RECORDS MANAGEMENT MANUAL

THE SECRETARY OF THE NAVY

SECNAV M-5210.1 JANUARY 2012

Revision 1 Incorporated May 2012

DEPARTMENT OF THE NAVY RECORDS MANAGEMENT PROGRAM

RECORDS MANAGEMENT MANUAL

Published By The Department of the Navy Chief Information Officer

January 2012 (Revision 1 Incorporated May 2012)

SECNAV M-5210.1 January 2012

Table of Issuance and Revisions/Changes

SECNAV Manual 5210.1

Basic Issuance Date December 2005 November 2009 January 2012

Change/Revision History CH-1 to Nov 2007 Basic Rev 1 to Jan 2012 Basic

Date Published November 2007

May 2012

SECNAV M-5210.1 (1st Revision) January 2012

List of Revisions/Changes for 1st Revision

In an effort to more efficiently disseminate changes to Part III chapters involving approved word changes and NARA approved records schedules, revisions to this manual are being published as the need arises. These revisions will not address policy changes. Some grammatical, administrative, and other minor corrections have been incorporated into this 1st Revision of the Manual. They have not been highlighted. The following list identifies changes to SSIC or NARA job citations incorporated into this Manual during this 1st Revision. These changes are underlined and in bold to denote them to the user.

1. Part III, Chapter 1, pages III-1-7, SSIC 1070.4a and b 2. Part III, Chapter 1, pages III-1-33 thru III-1-34, SSIC 1754.1 thru 3 3. Part III, Chapter 3, pages III-3-14 thru III-3-17, SSICs 3140-3145 and 3146-3149 4. Part III, Chapter 4, page III-4-9, SSIC 4066.11c 5. Part III, Chapter 5, page III-5-11, SSIC 5210.4 6. Part III, Chapter 5, page III-5-12, SSIC 5212.2a and b 7. Part III, Chapter 6, page III-6-7, SSIC 6320.3 8. Part III, Chapter 11, page III-11-13, SSIC 11101.13

SECNAV M-5210.1 (1st Revision) January 2012

List of Revisions/Changes

Numerous grammatical and updates/corrections to the names of activities have been incorporated into this Manual. They have not been highlighted. The following list outlines areas of major changes in policy, procedures or NARA job citations incorporated into this Manual during this revision. These changes are underlined and in bold to denote them to the user.

1. References, page iv, items (g) and (h) 2. Part I, page I-1, paragraph 5a 3. Part I, page I-2, paragraph 7a(3) 4. Part I, page I-3, paragraph 7f(2)(c) 5. Part I, page I-3, paragraph 9 6. Part I, page I-4, paragraph 12a(2) 7. Part I, page I-6, paragraph 17d 8. Part II, page II-2, paragraph 3 9. Part III, Chapter 1, page III-1-1, SSIC 1000.1a thru k 10. Part III, Chapter 1, page III-1-5, SSIC 1040.4 11. Part III, Chapter 1, page III-1-28, SSIC 1630.6 and 8 12. Part III, Chapter 1, page III-1-29, SSIC 1640.2 13. Part III, Chapter 1, pages III-1-34 thru III-1-35, SSIC 1770.1 and 2 14. Part III, Chapter 1, page III-1-38, SSIC 1900.7 and 8 15. Part III, Chapter 2, page III-2-1, SSIC 2000-2999, Introduction 16. Part III, Chapter 2, pages III-2-20 thru III-2-28, SSICs 2600-2699, 2600, 2600.1 thru 7, 2610,

2610.1 thru 17, 2620, 2620.1 thru 11, 2630, and 2630.1 17. Part III, Chapter 3, pages III-3-11 thru III-3-12, SSIC 3101, SSIC 3101.1 and 2 18. Part III, Chapter 3, pages III-3-30 thru III-3-31, SSIC 3462, 3462.1 thru 3 19. Part III, Chapter 3, page III-3-31, SSIC 3480.3a and b 20. Part III, Chapter 3, page III-3-34, SSIC 3511.1b 21. Part III, Chapter 3, page III-3-34, SSIC 3512.1b 22. Part III, Chapter 3, page III-3-35, SSIC 2517.2b 23. Part III, Chapter 3, page III-39, SSIC 3760.2b 24. Part III, Chapter 3, page III-3-46, SSIC 3850.3b(4) 25. Part III, Chapter 3, page III-3-49, SSIC 3900.3 26. Part III, Chapter 4, page III-4-34, SSIC 4620.22a

SECNAV M-5210.1 January 2012

27. Part III, Chapter 5, pages III-5-1 thru III-5-2, SSIC 5000.9 28. Part III, Chapter 5, page III-5-2, SSIC 5032.1 29. Part III, Chapter 5, pages III-5-10 thru III-5-11, SSIC 5210.2 thru 4 30. Part III, Chapter 5, pages III-5-11 thru III-5-12, SSIC 5211.2a thru f 31. Part III, Chapter 5, pages III-5-21 thru III-5-22, SSIC 5314.2 and 3 32. Part III, Chapter 5, page III-5-31, SSIC 5512.16 33. Part III, Chapter 5, page III-5-33, SSIC 5522.2 34. Part III, Chapter 5, page III-5-36, SSIC 5580.1 35. Part III, Chapter 5, page III-5-37, SSIC 5580.4a(3) 36. Part III, Chapter 5, page III-5-38, SSIC 5580.4b(3) 37. Part III, Chapter 5, page III-5-39, SSIC 5580.4d(5) 38. Part III, Chapter 5, page III-5-39, SSIC 5580.4g 39. Part III, Chapter 5, page III-5-42, SSIC 5580.9a, c and d 40. Part III, Chapter 5, page III-5-43, SSIC 5580.11 41. Part III, Chapter 5, pages III-5-47 thru III-5-49, SSIC 5720.5b and 9b thru l 42. Part III, Chapter 5, pages III-5-57 thru III-5-58, SSIC 5810.5 43. Part III, Chapter 9, page III-9-8, SSIC 9085.1b(6) 44. Part III, Chapter 9, page III-9-9, SSIC 9085.1e(8) 45. Part III, Chapter 9, pages III-9-10 thru III-9-11, SSIC 9085.4 46. Part III, Chapter 11, pages III-11-3 thru III-11-4, SSIC 11011.2 47. Part III, Chapter 13, pages III-13-2 thru III-13-3, SSIC 13000.6a and 6d thru f 48. Part V, pages V-1 thru V-4, complete revision 49. Appendix A, page A-1 thru A-5, paragraphs 2a thru c and e; 4b and c; 4f(3), (6), (7) and (9);

5; 8; and updates to various addresses and contact information for the "National and Federal Records Centers Area Served" 50. Appendix B, page B-1, paragraphs 1 thru 3, 5 and 6 51. Appendix C, pages C-1 thru C-6, items 21, 35, 43 thru 45, 50, 55, 62, 64, 68, 78f and g(13), 80, 81, 84 thru 88, 91, 96, 98, 110, 115, 118, 119, 121, and 122 52. Appendix D, page D-1, complete revision 53. Appendix E, page E-1, paragraph 2 54. Appendix F, page F-1, complete revision 55. Appendix G, pages G-1 thru G-7, updated 56. Appendix H, pages H2 thru H-3, paragraph 5e(5)

DEPARTMENT OF THE NAVY

CHIEF INFORMATION OFFICER 1000 NAVY PENTAGON

WASHINGTON DC 20350-1000

20 January 2012

FOREWORD

The Department of the Navy (DON) Records Management (RM) Program establishes policies and procedures for life cycle management (creation, maintenance, use, and disposition) of DON records. This manual provides guidelines and procedures for the proper administration of a records management program. It also contains all DON records disposition schedules approved by the National Archives and Records Administration (NARA).

This manual implements the policy set forth in Secretary of the Navy Instruction (SECNAVINST) 5210.8D, Department of the Navy Records Management Program, 31 December 2005 and is issued under the authority of SECNAVINST 5430.7Q, Assignment of Responsibilities and Authorities in the Office of the Secretary of the Navy, 17 August 2009.

This version of the manual contains new disposition schedules approved by NARA as well as minor changes to record descriptions, corrections to names of activities, and updates to NARA guidance. Areas of major changes are underlined and in bold and are delineated in the "List of Revisions/Changes" pages in the front of the manual.

The disposition schedules are listed by Standard Subject Identification Code (SSIC). The schedules incorporate NARA records disposition policies and guidelines and have been approved by the Archivist of the United States, as required by Title 36 Code of Federal Regulations Chapter XII. This manual is the single records disposition authority for all DON records.

This manual is effective immediately; it is mandatory and applicable to the offices of the Secretary of the Navy, Chief of Naval Operations (CNO), Commandant of the Marine Corps, and all Navy and Marine Corps activities, installations, and commands.

Reports. Report Control Symbol SECNAV5212-1 is assigned to the report on accidental destructions of records required by paragraph 6, Part I, and is approved in accordance with DON reports control procedures.

The statutory definition of records. Title 44 United States Code Chapter 33 defines records as "all books, papers, maps, photographs, machine readable materials or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the Government or because of the information value of data in them. Library and

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museum material made or acquired or preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stock of publication and of processed documents are not included."

This manual may be accessed through the Department of the Navy Issuances web site:

Comments and recommendations regarding this manual are welcome. For further assistance or to offer comments and recommendations, contact the appropriate office below:

Office of the Secretary of the Navy

USN

Navy Records Manager

DON/AA

Directives and Records Management Division

1000 Navy Pentagon, Room 4A514A

Washington, DC 20350-1000

Commercial (703) 695-9996

DSN

224-9996

USMC Marine Corps Records Manager (ARDB) 3000 Marine Corps Pentagon, Room 2B253 Washington DC 20350-1775

(703) 614-1081 224-1081

Terry A. Halvorsen Department of the Navy Chief Information Officer

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SECNAV M-5210.1 (1st Revision) January 2012

Department of the Navy Records Management Manual

Table of Contents

Foreword .................................................................................................................................... i Table of Contents ..................................................................................................................... iii References................................................................................................................................ vi

PART I ? AUTHORITY AND PROCEDURES FOR RECORDS DISPOSITION PROGRAM

1. The Director of Directives and Records Management Division (DRMD), .................. DON/AA, Office of the Secretary of the Navy ........................................................I-1

2. Statutory and Regulatory Authority .........................................................................I-1 3. Goals of Record Management Program ...................................................................I-1 4. Information Security.................................................................................................I-1 5. Provisions for Emergency Destruction of Records .................................................. I-1 6. Accidental Destruction of Records...........................................................................I-2 7. Provisions for Transferring Records to Other Custody............................................I-2 8. Procedures for Transferring Records to Federal Records Centers ........................... I-3 9. Destruction of Records in the Custody of FRCs ......................................................I-3 10. Access and Reference to Records Transferred ....................................................... I-3 11. Cutting Off Records/Files ......................................................................................I-4 12. Retiring Records to Local Storage Areas ............................................................... I-4 13. Temporary Records Interfiled With Other Records ...............................................I-4 14. Personal Papers.......................................................................................................I-5 15. Preservation of Facsimile Transmissions as Federal Records................................I-5 16. Data Created or Received and Maintained for the Government by Contractors....I-5 17. Electronic Records ................................................................................................. I-6

PART II ? APPLYING RECORDS RETENTION STANDARDS 1. Records Retention Standards...................................................................................II-1 2. Deviations from Retention Standards......................................................................II-2 3. Exceptions to Standards when Litigation, Investigations, Preservation Orders, and Exceptions are Pending ....................................................................................II-2 4. Establishing New or Revised Standards..................................................................II-2 5. Responsibility for Applying Standards ...................................................................II-2 6. Applying Standards Initially ...................................................................................II-3

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