RECORDS MANAGEMENT MANUAL

1 T h e S E C R E TA RY O F T H E N AV Y. SECNAV November 2007 (Rev.). Department of the Navy RECORDS MANAGEMENT Progr am RECORDS MANAGEMENT MANUAL . Published By The Department of the Navy Chief Information Officer November 2007 Revision SECNAV November 2007. DEPARTMENT OF THE NAVY. OFFICE OF THE CHIEF INFORMATION OFFICER. 1000 NAVY PENTAGON. WASHINGTON, DC 20350-1000. 16 November 2007. 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. This MANUAL implements the policy set forth in Secretary of the Navy Instruction (SECNAVINST) , Department of the Navy RECORDS MANAGEMENT Program, 31. December 2005 and is issued under the authority of SECNAVINST , Assignment of Responsibilities and Authorities in the Office of the Secretary of the Navy, 9 June 2005.

2 This MANUAL replaces SECNAV MANUAL M-5210, Department of the Navy, Navy RECORDS MANAGEMENT Program, RECORDS MANAGEMENT MANUAL , December 2005. Revisions were made throughout and major changes were made to the disposition schedules for DON RECORDS contained in Part III. The disposition schedules are listed by Standard Subject Identification Code (SSIC). The schedules incorporate National Archives and RECORDS Administration (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 (CFR) 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 (CMC), and all Navy and Marine Corps activities, installations, and commands.

3 Reports. Report Control Symbol SECNAV 5212-1 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 (USC) 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, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the information value of data in them. Library and 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.

4 Ii SECNAV November 2007. 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 USMC. Navy RECORDS Manager Marine Corps RECORDS Manager CNO/DNS-5 (ARDB). 720 Kennon St. SE Bldg 36, Room 203 2 Navy Annex Room 1212. Washington DC 20374 Washington DC 20380-1775. Commercial (202) 433-4217 (703) 614-2311. DSN 288-4217 224-2311. Robert J. Carey Department of the Navy Chief Information Officer iii SECNAV November 2007. Department of the Navy RECORDS MANAGEMENT MANUAL Table of Contents Forward ..ii Table of PART I - AUTHORITY AND PROCEDURES FOR RECORDS DISPOSITION. PROGRAM. 1. The Navy Directives and RECORDS MANAGEMENT 2. Statutory and Regulatory 3. Goals of RECORDS Disposal 4.

5 Information 5. Provisions for Emergency Destruction of 6. Accidental Destruction of 7. Provisions for Transferring RECORDS to Other 8. Procedures for Transferring RECORDS to Federal RECORDS 9. Destruction of RECORDS in the Custody of Federal RECORDS Centers ..I-3. 10. Access and Reference to RECORDS 11. Cutting Off RECORDS /Files ..I-4. 12. Retiring RECORDS to Local Storage Areas ..I-4. 13. Temporary RECORDS Interfiled with Other 14. Personal 15. Preservation of Facsimile Transmissions as Federal 16. Data Created or Received and Maintained for the Government by Contractors ..I-6. 17. Electronic RECORDS ..I-6. PART II - APPLYING RECORDS RETENTION STANDARDS. 1. RECORDS Retention Standards ..II-1. 2. Deviations from Retention 3. Exceptions to Standards when Litigation, Investigations, and Exceptions are Pending ..II-2. 4. Establishing New or Revised 5. Responsibility for Applying iv SECNAV November 2007.

6 6. Applying Standards PART III - RETENTION STANDARDS FOR NAVAL RECORDS . Chapter 1 - Military Personnel RECORDS ..III-1-1. Chapter 2 - Telecommunications Chapter 3 - Operations and Readiness RECORDS ..III-3-1. Chapter 4 - Logistics Chapter 5 - General Administration and MANAGEMENT Chapter 6 - Medicine and Dentistry RECORDS ..III-6-1. Chapter 7 - Financial MANAGEMENT RECORDS ..III-7-1. Chapter 8 - Ordnance Material RECORDS ..III-8-1. Chapter 9 - Ships Design and Material RECORDS ..III-9-1. Chapter 10 - General Material RECORDS ..III-10-1. Chapter 11 - Facilities and Activities Ashore RECORDS ..III-11-1. Chapter 12 - Civilian Personnel RECORDS ..III-12-1. Chapter 13 - Aeronautical and Astronautical Material PART IV - DECOMMISSIONED VESSELS' RECORDS . 1. Technical Equipment or Instruction Manuals ..IV-1. 2. Personnel 3. Medical and Dental 4. Ships Deck Log ..IV-1. 5. Fleet or Flag Command 6. Financial 7. Legal 8.

7 Flight 9. Engineering Logs and Bell Books ..IV-2. 10. Logs and Other RECORDS maintained for Internal Control 11. Radiation IV-2. PART V - RECORDS OF ARMED CONFLICT. 1. Component Commanders, Subordinate Commanders, and Individual Units ..V-1. 2. Studies, Reports and Formal 3. Paper and Photo RECORDS used in Production of 4. Paper RECORDS not used in Production of Reports ..V-2. 5. Motion Picture Film and Video v SECNAV November 2007. 6. Data Bases and Other Electronic RECORDS ..V-2. APPENDICES. Federal RECORDS Centers (FRC) Transfer Procedures, FRC Locations, and List of Department of the Navy record Reference Service ..B-1. Glossary of Reimbursable Microfilm Services Provided by Federal RECORDS Centers ..D-1. RECORDS Disposition Notices Issued by Federal RECORDS Centers ..E-1. Standards for Navy RECORDS Centers ..F-1. SSIC Quick DON Vital RECORDS Program ..H-1. vi SECNAV November 2007. References (a) DOD Directive , DoD RECORDS MANAGEMENT Program, March 6, 2000.

8 (b) Title 36, Code of Federal Regulations (CFR), Chapter XII, Subchapter B, RECORDS MANAGEMENT . (c) Title 44 United States Code (USC), Chapters 29, 31, 33, and 35. (d) Title 41, CFR, Part 102-193. (e) OMB Circular No. A-130. (f) DOD , Design Criteria Standard for Electronic RECORDS MANAGEMENT Software Applications, June 19, 2002. vii SECNAV November 2007. PART I ensure timely destruction of eligible RECORDS . AUTHORITY AND PROCEDURES FOR RECORDS b. Accomplishment of these goals will reduce DISPOSITION PROGRAM maintenance costs and, at the same time, provide MANAGEMENT with more efficient RECORDS to conduct its 1. The Director of RECORDS Office (DNS-5), Office of the daily business. In meeting these goals, the immediate Chief of Naval Operations. Is designated as the Navy objectives are: liaison with the National Archives and RECORDS Administration regarding naval RECORDS disposition. DNS- (1) to decrease the volume of RECORDS in high-cost 5 is designated as the single approval authority for request office spaces by destroying non- record material and for RECORDS dispositions to the National Archives.

9 Increasing the volume of short-term RECORDS transferred to authorized local storage space and the transfer of long- 2. Statutory and Regulatory Authority. The disposition of term and permanent RECORDS to Federal RECORDS Centers Government RECORDS is given legal status by the RECORDS (FRCs);. Disposal Act of 1943, as amended, the Federal RECORDS Act of 1950, 36 Code of Federal Regulations (CFR) Chapter (2) to reduce the number and volume of long-term XII, and Navy Regulations. or permanent naval RECORDS , but also increase the significance of those to be preserved; and a. The Federal RECORDS Act of 1950. The Federal RECORDS Act of 1950 provides that, as part of the (3) to ensure that all RECORDS are programmed for responsibility for the establishment of a continuing agency- retention or periodic destruction and that every activity wide RECORDS program, the Secretary of the Navy should and office properly applies the retention standards propose retention and disposal instructions for all major specified in this instruction.

10 Series of Navy RECORDS and, once approved by the Archivist of the United States, ensure the proper application of these 4. Information Security. The DON Information Security mandatory instructions. Program Regulation (SECNAVINST (series) and SECNAV ) provides for the destruction of b. Navy Regulations 1990, Article 1127. No classified matter. This and other regulations for person, without proper authority, shall withdraw official safeguarding security information shall be followed at all RECORDS or correspondence from the files, or destroy them, times in applying the provisions of this instruction. or withhold them from those persons authorized to have access to them. 5. Provisions for Emergency Destruction of RECORDS . DON RECORDS may be destroyed without regard to the c. Mistreatment of Government RECORDS . Provisions of above statutory and regulatory requirements under two law prescribing the mistreatment of Government RECORDS emergency conditions.