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CHAPTER 2

By Thomas Allen,2014-03-09 07:47
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DestroyDelete data 10 years after service member, contractor, or civilian is released from active duty, retires, transfers services, or is otherwise

    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.

    2-2

     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

    2-3

    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

    2-4

    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,

    2-5

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.

    2-6

     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

    2-7

    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

    2-8

    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

    2-9

    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,

    2-10

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