DON RECORDS MANAGEMENT PROGRAM SECNAVINST 5210.1 (2012)

SECNAVINST M5210.1SECNAVINST M5210.1
DEPARTMENT OF THE NAVYDEPARTMENT OF THE NAVY
RECORDS MANAGEMENT PROGRAMRECORDS MANAGEMENT PROGRAM
Chapters 1 and 6Chapters 1 and 6

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.

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.

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

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.

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.

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.

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

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.

There are 2 types of records:There are 2 types of records:
 Permanent RecordsPermanent Records
 Temporary RecordsTemporary Records

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.

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.

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.

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
 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 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.

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
 4. Receive concurrence/non-concurrence from owner4. Receive concurrence/non-concurrence from owner
 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

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

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.

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???

DON RECORDS MANAGEMENT PROGRAM SECNAVINST 5210.1 (2012)

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DON RECORDS MANAGEMENT PROGRAM SECNAVINST 5210.1 (2012)