SECNAVINST M5210.1SECNAVINST M5210.1

DEPARTMENT OF THE NAVYDEPARTMENT OF THE NAVYRECORDS MANAGEMENT PROGRAMRECORDS MANAGEMENT PROGRAM

Chapters 1 and 6Chapters 1 and 6

OverviewOverview

Records Management is the Records Management is the area of general administrative area of general administrative management concerned with management concerned with achieving economy and achieving economy and efficiency in the efficiency in the creationcreation, , maintenancemaintenance, , useuse, and , and dispositiondisposition of records. of records.

WHY RECORDS WHY RECORDS MANAGEMENT? MANAGEMENT? 

Records are the memory of an organization. Too Records are the memory of an organization. Too often information resides only in the memory of often information resides only in the memory of agency personnel.  agency personnel.  

Inadequate records will cause embarrassment to Inadequate records will cause embarrassment to the Government when asked to respond to public or the Government when asked to respond to public or Congressional inquiries.  Good records   Congressional inquiries.  Good records   management protect the legal, financial, and other management protect the legal, financial, and other interests of the Government and its citizens. interests of the Government and its citizens.

Helps managers to know past decisions, why they Helps managers to know past decisions, why they were made, and ensures continuity and consistency were made, and ensures continuity and consistency in administration.  in administration.  

Because it’s the law.  Because it’s the law.  

WHAT IS “NOT” A RECORD?WHAT IS “NOT” A RECORD?    

Stocks of publications and other Stocks of publications and other reproduced documents maintained for reproduced documents maintained for supply purposes only.  supply purposes only.  

Materials preserved solely for purposes of Materials preserved solely for purposes of reference or exhibition in libraries or reference or exhibition in libraries or museums.  museums.  

Duplicate copies, working papers, drafts, Duplicate copies, working papers, drafts, notes.  notes.  

Correspondence and other records of Correspondence and other records of transitory value; usually received for transitory value; usually received for information and which do not require information and which do not require action.  action.  

Reference materials used to prepare Reference materials used to prepare briefings or training briefings or training

WHAT IS ELECTRONIC WHAT IS ELECTRONIC RECORDS MANAGEMENT? RECORDS MANAGEMENT? 

Information or data files created and Information or data files created and stored in digital form through the use stored in digital form through the use of computers and applications of computers and applications software. They are stored on various software. They are stored on various magnetic and optical storage devices magnetic and optical storage devices and are products of computers and and are products of computers and computer software. computer software.

Same rules apply as to “paper” Same rules apply as to “paper” records management.   records management.   

CREATION OF RECORDSCREATION OF RECORDS  

Records are documents that are created to Records are documents that are created to adequately and properly record the adequately and properly record the organization, functions, policies, decisions, organization, functions, policies, decisions, procedures, and essential transactions of procedures, and essential transactions of an agency.  an agency.  

Records are designed to furnish Records are designed to furnish information necessary to protect the legal information necessary to protect the legal and financial rights of the Government and and financial rights of the Government and persons directly affected by the agency’s persons directly affected by the agency’s activities.  activities.  

Based on the definition of a record, records Based on the definition of a record, records can be created in several different formats. can be created in several different formats.   

SSICSSIC  

Standard Subject Identification Standard Subject Identification Codes (SSIC) are the single Codes (SSIC) are the single standardized system of numbers standardized system of numbers and or letter symbols for and or letter symbols for categorizing and subject categorizing and subject classifying Navy and Marine classifying Navy and Marine Corps information.  Corps information.  

SSIC CodesSSIC Codes

SSICSSIC TYPE OF RECORD TYPE OF RECORD 1000 – 1999   Military Personnel 1000 – 1999   Military Personnel 2000   – 2999  Telecommunications 2000   – 2999  Telecommunications 3000   – 3999  Operations and Readiness 3000   – 3999  Operations and Readiness 4000   – 4999  Logistics 4000   – 4999  Logistics 5000   – 5999  General Administration and Management 5000   – 5999  General Administration and Management 6000   – 6999  Medicine and Dentistry 6000   – 6999  Medicine and Dentistry 7000   – 7999  Financial Management 7000   – 7999  Financial Management 8000   – 8999  Ordnance Material 8000   – 8999  Ordnance Material 9000   – 9999  Not used by Marine Corps 9000   – 9999  Not used by Marine Corps 10000 – 10999  General Material 10000 – 10999  General Material 11000 – 11999  Facilities and Activities Ashore 11000 – 11999  Facilities and Activities Ashore 12000 – 12999  Civilian Personnel 12000 – 12999  Civilian Personnel 13000 – 13999  Aeronautical and Astronautically Material 13000 – 13999  Aeronautical and Astronautically Material

RECORDS MAINTENANCERECORDS MAINTENANCE  

Records maintenance consists of assigning Records maintenance consists of assigning knowledgeable personnel to monitor record keeping knowledgeable personnel to monitor record keeping activities.  activities.  

Records maintenance entails organizing and Records maintenance entails organizing and maintaining records in an orderly fashion so as to maintaining records in an orderly fashion so as to provide for efficient filing and retrieving; and utilizing provide for efficient filing and retrieving; and utilizing appropriate equipment and supplies to maintain appropriate equipment and supplies to maintain records.  records.  

Records maintenance is the location, storage, Records maintenance is the location, storage, retrieval and handling of records that are kept at retrieval and handling of records that are kept at office file locations by or for a Federal agency.  office file locations by or for a Federal agency.  

The regulation that governs records maintenance The regulation that governs records maintenance is MCO 5210.11D. is MCO 5210.11D.

There are 2 types of records:  There are 2 types of records:  

Permanent RecordsPermanent Records Temporary RecordsTemporary Records

WHAT IS A PERMANENT WHAT IS A PERMANENT RECORD?RECORD?   Records that have been appraised as Records that have been appraised as

having enduring value (historical, research, having enduring value (historical, research, legal, scientific, cultural, or other values).  legal, scientific, cultural, or other values).  

Marine Corps’ permanent records are Marine Corps’ permanent records are those records that will protect the Corps’ those records that will protect the Corps’ interests and that document its mission, interests and that document its mission, functions, responsibilities, and significant functions, responsibilities, and significant experiences and accomplishments.  experiences and accomplishments.  

Records are determined to be permanent Records are determined to be permanent by the Records Disposition Manual.  by the Records Disposition Manual.  

Permanent records will ultimately be Permanent records will ultimately be required to be transferred to the custody of required to be transferred to the custody of the National Archives.  the National Archives.  

WHAT IS A TEMPORARY WHAT IS A TEMPORARY RECORD?RECORD?  

Records that must be retained for a Records that must be retained for a specific period of time or until the specific period of time or until the occurrence of an action or event.  occurrence of an action or event.  

Records are determined to be Records are determined to be temporary by the Records temporary by the Records Disposition Manual.  Disposition Manual.  

This type of record is stored until the This type of record is stored until the designated time for destruction.  designated time for destruction.  

These records may be destroyed These records may be destroyed according to instructions in SECNAV according to instructions in SECNAV M-5210.1. M-5210.1.   

RECORDS DISPOSITIONRECORDS DISPOSITION  

Records disposition is the maintaining/holding of a Records disposition is the maintaining/holding of a record by an organization prior to retirement or record by an organization prior to retirement or destruction.  destruction.  

The disposition of Marine Corps and Navy records The disposition of Marine Corps and Navy records is determined by SECNAV M-5210.1, based on is determined by SECNAV M-5210.1, based on SSIC.  SSIC.  

Once the disposition date arrives, the records are Once the disposition date arrives, the records are either retired or destroyed.  either retired or destroyed.  

CMC (ARDB) will retire permanent and temporary CMC (ARDB) will retire permanent and temporary records to the appropriate FRCs, and subsequently records to the appropriate FRCs, and subsequently to the National Archives.  to the National Archives.  

Temporary records that do not require storage will Temporary records that do not require storage will be destroyed on their disposition date by the be destroyed on their disposition date by the record(s) owner.  record(s) owner.  

DESTRUCTION/DISPOSAL DESTRUCTION/DISPOSAL OF RECORDSOF RECORDS  

The following procedures are used for destroying The following procedures are used for destroying records:  records:   1. CMC (ARDB) receives NA 13001 form from 1. CMC (ARDB) receives NA 13001 form from

WNRC. WNRC. 2.  Appropriate SF-135 is located from files. 2.  Appropriate SF-135 is located from files. 3.  A memo requesting permission to destroy records, 3.  A memo requesting permission to destroy records,

along with a copy of the SF-135, are sent to the along with a copy of the SF-135, are sent to the owner of records. owner of records.

4.  Receive concurrence/non-concurrence from owner 4.  Receive concurrence/non-concurrence from owner of records. of records.

5.  Forward concurrence/non-concurrence to WNRC. 5.  Forward concurrence/non-concurrence to WNRC. 6.  Records are destroyed by WNRC.   6.  Records are destroyed by WNRC.   

RETIREMENT OF RECORDS TO RETIREMENT OF RECORDS TO THE WASHINGTON NATIONAL THE WASHINGTON NATIONAL RECORDS CENTERRECORDS CENTER  

   The following procedure is used for retiring records to the The following procedure is used for retiring records to the

Washington National Records Center (WNRC): Washington National Records Center (WNRC):  1. Customer submits SF-135 to CMC (ARDB). 1. Customer submits SF-135 to CMC (ARDB). 2.  SF-135 is reviewed for accuracy and correct disposition 2.  SF-135 is reviewed for accuracy and correct disposition

authority. authority. 3.  An accession number is assigned and written on the SF-135. 3.  An accession number is assigned and written on the SF-135.

Marine Corps has 2 record groups (RG): Marine Corps has 2 record groups (RG): 127 is the ground files record group number. 127 is the ground files record group number. 313 is the air files record group number.  313 is the air files record group number. 

Sample accession number: 127-05-0001 (RG-FY-next #). Sample accession number: 127-05-0001 (RG-FY-next #). 4. The Records Manager signs the SF-135 and forwards to 4. The Records Manager signs the SF-135 and forwards to

WNRC for approval. WNRC for approval. 5.  WNRC sends approved SF-135 to CMC (ARDB). 5.  WNRC sends approved SF-135 to CMC (ARDB). 6.  CMC (ARDB)  forwards approved SF-135 to customer. 6.  CMC (ARDB)  forwards approved SF-135 to customer. 7.  Customer sends record boxes to CMC (ARDB). 7.  Customer sends record boxes to CMC (ARDB). 8.  CMC (ARDB) arranges for WNRC to pick up boxes. 8.  CMC (ARDB) arranges for WNRC to pick up boxes. 9.  WNRC provides CMC (ARDB) with a location number for 9.  WNRC provides CMC (ARDB) with a location number for

research/retrieval purposes.  research/retrieval purposes.    

TRANSFER OF PERMANENT TRANSFER OF PERMANENT RECORDS TO THE NATIONAL RECORDS TO THE NATIONAL ARCHIVESARCHIVES  

The following procedure is used for transferring The following procedure is used for transferring records to the National Archives and Records records to the National Archives and Records Administration (NARA):  Administration (NARA):   1. (CMC) ARDB receives SF-258 from WNRC. 1. (CMC) ARDB receives SF-258 from WNRC. 2.  Appropriate SF-135 is located from files.  2.  Appropriate SF-135 is located from files.  3.  A memo requesting permission to transfer records, 3.  A memo requesting permission to transfer records,

along with a copy of the SF-135, are sent to the along with a copy of the SF-135, are sent to the owner of records.    owner of records.   

4.  Receive concurrence/non-concurrence from owner 4.  Receive concurrence/non-concurrence from owner of records.                                                                    of records.                                                                   

5.  Forward concurrence/non-concurrence to WNRC. 5.  Forward concurrence/non-concurrence to WNRC. 6.  Receive correspondence from NARA stating 6.  Receive correspondence from NARA stating

acceptance of records.  acceptance of records.  7.  Notify owner of records transfer.  7.  Notify owner of records transfer. 

8.  File SF-258 and all relevant material in 8.  File SF-258 and all relevant material in appropriate file folders appropriate file folders

Chapter 1Chapter 1MILITARY PERSONNEL RECORDS 1000-1999

SUPERVISON AND ADMINISTRATION OF MILITARY PERSONNEL AND MILITARY PERSONNEL AFFAIRS, INCLUDING THE RECRUITING, CLASSIFICATION, ASSIGNMENT, PROMOTION, TRAINING, PERFORMANCE, AND DISCIPLINE OF PERSONNEL

CHAPLAIN'S ACTIVITIES

RETIREMENT AND SEPARATION ACTIVITIES

MORALE AND PERSONAL AFFAIRS FUNCTIONS

Chapter 6Chapter 6MEDICINE AND DENTISTRY RECORDSSSIC 6000-6999

ADMINISTRATION AND PERFORMANCE OF MEDICAL AND DENTAL FUNCTIONS BY THE NAVY MEDICAL DEPARTMENT.

RECORDS OF EXAMINATION, CARE AND TREATMENT OF INDIVIDUALS, PHYSICAL FITNESS, ENVIRONMENTAL, AND HEALTH CARE PROGRAM RECORDS ACCUMULATED IN CONNECTION WITH CARRYING OUT MEDICAL DEPARTMENT FUNCTIONS.

THESE RECORDS ARE LOCATED AT THE BUREAU OF MEDICINE AND SURGERY (BUMED), AT BUMED ACTIVITIES (INCLUDING HOSPITALS), MEDICAL AND DENTAL CLINICS, HEALTH CARE RESEARCH ACTIVITIES, EDUCATION AND TRAINING ACTIVITIES AT MARINE CORPS ACTIVITIES, AT OTHER MEDICAL AND DENTAL FACILITIES AND UNITS, AT AREA AND STAFF MEDICAL AND DENTAL OFFICES, AND AT FEDERAL RECORDS CENTERS.

SOME EXCEPTIONS TO DISPOSAL STANDARDS ARE NECESSARY.

THE END!THE END!

Look over instruction for Look over instruction for creation, maintenance, use, and creation, maintenance, use, and

disposition of recordsdisposition of records

QUESTIONS???QUESTIONS???