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SECNAVINST M5210.1SECNAVINST M5210.1
DEPARTMENT OF THE NAVYDEPARTMENT OF THE NAVY
RECORDS MANAGEMENT PROGRAMRECORDS MANAGE...
OverviewOverview
Records Management is theRecords Management is the
area of general administrativearea of general administ...
WHY RECORDSWHY RECORDS
MANAGEMENT?MANAGEMENT?
 Records are the memory of an organization. TooRecords are the memory of an...
WHAT IS “NOT” A RECORD?WHAT IS “NOT” A RECORD?
 Stocks of publications and otherStocks of publications and other
reproduc...
WHAT IS ELECTRONICWHAT IS ELECTRONIC
RECORDS MANAGEMENT?RECORDS MANAGEMENT?
 Information or data files created andInforma...
CREATION OF RECORDSCREATION OF RECORDS
 Records are documents that are created toRecords are documents that are created t...
SSICSSIC
 Standard Subject IdentificationStandard Subject Identification
Codes (SSIC) are the singleCodes (SSIC) are the ...
SSIC CodesSSIC Codes
 SSICSSIC TYPE OF RECORDTYPE OF RECORD
 1000 – 1999 Military Personnel1000 – 1999 Military Personne...
RECORDS MAINTENANCERECORDS MAINTENANCE
 Records maintenance consists of assigningRecords maintenance consists of assignin...
There are 2 types of records:There are 2 types of records:
 Permanent RecordsPermanent Records
 Temporary RecordsTempora...
WHAT IS A PERMANENTWHAT IS A PERMANENT
RECORD?RECORD?
 Records that have been appraised asRecords that have been appraise...
WHAT IS A TEMPORARYWHAT IS A TEMPORARY
RECORD?RECORD?
 Records that must be retained for aRecords that must be retained f...
RECORDS DISPOSITIONRECORDS DISPOSITION
 Records disposition is the maintaining/holding of aRecords disposition is the mai...
DESTRUCTION/DISPOSALDESTRUCTION/DISPOSAL
OF RECORDSOF RECORDS
 The following procedures are used for destroyingThe follow...
RETIREMENT OF RECORDS TORETIREMENT OF RECORDS TO
THE WASHINGTON NATIONALTHE WASHINGTON NATIONAL
RECORDS CENTERRECORDS CENT...
TRANSFER OF PERMANENTTRANSFER OF PERMANENT
RECORDS TO THE NATIONALRECORDS TO THE NATIONAL
ARCHIVESARCHIVES
 The following...
Chapter 1Chapter 1
MILITARY PERSONNEL RECORDS
1000-1999
 SUPERVISON AND ADMINISTRATION OF
MILITARY PERSONNEL AND MILITARY...
Chapter 6Chapter 6
MEDICINE AND DENTISTRY RECORDS
SSIC 6000-6999
 ADMINISTRATION AND PERFORMANCE OF MEDICAL AND
DENTAL FU...
THE END!THE END!
Look over instruction forLook over instruction for
creation, maintenance, use, andcreation, maintenance, ...
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DON RECORDS MANAGEMENT PROGRAM SECNAVINST 5210.1 (2012)

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Department of the Navy Records Management Program SECNAVINST 5210.1 (2012)

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Transcript of "DON RECORDS MANAGEMENT PROGRAM SECNAVINST 5210.1 (2012)"

  1. 1. SECNAVINST M5210.1SECNAVINST M5210.1 DEPARTMENT OF THE NAVYDEPARTMENT OF THE NAVY RECORDS MANAGEMENT PROGRAMRECORDS MANAGEMENT PROGRAM Chapters 1 and 6Chapters 1 and 6
  2. 2. OverviewOverview Records Management is theRecords Management is the area of general administrativearea of general administrative management concerned withmanagement concerned with achieving economy andachieving economy and efficiency in theefficiency in the creationcreation,, maintenancemaintenance,, useuse, and, and dispositiondisposition of records.of records.
  3. 3. WHY RECORDSWHY RECORDS MANAGEMENT?MANAGEMENT?  Records are the memory of an organization. TooRecords are the memory of an organization. Too often information resides only in the memory ofoften information resides only in the memory of agency personnel.agency personnel.  Inadequate records will cause embarrassment toInadequate records will cause embarrassment to the Government when asked to respond to public orthe Government when asked to respond to public or Congressional inquiries. Good recordsCongressional inquiries. Good records management protect the legal, financial, and othermanagement 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 theyHelps managers to know past decisions, why they were made, and ensures continuity and consistencywere made, and ensures continuity and consistency in administration.in administration.  Because it’s the law.Because it’s the law.
  4. 4. WHAT IS “NOT” A RECORD?WHAT IS “NOT” A RECORD?  Stocks of publications and otherStocks of publications and other reproduced documents maintained forreproduced documents maintained for supply purposes only.supply purposes only.  Materials preserved solely for purposes ofMaterials preserved solely for purposes of reference or exhibition in libraries orreference or exhibition in libraries or museums.museums.  Duplicate copies, working papers, drafts,Duplicate copies, working papers, drafts, notes.notes.  Correspondence and other records ofCorrespondence and other records of transitory value; usually received fortransitory value; usually received for information and which do not requireinformation and which do not require action.action.  Reference materials used to prepareReference materials used to prepare briefings or trainingbriefings or training
  5. 5. WHAT IS ELECTRONICWHAT IS ELECTRONIC RECORDS MANAGEMENT?RECORDS MANAGEMENT?  Information or data files created andInformation or data files created and stored in digital form through the usestored in digital form through the use of computers and applicationsof computers and applications software. They are stored on varioussoftware. They are stored on various magnetic and optical storage devicesmagnetic and optical storage devices and are products of computers andand 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.
  6. 6. CREATION OF RECORDSCREATION OF RECORDS  Records are documents that are created toRecords are documents that are created to adequately and properly record theadequately and properly record the organization, functions, policies, decisions,organization, functions, policies, decisions, procedures, and essential transactions ofprocedures, and essential transactions of an agency.an agency.  Records are designed to furnishRecords are designed to furnish information necessary to protect the legalinformation necessary to protect the legal and financial rights of the Government andand financial rights of the Government and persons directly affected by the agency’spersons directly affected by the agency’s activities.activities.  Based on the definition of a record, recordsBased on the definition of a record, records can be created in several different formats.can be created in several different formats.
  7. 7. SSICSSIC  Standard Subject IdentificationStandard Subject Identification Codes (SSIC) are the singleCodes (SSIC) are the single standardized system ofstandardized system of numbers and or letter symbolsnumbers and or letter symbols for categorizing and subjectfor categorizing and subject classifying Navy and Marineclassifying Navy and Marine Corps information.Corps information.
  8. 8. SSIC CodesSSIC Codes  SSICSSIC TYPE OF RECORDTYPE OF RECORD  1000 – 1999 Military Personnel1000 – 1999 Military Personnel  2000 – 2999 Telecommunications2000 – 2999 Telecommunications  3000 – 3999 Operations and Readiness3000 – 3999 Operations and Readiness  4000 – 4999 Logistics4000 – 4999 Logistics  5000 – 5999 General Administration and Management5000 – 5999 General Administration and Management  6000 – 6999 Medicine and Dentistry6000 – 6999 Medicine and Dentistry  7000 – 7999 Financial Management7000 – 7999 Financial Management  8000 – 8999 Ordnance Material8000 – 8999 Ordnance Material  9000 – 9999 Not used by Marine Corps9000 – 9999 Not used by Marine Corps  10000 – 10999 General Material10000 – 10999 General Material  11000 – 11999 Facilities and Activities Ashore11000 – 11999 Facilities and Activities Ashore  12000 – 12999 Civilian Personnel12000 – 12999 Civilian Personnel  13000 – 13999 Aeronautical and Astronautically Material13000 – 13999 Aeronautical and Astronautically Material
  9. 9. RECORDS MAINTENANCERECORDS MAINTENANCE  Records maintenance consists of assigningRecords maintenance consists of assigning knowledgeable personnel to monitor record keepingknowledgeable personnel to monitor record keeping activities.activities.  Records maintenance entails organizing andRecords maintenance entails organizing and maintaining records in an orderly fashion so as tomaintaining records in an orderly fashion so as to provide for efficient filing and retrieving; and utilizingprovide for efficient filing and retrieving; and utilizing appropriate equipment and supplies to maintainappropriate 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 atretrieval 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 maintenanceThe regulation that governs records maintenance is MCO 5210.11D.is MCO 5210.11D.
  10. 10. There are 2 types of records:There are 2 types of records:  Permanent RecordsPermanent Records  Temporary RecordsTemporary Records
  11. 11. WHAT IS A PERMANENTWHAT IS A PERMANENT RECORD?RECORD?  Records that have been appraised asRecords 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 areMarine 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 significantfunctions, responsibilities, and significant experiences and accomplishments.experiences and accomplishments.  Records are determined to be permanentRecords are determined to be permanent by the Records Disposition Manual.by the Records Disposition Manual.  Permanent records will ultimately bePermanent records will ultimately be required to be transferred to the custody ofrequired to be transferred to the custody of the National Archives.the National Archives.
  12. 12. WHAT IS A TEMPORARYWHAT IS A TEMPORARY RECORD?RECORD?  Records that must be retained for aRecords that must be retained for a specific period of time or until thespecific period of time or until the occurrence of an action or event.occurrence of an action or event.  Records are determined to beRecords are determined to be temporary by the Recordstemporary by the Records Disposition Manual.Disposition Manual.  This type of record is stored until theThis type of record is stored until the designated time for destruction.designated time for destruction.  These records may be destroyedThese records may be destroyed according to instructions in SECNAVaccording to instructions in SECNAV M-5210.1.M-5210.1.
  13. 13. RECORDS DISPOSITIONRECORDS DISPOSITION  Records disposition is the maintaining/holding of aRecords disposition is the maintaining/holding of a record by an organization prior to retirement orrecord by an organization prior to retirement or destruction.destruction.  The disposition of Marine Corps and Navy recordsThe disposition of Marine Corps and Navy records is determined by SECNAV M-5210.1, based onis determined by SECNAV M-5210.1, based on SSIC.SSIC.  Once the disposition date arrives, the records areOnce the disposition date arrives, the records are either retired or destroyed.either retired or destroyed.  CMC (ARDB) will retire permanent and temporaryCMC (ARDB) will retire permanent and temporary records to the appropriate FRCs, and subsequentlyrecords to the appropriate FRCs, and subsequently to the National Archives.to the National Archives.  Temporary records that do not require storage willTemporary records that do not require storage will be destroyed on their disposition date by thebe destroyed on their disposition date by the record(s) owner.record(s) owner.
  14. 14. DESTRUCTION/DISPOSALDESTRUCTION/DISPOSAL OF RECORDSOF RECORDS  The following procedures are used for destroyingThe following procedures are used for destroying records:records:  1. CMC (ARDB) receives NA 13001 form from1. 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 owneralong with a copy of the SF-135, are sent to the owner of records.of records.  4. Receive concurrence/non-concurrence from owner4. 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.
  15. 15. RETIREMENT OF RECORDS TORETIREMENT OF RECORDS TO THE WASHINGTON NATIONALTHE WASHINGTON NATIONAL RECORDS CENTERRECORDS CENTER  The following procedure is used for retiring records to theThe 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 disposition2. 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 to4. 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 for9. WNRC provides CMC (ARDB) with a location number for research/retrieval purposes.research/retrieval purposes.
  16. 16. TRANSFER OF PERMANENTTRANSFER OF PERMANENT RECORDS TO THE NATIONALRECORDS TO THE NATIONAL ARCHIVESARCHIVES  The following procedure is used for transferringThe following procedure is used for transferring records to the National Archives and Recordsrecords 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 owneralong with a copy of the SF-135, are sent to the owner of records.of records.  4. Receive concurrence/non-concurrence from owner4. 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 stating6. 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 in8. File SF-258 and all relevant material in appropriate file foldersappropriate file folders
  17. 17. Chapter 1Chapter 1 MILITARY 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
  18. 18. Chapter 6Chapter 6 MEDICINE AND DENTISTRY RECORDS SSIC 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.
  19. 19. THE END!THE END! Look over instruction forLook over instruction for creation, maintenance, use, andcreation, maintenance, use, and disposition of recordsdisposition of records QUESTIONS???QUESTIONS???
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