible for policies for
operating and safeguarding a system of records. Local SMs operate and have
immediate contact with the system.

k. Statistical Record. A record kept for statistical or reporting
purposes. It is not used for making judgments about individuals. The iden-
tity of specific persons is not discoverable using normal statistical or data
manipulation methods.

1. System of Records. Any group of records from which personal informa-
tion is retrieved by the name of an individual or by some personal identifier,
such as the individual's social security number (SSN). If such retrieval is
possible, but not actually done, the group does not constitute a system of
records. Likewise, if retrieval depends on the memory of an individual, no
system of records exists; however, the creation of a retrieval index arranged
by personal identifier for a system that is filed at random makes that system
a system of record. Notices for all systems is published in the Federal
Register, and a system is not operated or maintained until this is done.

2. Purpose:

a. To implement Privacy Act System of Records F030 AF A, Automated
Personnel Management, through HQ United States Space Command (see attachment
1).

b. To take advantage of computers and word processors capable of storing
personal data, retrievable by name or personal identifier, such as a social
security number (SSN), in day-to-day personnel management, career development,
and training.

3. Policy. System of Records F030 AF A authorizes the collection, main-
tenance, and use of personal data for personnel management, career develop-
ment, and training. It was designed and implemented for use by commanders,
functional managers, and supervisors to supplement various automated personnel
data systems of records. In the Headquarters:

USSPACECOM HOI 12-6 17 November 1986 3

a. Collect, keep, and use only that personal information needed to sup-
port operations and programs as authorized by law or Executive Order. Dis-
close this information only as authorized by the Privacy Act of 1974, DOD
5400.7-R, and this HOI.

b. Keep only personal information that is timely, accurate, complete, and
relevant to the purpose for which it was collected.

c. Safeguard personal information to prevent unauthorized use, disclo-
sure, alteration, or destruction.

d. Let individuals know what records HQ USSPACECOM keeps on them and
that they may review or get copies of them, subject to exemptions authorized
by law, approved by the Secretary of the Defense, and published in DOD
5400.7-R and this HOI.

e. Let individuals amend their records that they can prove are in error,
are not timely, not complete, or irrelevant.

f. Let individuals ask for an administrative review of decisions that
deny them access to or the right to amend their records.

g. Keep personal information only as long as it is needed to protect the
rights of the citizen and the government and to provide for the administrative
needs of HQ USSPACECOM.

4. General Procedures:

a. Use this HOI with this system of records. It does not supplement or
alter any other existing system of records.

b. Maintenance of information under this system is optional. Users may
maintain any or all data outlined in paragraph 11. Do not overburden this
system with information available from other automated sources.

c. Commanders, functional managers, and supervisors may use this system
and information to manage personnel resources within their jurisdiction.

d. Users maintain and safeguard information in accordance with DOD
5400.7-R, DOD Freedom of Information Act Program; AFR 205-16, Automatic Data
Processing Security Policy, Procedures, and Responsibilities; AFR 700-10,
Information Systems Security; this HOI, and supplements.

e. Commanders, functional managers, and supervisors may maintain perfor-
mance appraisal (OER, APR, and civilian personnel appraisal) data. That data
is limited to numerical or statistical data or both, but it can not include
narrative information.

f. This HOI, DOD 5400.7-R, AFR 700-10, applicable supplements, and
written instructions are readily available to users and operators of com-
puters and word processors used to store personal information under authority
of this system of records.

4 USSPACECOM HOI 12-6 17 November 1986

g. HQ Air Force Space Command Records Management officer is approving
authority for implementing directives.

5. Security and Safeguards. Office supervisors using this system issues
written instructions outlining:

a. Person(s) responsible for security and safeguards.

b. Authorized location of equipment.

c. Subjects (categories of people) included in the system.,

d. Categories of records maintained per paragraph 11. List specific
categories maintained or refer to the specific paragraph of this regulation.

e. Safeguards to prevent unauthorized access to data or equipment.

f. Management procedures, to include, but not be limited to:

(1) Telling who is responsible for inputting and maintaining data
accurately.

(2) Giving access, correction, contesting, and appeal procedures, if
different than those listed in paragraph 9.

6. Storage, Retrieval, Accessing, Retaining, and Disposing of Records in this
System:

a. Storage. Store records on computer or word processor and output pro-
ducts such as paper printouts or microform.

b. Retrievability. Retrieve information by name, SSN, or other personal
identifier.

c. Safeguards. The custodian accesses records of the system and by per-
sons servicing the records who are properly cleared for need-to-know. Protect
records according to AFR 700-10. Perform a risk analysis for each system in
accordance with AFR 700-10, paragraph 1-5h.

d. Retention and Disposal. Retain records until no longer needed and
destroy within 2 years after last entry.

7. System Managers and Addresses:

a. Command System Manager. The Command Records Management Officer, HQ
Air Force Space Command, Peterson Air Force Base, Colorado 80914-5001.

b. Local System Manager. The commander, functional manager, or
supervisor.

8. Records Access Procedures. Individuals can get help in gaining access
from the system manager. Written requests include name, grade, SSN, date, and
unit of assignment at time requested records were maintained and any other
information that would aid in the search.

USSPACECOM HOI 12-6 17 november 1986 5

9. Contesting Records Procedures. Requesters may obtain from the system
manager the rules for access to records and for contesting and appealing
initial determination by the individual.

10. General:

a. System Location. Unit or offices at all levels within HQ United
States Space Command.

b. Categories of Individuals Covered by this System. (Note: Do not add
categories without HQ Air Force Space Command Records Management Officer
approval.) Active duty and reserve military personnel; civilians, including
nonappropriated fund personnel; and dependents of personnel in the previously
mentioned categories, assigned to or on duty with HQ United States Space
Command are covered by this system. System could contain records on approxi-
mately 500 people, however, organizational and functional systems are limited
to personnel and dependents assigned to the respective organizations or func-
tions.

c. Categories of Records in the System: (Note: Do not add categories
without the Air Force Space Command Records Management Officer approval.)

(1) Data obtained from existing personnel training records or from
the individual. Records include:

(a) Basic personal information. (Name, grade, SSN, sex, unit of
assignment, duty title, supervisor, office symbol and telephone number, home
address, and telephone number, and so on.)

(b) Security clearance information. (Date and degree of clear-
ance, type of investigation, categories of access, suspensions, reinstate-
ments, and so on.)

(2) Assignment information includes:

(a) Primary type duty assignment. (Current, projected, pre-
ferred, controlled, special, date returned from overseas assignment, arrival
and departure date, organizations, and so on.)

(b) Additional duty type. (Mobility, emergency, augmentee,
ancillary training, organization, dates, requirements, accomplishments,
training needs and frequency, and so on.)

(3) Education, training, experience, and qualification records
(military and civilian) used to manage personnel in primary, ancillary,
augmentee, and similar assignments. (Basic, technical, professional,
specialized, job qualification, and academic training; dates and places,
qualifications, scores, ratings, degrees, license, certification or permits
granted, issued or recognized, and training records needed to effectively
manage personnel, and so on.)

6 USSPACECOM HOI 12-6 17 November 1986

(4) Performance, effectiveness, or appraisal reports. (Report
dates, due dates, follow-up actions, and so on.) Do not maintain narratives,
summaries, scores, or ratings.

(5) Unfavorable information. Do not maintain any unfavorable
information on personnel; however, you may establish a "flag" or alerting
character to show that an unfavorable information file (UIF) exists. You can
maintain administrative information, such as dates to initiate or terminate
observation and dates of certification, review removal, interviews, and
counselling.

(6) Promotion information. (Dates, eligibility status, below-
the-zone considerations, promotion consideration frequency, STEP promotions,
and so on.)

(7) Awards, decorations, and related actions. (Eligibility,
recommendations, boards or approving authority actions, and other related
administrative actions.)

(8) Miscellaneous personnel management actions. (Alert or
recall rosters; wartime, mobility, BEEF, WARSKIL, and similar emergency
actions or assignments, shelter duties or assignments, and so on.) Off-duty
employment information, and only on a voluntarily-provided basis, an indivi-
dualls involvement in off-duty activities for reference or for rendering
performance or evaluation reports.

(9) Special qualifications. (Military or civilian experience or
qualifications used to select members to serve on committees, panels, courts,
boards, special duties, and so on.)

(10) Dependent information. (Name, age, sex, nationality, home
address, home telephone number, and special needs, such as availability of
special education or treatment facilities.)

(11) Civilian employee information. (Position authorization,
personnel actions, suspense, projected, and historical information; time-
keeper payroll information, training requirements and schedules, award and
decoration recommendations and actions; performance appraisal cover sheets and
performance plans (elements and standards), less actual ratings, and merit
promotion work plans. You may also include the same type information outlined
in (1) through (10) above.

OFFICIAL ROBERT T. HERRES
General, USAF
Commander in Chief

G. A. Stansell 1 Attachment
Colonel, USAF System of Records - F030 AF A -
Director of Administration Automated Personnel Management

USSPACECOM HOI 12-6 Attachment 1 17 Novemer 1986 7

SYSTEM OF RECORDS - F030 AF A -
AUTOMATED PERSONNEL MANAGEMENT

F030 AF A

SYSTEM NAME: Automated Personnel Management System.

SYSTEM LOCATION. Unit or offices at all levels within the Air Force who imple-
ment the system under a specific authorizing local or higher level directive.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM. Active duty military and
civilian personnel assigned to the office or unit as specified in the governing
directive for the system.

CATEGORIES OR RECORDS IN THE SYSTEM. Data obtained from existing personnel or
training records or from the individual. Record includes name, grade, SSN,
unit of assignment, security clearance, supervisor, duty title, office and
telephone number, home address and telephone number, dependents, education and
training, specialty or job qualifications, performance and or effectiveness
reports, awards and or decorations, promotions, duty assignment history and
similar information listed in the governing directive for the system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM. 10 U.S.C. 8012, Secretary of the Air
Force, powers and duties, delegation by, as implemented by a specific governing
directive. The system can not be operated until a directive is published listing
listing authorized locations, subjects, categories of records, safeguards, and
management procedures. A copy of the directive is provided to the Air Force
Space Command Privacy Act Officer.

PURPOSE(S). Used to locate, manage, and train assigned personnel.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF
USERS AND THE PURPOSES OF SUCH USES. Records from this system of records, may
be disclosed for any of the blanket routine uses published by the United States
Air Force.

POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE. Stored on computer or word processor and output products as listed
in the governing directive.

RETRIEVABILITY. By name or Social Security Number.

SAFEGUARDS. Records are accessed by the custodian of the system and by per-
sons servicing the records who are properly cleared for need to know. Records
are protected in accordance with Air Force Regulation 700-10, Information
Systems Security.

RETENTION AND DISPOSAL. Computer record is retained until no longer needed.
Records are destroyed no later than 2 years after last entry.

SYSTEM MANAGER(S) AND ADDRESS. Chief of office or unit as specified in
governing directive.

8 USSPACECOM HOI 12-6 Attachment 1 17 November 1986

NOTIFICATION PROCEDURES. Requests from individuals should be sent to the
System Manager.

RECORDS ACCESS PROCEDURES. Individual can obtain assistance in gaining
access from the System Manager.

CONTESTING RECORDS PROCEDURES. The HQ United States Space Command's rules
for access to records and for contesting and appealing initial determinations by
the individual concerned may be obtained from the System Manager and are
published in DOD 5400.7-R.

RECORDS SOURCE CATEGORIES. Information obtained from personnel records,
training records, or the individual.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT. None.