NATIONAL ARCHIVES AND RECORDS ADMINISTRATION’S APPROVED
CHANGES TO INFORMATION AND LIFE CYCLE MANAGEMENT MANUAL,
COMDTINST M5212.12A
NARA regulations (36 CFR 1228.50(d)) require agencies to implement and keep current new and
revised schedules approved by the Archivist of the United States. The below SSICs/Items have
been approved and should be implemented immediately. New/changed items will be added to the
next issuance of the Information and Life Cycle Management Manual, COMDTINST M5212.12A.
ITEM SSIC 1500 TRAINING AND EDUCATION AUTHORIZED DISPOSITION
NO.
18 CG Learning and Training Management System. The Coast
Guard enterprise wide training management qualification, and
certification data reporting system serves as an electronic
learning management components that collects and maintains
personnel information, course details and appropriations as
needed to record, store, and distribute information or services
related to training content delivery, completion, courses, and
examinations.
a. System Inputs: Transferred electronically or manually Destroy/Delete when data is
from instructors, training centers, unit yeomen, individual verified or when no longer
trainees, system administrators, supervisors, training needed.
coordinators, appropriate human resource representatives and (AUTH: N1-026-05-1)
data from the Coast Guard Direct Access Human Resource
System used in conjunction with course information.
b. System Data: Used to collect, retain, and track data
related to all training activities such as training records, class
schedules, training development, appropriations and student
status.
(1) Individual Training Information. Includes the unique Destroy/Delete data 10 years after
employee record number, requests, appointment letters, service member, contractor, or
training certificates, travel information, personnel civilian is released from active
identification number, training content and history, duty, retires, transfers services, or
certification/ recertification data, course completion, course is otherwise discharged from the
information, examinations, grading, course code, school Coast Guard.
code, reason for training request, training facility, company or (AUTH: N1-026-05-1)
unit identifying information.
(2) Course information: Includes for each course of
instruction roster documenting enrollment and attendance of
participants, complete record of all training evaluations
(grade/scores) documentation of course completion or qualification for each student successfully completing the
training program/course, waivers or exemptions requested or granted and verification of physical abilities. Included formal school catalog courses, attrition rates, class scheduling, personnel equipment and facility contracting, reservations,
vacancies, wait lists, manuals, syllabuses, textbooks, training aids, SOPs, training plans, course development or substantial equivalent record maintained to identify a required skill or task training requirement and to document development
assignments, on the job training, or apprentice type training.
(a) Unique or significant training materials and course Permanent. Transfer to FRC
development specifically unique to Coast Guard only. when superseded, obsolete, or
when no longer used. Transfer to
NARA when 10 years old.
(AUTH: N1-026-05-1)
(b) All other. Destroy/delete when superseded
or obsolete or when 6 years old.
(AUTH: N1-026-05-1)
(3) Instructor or Staff Training information. Destroy/Delete data 10 years after Includes for each staff member copies of instructor’s personal service member, contractor, or training history, attendance records, exemption or waivers civilian is released from active requested/granted, evaluations, qualification notifications, duty, retires, transfers services, or certifications, recertification and verifications of ability. is otherwise discharged from the
Coast Guard.
(AUTH: N1-026-05-1)
(4) Funding and resource information. Includes funding Destroy/delete when superseded categories, codes, audits, and provisions for monetary or obsolete or when 6 years old.
assistance or coverage for tuition, travel, per diem, housing (AUTH: N1-026-05-1)
allowance and other administrative management
expenditures.
c. System Outputs. New training and certification data is Destroy/Delete when no longer presented and accessed using a web based user interface. needed for agency business.
Users include Coast Guard personnel, system administrators, (AUTH: N1-026-05-1)
supervisors, training coordinators and appropriate human
resource representatives. Data is also used to update the Coast Guard Direct Access Human Resource System. Other forms of outputs include class rosters, reservations, ad-hoc
reports and queries.
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d. System Documentation. Regardless of medium, system Destroy/Delete when no longer
documentation includes record layouts, technical description needed for agency business.
of the files, data dictionaries, operational and user manuals, (AUTH: N1-026-05-1)
backup procedures, Interface Requirement Documents (IRD).
May also contain code books, metadata schemes,
standardization guidance, record layouts for the data fields,
standard operating procedures, user and administrator guides,
and related materials that support training management
components.
(1) System documentation related to unique or significant Permanent. Transfer to NARA
training materials and course development. along with related system when
10 years old.
(AUTH: N1-026-05-1)
(2) All other system documentation. Destroy/Delete when no longer
needed for agency business.
(AUTH: N1-026-05-1)
19 Individual employee files on training. Destroy when 5 years old or 5
years after completion of a
specific training program.
(AUTH: GRS 1, Item 29a(1))
20 Certificate Files, including SF 39, SF 39A, or equivalent, and Cut off annually. Destroy 2 years
all papers upon which the certification was based: the list of after cutoff.
eligibles screened for the vacancies, ratings assigned, (AUTH: GRS 1, Item 1p.)
availability statements, the certificate of eligibles that was
issued to the selecting official, the annotated certificate of
eligibles that was returned from the selecting official, and
other documentation material designated by the examiner for
retention.
21 Card summaries of station requirements reflecting name of Destroy when 1 year old.
station, personnel strength, and ceiling requirements. (AUTH: NC1-026-80-4)
ITEM SSIC 1700 MORALE AND PERSONAL AFFAIRS AUTHORIZED DISPOSITION
NO.
5 Family Advocacy Child/Spouse Abuse Case Files.
Documents relating to substantiated and unsubstantiated
cases of child or spouse maltreatment under the provisions of
the Family Advocacy Program. Child/Spouse Abuse Incident
Report, CG-5488, case management summary, record of
referral, extract of pertinent information from the police
report, CID report, and other pertinent investigative reports
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and supportive data, evaluation of case, record of services
and counseling provided, treatment data and related
documents.
a. Family Advocacy Case Files CGHQ Office of Primary
responsibility.
(1) Family Advocacy Case Records - Substantiated Cases Destroy 5 years after case is
at CGHQ. closed.
(AUTH: N1-026-05-8)
(2) Minor Dependent Child Abuse, Neglect or Sexual Retain a minimum of 5 years after
Abuse. dependent child reaches age of
18.
(AUTH: N1-026-05-8)
b. All Other Offices Forward case files to CHGQ
when case is closed, or when
member transfers or leaves the
service.
(AUTH: N1-026-88-02)
c. Family Advocacy Case Records - Unsubstantiated/Did Not Destroy immediately after case
Occur. determination is made.
(AUTH: N1-026-05-8)
d. Family Advocacy Program Statistical Data Report Used Destroy upon completion of next
for Training Purposes. comparable report.
(AUTH: N1-026-05-8)
ITEM SSIC 3000 OPERATIONS AND READINESS AUTHORIZED DISPOSITION
NO.
6 Contingency Preparedness System (CPS). The CPS was
developed and launched in fall, 2003, to enhance management
of the Coast Guard Exercise Program and Contingency
Planning Program. Overall, CPS provides the capabilities to
line plans, exercises, and lessons learned, thereby improving
Coast Guard readiness. The database allows the collections,
validation and distributing of contingency plans and Concept
of Exercises’ (COEs) as well as tracking vital lessons learned
as they apply to implementation in contingency plans.
Managed by the Coast Guard After Action Division. CPS is
an efficient means of entering, integrating, managing, and
monitoring Contingency Plans, COEs, and capturing After
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Action Reports (AARs), lessons learned, and best practices from operations, contingency responses, and exercises.
a. Input. Manual data entry, uploading, scanning and Retain at local unit or planning electronic input via network or CDROM. Sources of input authority. Destroy/delete when include individual exercise planners from units, areas, data has been verified and no districts, and commands. longer needed fro reference.
(AUTH: N1-026-05-14)
(1) Exercise records. Records consists of paper and Retain at local unit or planning electronic Concept of Exercise (COD) reports, maps, charts, authority. Destroy/delete when message traffic, critical incident publications, evaluations, data has been verified and no post-exercise reports, lists of participating units, funding data, longer needed fro reference.
district or higher headquarter input, information on (AUTH: N1-026-05-14)
coordination with other agencies and private sector.
(2) Contingency Plans. Paper and electronic copies of Retain at local unit or planning contingency plans and reports including approvals, authority. Destroy/delete when geographic information, response structure and plan, data has been verified and no documentation on state and local procedures for interaction, longer needed fro reference.
national policy and doctrine, command input, safety guidance, (AUTH: N1-026-05-14)
information protocol and standards, SOPs for liaisons,
general operations, recovery and protection, emergency response plan, information on local wildlife, natural resources
and environmental assets, procedures for volunteers, correspondence, permits and consultation, logistical requests and services, communications planning, finance and administration, and after action surveys.
(3) AARs and Lessons Learned. An AAR is a structured Retain at local unit or planning review process either formal or information that allows authority. Destroy/delete when participants to report for themselves what happened, why it data has been verified and no happed, and how it can be done better. Paper electronic longer needed for reference.
copies of AARs and lessons learned which include a detailed (AUTH: N1-026-05-14)
synopsis, overview and evaluation of an operation or training
exercise involving Coast Guard assets. Also included are
surveys and consolidated AARs in broader lessons learned.
a. Master File.
(1) Exercise and Planning Data. This data refers to Cutoff completed plans and planning and execution. Information content includes data on concluded exercises every planning, user identification, plan title and abbreviation, calendar year and Destroy/Delete security classification, unit or operational facility responsible, 20 years after cutoff or when no references required, dates, approvals and type of contingency. longer needed for reference,
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Data on exercise includes scheduled events, exercise, whichever is later.
estimated and actual funding requirements, type of exercise, (AUTH: N1-026-05-14)
location, submitting unit, start date and end date, director,
sponsor, point of contact and telephone number, outline of exercise accomplishments major objectives, a synopsis of what the exercise is about, what can be expected and the plan that is to be exercised, participants and any additional remarks. Also included with each plan within CPS (as
described in Item 9a(2) is a link to corresponding lesson learned, best practice or AAR within CG-SAILS.
(2) Standard After Action Information and Lessons Permanent. Cutoff data for Learned System (CG-SAILS). This data refers to analysis of completed records only every operations and exercises after they have been concluded. third calendar year and transfer to CG-SAILS is a web-enabled tool designed to ensure NARA. (AUTH: N1-026-05-14)
information and experiences gained from real-world
operations and exercise are captured in a system that is readily accessible at all levels of the organization. The system increases corporate knowledge and enhances USCG
organizational efficiency. CG SAILS provides a process for the collection, validation, distribution, feedback and the subsequent remediation of issues identified and derived from operations and exercise. Field within the system are standardized and formatted for ease of use and for inclusion
into external resources. Data format for AAR includes event name, type of mission, point of contact, expenditures, general description or summary of operational highlights, operational data including command, control, communication and
information, intelligence, planning, and statistical data. Also included are objectives, major lessons learned, limitations and casualties and extent of participants. Data format for Lesson Learned or Best Practice includes event name, recommended
action, date span, type o contingency, theme of lesson learned, core component and contextual data, observations, discussion, and recommendation.
c. Outputs. Electronic reports, statistics, updates and other Destroy when no longer needed management related outputs retrievable by Area of for administrative use.
Responsibility (AOR), by unit, operational facility, by date of (AUTH: N1-026-05-14)
approval, by fiscal year or AAR status (pending, complete or
overdue). Primary means of retrieval is via internal website. CPS also, allows custom options based on criteria of data or all fields of information. Standardized reports are generated for inclusion into external data information systems such as
the DOD Joint Lessons Learned System.
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d. System Documentation. Contains code books, data Permanent. Transfer system
dictionaries, metadata schemes, CPS standardization documentation and any updates to
guidance, record layouts for the data fields, standard NARA along with transfer of CG
operating procedures, user and administrator guides, help SAILS maser data
guide and elated materials the maintenance of CPS. (AUTH: N1-026-05-14)
ITEM SSIC 3123 MOVEMENT REPORTS AUTHORIZED DISPOSITION
NO.
1 Unit Logs.
Transcripts of logs of lightships, light stations and vessels Destroy when 1 year old.
maintained at Operations Division. (supersedes (NC1-026-84-1), item 296a(1)
COMDTINST M5212.12 para 296a(1))
Transcripts of logs for vessels and shore units. (supersedes Destroy when 1 year old.
COMDTINST M5212.12 para 296b) (NC1-026-84-1), item 296b(2)
2 Large Shore Unit Logs. Units found in this section include
Air Stations and Detachments, SAR Groups, Section Offices,
Bases, Group Offices, Supply Depots, Port Security Units,
and Captain of Port Offices supersedes COMDTINST
M5212.12, para 296a(3) and (4)).
a. Original log containing a daily record of the unit’s activities Destroy when 3 years old.
and a daily record of local weather information. (NC1-026-84-1), item 296a(3)
b. Master Flight Logs containing statistical entries of all Destroy when 7 years old.
flights regardless of purpose. (NC1-026-84-1), item 296a(4)
3 Small Shore Unit Logs. Units found in this section include:
Electronic Repair Shops, Fog Signal Stations, Lifeboat
Stations, Light Stations, Light Attendance Stations, Loran
Transmitting Stations, Mooring, Organized Reserves Training
Units (Port Security) (Vessel Augmentation), Radio Stations,
Recruiting Stations, and others. (supersedes COMDTINST
M5212.12, para. 296a(5)).
a. Original Logs (including Journal of Light Stations
containing a daily record of the unit’s activities and a daily
record of local weather information.
(1) Original Journal of Light Stations and Lifeboat Permanent. Transfer to NARA
Stations having Historical Significance. immediately, records no longer
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created under this description.
(NC1-026-84-1), item 296a(5)(a)
(2) All other logs created by shore units. Destroy when 3 years old.
(NC1-026-84-1), item 296a(5)(b)
b. Loran recording charts. Destroy when 3 years old.
(NC1-026-84-1), item 296a(6)
4 Coast Guard Vessels. Original Ship Logs containing a daily
record of the ship’s activities and a daily record of weather
information. (supersedes COMDTINST M5212.12, para
296a(7)).
a. Logs for Group I type units described under Permanent. Transfer to NARA
COMDTINST 3123.12 series as follows: WHEC, WLI, when 20 years old in 5 year
WLM, WYTL, WTR, WMEC, WLR, WYTM, WAGO, blocks. Transfer to FRC when 1
WAGB, WLIC, WLB, WPB, WIX, WAGW. (supersedes cubic foot has accumulated.
COMDTINST M5212.12, para 296a(7)(a)). NOTE: All cutters 65 feet or
longer accession logs directly to
NARA.
(NC1-026-84-1), item 296a(7)(a)
b. Log for Group II type units described under Permanent. Transfer to NARA
COMDTINST 3123.12 series as follows: WLV. (supersedes immediately. WLV no longer
COMDTINST M5212.12, para 296a(7)(b)). collected as a separate series.
(NC1-026-84-1), item 296a(7)(b)
c. Quartermaster Bridge books. (supersedes COMDTINST Destroy when 3 years old.
M5212.12, para 296a(8)). (NC1-026-84-1), item 296a(8)
5 Headquarters Units. Units found in this section include Destroy when 3 years old.
Academy, Aircraft Repair and Supply Center, Institute, (NC1-026-84-1), item 296a(9)
Receiving Centers, Supply Centers, Training Station Yard.
(supersedes COMDTINST M5212.12 para. 296a(9)).
Original Log containing daily record of units’ activities and a
daily record of local weather information. (supersedes
COMDTINST M5212.12 para 296a(9)).
a. Original Log containing daily record of units’ activities Destroy when 3 years old.
and a daily record of local weather information. (supersedes (NC1-026-84-1), item 296a(9)
COMDTINST M5212.12 para 296a(9)).
6 Boating Administration Management Report System Dispose of in accordance with
(BAMS). Maintains a history of cost and maintenance data user published guidance.
on all small boats. The cost data includes standard
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construction, and maintenance costs in three categories: hull,
machinery and electronics. Maintenance data includes
maintenance cost and man-hours. (supersedes HQINST
M5212.6A, para 302).
7 Search and Rescue Statistical (SAR). Provides statistics for Dispose of in accordance with
the Search and Rescue Division on three categories of data: user published guidance.
Case, Response and Sortie. Source data is from the
Assistance Reports in the Districts. (supersedes HQINST
M5212.6A, para 303)
8 Log Navigation Data Sheet. Hard Copy - Form CG-4380C. Cut-off forms at end of year.
Destroy 3-years after cutoff.
(AUTH: N1-026-04-3)
9 Log Navigation Data Sheet. Electronic - Form CG-4380C. Destroy/Delete when 3-years old.
(AUTH: N1-026-04-3)
NOTE: Some Log Navigation Data may be worthy of
permanent retention if they provide significant insight into
major events recorded in U.S. Coast Guard logbooks, reflect
significant developments, or attract extensive public attention.
These should be brought to the attention of NARA via a SF-
115, Request for Disposition Authority, so that they can be
appraised and appropriate disposition authorized. The
appraisal process of these records will include determining of
the appropriate medium for transfer of any records
determined to be permanent.
ITEM SSIC 3500 TRAINING AND READINESS AUTHORIZED DISPOSITION
NO.
9 Cutter Training Records. Records consist of training data
created in the course of operating a USCG cutter training
program as directed by COMDTINST M3502.4H. The
purpose is to standardize the documentation of training
activities in order to evaluate the program and maintain an
appropriate state of readiness.
a. Unit Training Plan. A schedule of training events, time Destroy when no longer needed
slots for scheduled drills, exercises, all-hands training and for administrative use.
departmental/division training developed with each underway (AUTH: N1-026-05-3)
or in-port cycle. Units are authorized to use CG-5293 or
locally created forms such as Microsoft Outlook Calendar to
document planning. Also included are specific drill plans with
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proposed contingencies or operational procedures that must
be fulfilled, safety standards, length of drill period, condition
of equipment, and safety considerations.
b. Individual Training Records. Locally and individually Retain and transfer to assigned
created files used for documenting training and certification duty station. Destroy 3 years
of USCG enlisted personnel. Records include indoctrination after last duty station prior to
check-off sheets, copies of PQS/JQR qualification, small arms discharge, death or retirement.
training, formal school completion letters and certificates, (AUTH: N1-026-05-3)
copies of correspondence course completion notices, and
performance based qualifications sheets.
c. Cutter Drill and Exercise Records. Includes a Destroy when no longer needed
comprehensive record of completed drills and exercises, or when 5 years old whichever is
dates, frequency, identification and comments as to later.
satisfactory completion. Information may be documented on (AUTH: N1-026-05-3)
a Records of Drills and Exercises (CG-5290) or by other
means suitable for reporting for example the Training
Management Tool, (TMT, see SSOC 1500) or Status of
Resources and Training System (SORTS).
d. Exercise Evaluation Sheets. Includes numerical evaluation Destroy when no longer needed
of the exercise or drill against the criteria related to the or when 2 years old, whichever is
specific training event conducted. Also included are Drill later.
Performance Check Sheets and other means of documenting (AUTH: N1-026-05-3)
the evaluation of a particular cutter drill. The records are
maintained by the training officer.
ITEM SSIC 4130 CONFIGURATION MANAGEMENT AUTHORIZED DISPOSITION
NO.
9 Advance Planning Files. Contain project reports for AC&I or Destroy 3-years after project is
OE funded projects, unit development plans describing work completed.
proposed, cost estimates, justification with related charts, (NC1-026-80-4)
drawings, maps or photographs as needed. General files on
budgets and funds related to construction and maintenance,
which are maintained electronically.
ITEM SSIC 4500 REDISTRIBUTION AND DISPOSAL OF AUTHORIZED DISPOSITION
NO. PROPERTY
7 Inventory Control Point Records. Consisting of general Destroy after 3 years.
ledger trial balance summary sheet, system query, universe to (AUTH: NC1-026-06-8)
trial balance summary, reconciliation of differences, data file
containing exclusions, ICP Stat Sample procedures/checklist,
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