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- 1. Navy Enlisted Field Service Record (EFSR) Closeout Guide
Version 1.0 25 January 2010 Navy Personnel Command Support provided
by: CNPC Records Support Division 5720 Integrity Drive PERS-31
Millington, TN 38055-7400
- 2. 25 January 2010 CNPC Personnel Information Management
Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide Contents 1 Overview
...............................................................................................................................1
2 EFSR
Closeouts....................................................................................................................2
2.1 Enlisted Field Service Record (EFSR) Closeout Team Preparations
...........................2 2.2 Personnel Office
Training..............................................................................................4
2.3 FSR Document Disposition
...........................................................................................5
2.4 Scan EFSR Documents
................................................................................................7
2.5 BOL e-Sub of FSR Documents
...................................................................................13
2.6 EMPRS QA Document Processing
.............................................................................19
2.7 Record Document Processing after Closeouts
...........................................................21 3
Supporting Processes
.........................................................................................................24
3.1 Access to BUPERS Online and
e-Submission............................................................24
3.2 The NSIPS Alpha Locator and Merging the Data with the EFSR
Disposition Plan.....26 3.3 Separating TIFF Images using Microsoft
Office Document Imaging Utility .................34 4 Appendix
.............................................................................................................................36
4.1 e-Submission Document Tables
.................................................................................36
4.2 e-Submission Reject Error Messages
.........................................................................38
4.3 Electronic Submission (e-Sub) Frequently Asked Questions (FAQs)
.........................39 4.4 References
..................................................................................................................42
- 3. 25 January 2010 CNPC Personnel Information Management
Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide Process Diagrams Figure 2-1: EFSR Close-out
Diagram EFSR Team Preparations
..............................................2 Figure 2-2: EFSR
Close-out Diagram Personnel Office
Training...............................................4 Figure
2-3: EFSR Close-out Diagram FSR Document Disposition
............................................5 Figure 2-4: EFSR
Close-out Diagram Scan EFSR Documents
.................................................7 Figure 2-5: EFSR
Close-out Diagram BOL e-Sub of FSR Documents
....................................13 Figure 2-6: EFSR Close-out
Diagram EMPRS QA Document Processing
..............................19 Figure 2-7: EFSR Close-out Diagram
Record Document Processing after Closeouts ............21
- 4. 25 January 2010 CNPC Personnel Information Management
Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide Record of Changes Change Number Date Entered
By Reason for Change
- 5. 25 January 2010 CNPC Personnel Information Management
Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide 1 Overview This document contains process
diagrams and narratives for the seven stages related to the
Closeout of the Enlisted Field Service Record (EFSR) and the events
that will trigger business processes, image submission and data
exchanges involving the Navy Standard Integrated Personnel System
(NSIPS), NSIPS Electronic Service Record (ESR), Electronic Military
Personnel Records System (EMPRS), Electronic Submission Application
(e-Sub) and the Navy Enlisted System (NES). The stages are as
follows: Enlisted Field Service Record (EFSR) Closeout Team
Preparations Personnel Office Training FSR Document Disposition
Scan EFSR Documents BOL Electronic Submission (e-Sub) of FSR
Documents EMPRS QA Document Processing Record Processing after EFSR
Closeouts The overall EFSR process involves additional workflows
that are associated with revised personnel maintenance policies,
the communications to the Fleet and the co-operative customer
commands and personnel office processes, but the seven stages
contained herein meet the primary mission and training objectives
as it applies to the Navys personnel offices. Supporting processes
for the close-out (e.g., Access to the e-Submission Application)
are also provided in this guide. The Navys Official Military
Personnel File (OMPF) is maintained in the Electronic Military
Personnel Records System (EMPRS) at Navy Personnel Command (NPC) in
Millington, TN. Prior to the closeout of the EFSR, paper records or
the Field Service Record (FSR) were maintained at the local level
and, at designated career points, documents were mailed to NPC for
imaging and ingestion into the Sailors OMPF. Today, military human
resource record data is entered into the Navy Standard Integrated
Personnel System (NSIPS) Electronic Service Record (ESR) and OMPF
documents are printed, signed, then scanned and uploaded by a
trusted agent into EMPRS using the Electronic Submission
Application (e-Submission) through BUPERS Online (BOL). Original
documents will be distributed as outlined in policy.
Navy-designated personnel offices with primary responsibility for
maintaining official record data for the officer and enlisted
Sailors in their area of responsibility will designate trusted
agents for appropriate access to the e-Submission application.
Trusted agents are reminded that all Military Human Resource Record
data is classified as For Official Use Only with Personally
Identifiable Information (PII) covered by the Privacy Act.
Individuals with authority to view Military Human Resource Record
data and/or documents will not permit unauthorized access to this
record information and must ensure adequate safeguards are enforced
to prevent disclosure. Trusted agents should be familiar with all
references listed in the Appendix. 1 of 43
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(EFSR) Closeout Guide 2 EFSR Closeouts 2.1 Enlisted Field Service
Record (EFSR) Closeout Team Preparations Figure 2-1: EFSR Close-out
Diagram EFSR Team Preparations Prior to the actual closing out of
the enlisted records, Navy personnel offices should prepare their
team members by ensuring all staff members have the appropriate
access to the supporting systems and applications as well as the
following tools: Navy Enlisted Field Service Record (EFSR) Closeout
Guide EFSR Disposition Plan EFSR Sailor Communication EFSR
Implementation Schedule These support tools are available on the
NPC website at www.npc.navy.mil. 1. The EFSR team members will be
designated by each personnel office. Team members who require
access to specific applications used for the record closeouts need
to be identified and requests initiated early. 2. Close-out record
documents that are to be forwarded to the Sailors Official Military
Personnel File (OMPF) will be processed electronically through
applications that require 2 of 43
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(EFSR) Closeout Guide DOD PKI certifications and pre-approved
access. Team members will require access to BUPERS Online (BOL) and
the Electronic Submission (e-Sub) application located on the main
menu in BOL. Specific guidelines on the electronic submission
process are provided separately in this guide. a. Do the electronic
submission (e-Sub) team members have valid CAC cards with current
DOD PKI certifications? If not, implement the local process for
requesting and obtaining. b. Do the electronic submission (e-Sub)
team members have current BUPERS Online (BOL) access? If not, team
members will need to request access using the guidelines provided
separately in this guide. c. Have the EFSR team members requested
and been granted access to the electronic submission (e-Sub)
application? If not, team members will need to request access using
the guidelines provided separately in this guide. 3. Personnel
offices will need to communicate their local execution plan to
their customers. Communication at a minimum should include: a.
Local close-out schedule b. Review of the EFSR Disposition Plan c.
Provide the Sailor Communication d. Interface responsibilities as
they pertain to the NSIPS Electronic Service Record (ESR) 4.
Personnel offices will need to ensure all FSRs are in their
possession when it is time to initiate the record closeout. The
NSIPS Alpha Locator will provide the most up-to-date listing of all
enlisted records under their area of responsibility. All enlisted
records will need to be accounted for and processed for closeout
and therefore the NSIPS Alpha Locator will be used to track
close-out completion. Specific guidelines on the NSIPS Alpha
Locator process are provided separately in this guide. 5. The EFSR
Disposition Plan was developed with the capability of merging the
data from the NSIPS Alpha Locater into the EFSR Disposition Plans
thus creating and labeling a disposition plan for each Sailor. The
steps for merging the NSIPS Alpha Locator into this document is
provided separately in this guide. 3 of 43
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(EFSR) Closeout Guide 2.2 Personnel Office Training Figure 2-2:
EFSR Close-out Diagram Personnel Office Training The Navy Personnel
Centers Personnel Information Management Department (PERS-3) will
provide training to the EFSR teams utilizing this training guide
prior to each activity initiating the scheduled record closeout.
There will be two phases of training and specific training dates
for each activity as well as the site close-out dates, which are
provided in the EFSR Closeout Schedule located on the NPC website.
1. First Phase - All designated personnel offices will receive
virtual training one to two weeks prior to the scheduled closeout.
The training mode is still being determined and once the method has
been finalized, specific instructions as to establishing connection
for the virtual training will be provided. a. Once the specific
connection instructions are received, personnel offices will need
to arrange connection to the training medium and site. b. For
activities co-located in a geographic area, it is recommended that
the training be coordinated at one site in order to maximize
resources. 2. Second Phase Personnel offices which were identified
as supporting 1,000 or more enlisted Sailors will have an on-site
trainer on the first day of their scheduled closeout. 3. EFSR teams
should review their local execution plan one more time to ensure
all preparation has been completed, all team members have been
trained and all resources are in place. 4 of 43
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(EFSR) Closeout Guide 2.3 FSR Document Disposition Figure 2-3: EFSR
Close-out Diagram FSR Document Disposition Use the NSIPS Alpha
Locator to check-off each record as the FSR is pulled in
preparation for closeout. The EFSR Disposition Plan will be used to
document the distribution of the FSR pages for each Sailor. The
Disposition Plan separates the FSR documents into four (4)
categories (not all records will contain all documents): - Section
1 Documents to be scanned and electronically submitted to the
Sailors Official Military Personnel File (OMPF) - Section 2
Documents to be shredded - Section 3 Documents to be forwarded to
Sailors command - All other documents to remain in FSR jacket to be
given to member 1. Section 1 Documents The documents listed in
Section 1 are from the current enlistment unless otherwise
specified. These will be scanned and electronically submitted for
inclusion into the Sailors Official Military Personnel File (OMPF).
Once scanned, the originals will be returned to the FSR jacket and
ultimately be given to the Sailor. a. Do the Section 1 documents
contain entries? - If no, leave in FSR - If yes, pull for scanning
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(EFSR) Closeout Guide b. Do the Section 1 documents pulled for
scanning contain Sailors full name, full social security number and
all required signatures? - If no, write in missing data, obtain
appropriate signatures and prepare for scanning - If yes, prepare
for scanning Specific guidelines on scanning and electronically
submitting Section 1 documents are provided in Sections 2.4 and 2.5
of this guide. 2. Section 2 Documents These documents must be
shredded since these forms contain third-party personal
information. The original forms would have been submitted to the
OMPF upon form execution. 3. Section 3 Documents These documents
will be forwarded to the Sailors command to be retained by the
appropriate program coordinator the particular forms support (e.g.,
personnel security documents by the Command Security Manager,
Emergency Data Form for Casualty Assistance purposes). 4. All other
documents These documents will be left in the FSR jacket. 5. After
scanning Section 1 documents, re-file the original documents in the
FSR jacket. 6. Depending on authorized access, use either e-Sub or
EMPRS/OMPF Locator (EOL) to verify all Section 1 documents were
accepted into the Sailors OMPF. 7. Forward the FSR jacket with all
appropriate documents and the EFSR Disposition Plan to the Sailor
for final disposition. 6 of 43
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(EFSR) Closeout Guide 2.4 Scan EFSR Documents Figure 2-4: EFSR
Close-out Diagram Scan EFSR Documents 1. Section 1 FSR documents
listed in the EFSR Disposition Plan must be scanned or saved as a
black and white, TIFF, 300 DPI, 1 bit, G4 image. Record documents
that are multi-page documents (e.g., NAVPERS 1070/604) must be
scanned into one multi-TIFF (MTIFF) image file for upload as a
single file. a. Any documents scanned to color and/or other than a
TIFF image format will not be accepted by the electronic submission
application. b. Do not scan FSR pages that do not contain entries.
c. Ensure both sides of two-sided documents are scanned if each
side contains data entries. 2. Individual document or batch scan?
Since not all personnel offices have the same type of digital
sender or scanner, it is important that each personnel office be
familiar with the steps necessary for setting the scanner to the
proper TIFF format. The individual scanners capabilities and the
number of records the personnel office supports should all be
considered when determining the benefits of scanning the FSR
documents in individual scan sessions or batch scan sessions. 7 of
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(EFSR) Closeout Guide a. Individual document scans Individual scans
referred to in this document are simply loading and scanning each
FSR document in separate scan sessions, which will result in
individual TIFF images (or multi-TIFF images for those multi- page
record documents). This scan process will not require any
additional image preparation prior to uploading via the e-Sub
application. b. Batch scans Batch scanning as referred to in this
document is simply loading and scanning multiple documents in one
scan session, which results in one large multi-TIFF (MTIFF) image
file. If batch scanning is used, the MTIFFs must later be separated
into individual TIFF files in support of uploading the FSR images
via the e-Sub application. Two considerations with batch scanning
(1) The larger the file, the longer it will take for the file to be
transmitted to the designated destination. (2) Separating a large
multi-page TIFF (MTIFF) file into separate TIFF files can be
accomplished using the Microsoft Office Document Imaging utility.
See Separating TIFF Images Using Microsoft Office Document Imaging
Utility process provided separately in this guide. The scanning
steps provided in this document are derived from the NMCI Homeport
website and are based on the Navy and Marine Corps Internet (NMCI)
supported scanners/digital senders. All personnel offices,
especially those not NMCI-supported, should verify the appropriate
steps with their Information Systems support and appropriate user
manual associated with the scanner/digital sender type and
settings. 3. Panasonic KV-S2026C. The Panasonic Reliable Throughput
Image View (RTIV) Capture Utility is used to set and change the
digital scanner settings. a. Double click on the RTIV icon located
on the desktop. b. Click on the Scan Settings button (yellow
wrench) located on the second line. c. On the far right, set the
Resolution setting to 300 DPI. d. Select image type to Black and
White. e. Click on Save Settings and then click on OK. f. Select
SCAN at top of screen. g. Place document to be scanned face up on
document feeder. h. Click the SCAN button. i. Select the folder
into which you will be saving the FSR files. j. In the Save As
dialog box, type the filename for the document using the following
naming convention: (1) Individual document scans Use first 4
letters of last name, last 4 digits of SSN and reference to record
page (e.g., JONE1111DD4). (2) Batch scans - If scanning FSR
documents for one Sailor use first 4 letters of last name and last
4 digits of SSN (e.g., JONE1111). k. Ensure the Save as type
specifies TIFF file (*.tif). l. Select Save. 8 of 43
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(EFSR) Closeout Guide (1) If the document is a two sided form,
reinsert document with second side face up and press CONTINUE. (2)
Select Save. m. Once all FSR documents have been scanned for this
session, click END. 4. HP 9250c/HP 9200 (non-CAC) -
https://www.homeport.navy.mil/support/articles/scan- hp-9250c/ a.
At the Control Panel of the device, verify the Scan button is
available. b. Load the document(s) into the Automatic Document
Feeder (ADF) (refer to individual document and batch scanning). c.
Press Scan on the device. d. Select TIFF as the file format for
your scanned file. Once you have chosen the file type, select
Settings and you will see the Scan Settings screen. e. Press
Optimize Text/Picture and select Text. f. Press Document File Type
and select MTIFF. g. Press Color/Black and select Black/White Scan.
h. Press Resolution and verify default is set to 300 dpi. i. Press
OK and again on the next screen. 9 of 43
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(EFSR) Closeout Guide j. Enter a filename for the document using
the on-screen or pullout keyboard. The filename: (1) Must be at
least eight (8) characters long; and (2) Must contain at least one
(1) number but DO NOT use special characters if configured to use
Autostore. If the digital sender is configured to use Autostore,
the number 1 is systematically added to the end of the filename as
the image is populated in the shared drive. (a) Individual document
scans Use first 4 letters of last name, last 4 digits of SSN and
reference to record page (e.g., JONE1111DD4). (b) Batch scans - If
scanning FSR documents for one Sailor use first 4 letters of last
name and last 4 digits of SSN (e.g., JONE1111). k. Press OK. l.
Select Scan. m. Repeat steps c, d, j, k and l for each document or
batch. The settings set by the user should remain as long as the
scanner does not time out. Periodically verify the scanner settings
to ensure they have not changed back to the default settings during
the scan session. n. Images that scanned to a shared drive and
folder will need to be moved to a designated workstation as the
image files populate in the shared drive. This will ensure the FSR
sensitive information remains protected. 5. HP 9250c (CAC) -
https://www.homeport.navy.mil/support/articles/scan-hp-9250c-cac/.
Use the same steps provided for the HP 9250c (non-CAC) except when
prompted, load your CAC into the Smart Card reader, enter your PIN
and press OK. The scanned images will be routed to the users home
directory (H drive) instead of the shared scan drive. 6. LEXMARK
X644e https://www.homeport.navy.mil/support/articles/scan-lexmark-
x644e/ The Lexmark supported by NMCI uses the scan to file solution
and sends the files directly to the users home directory or H drive
on their workstation. a. Insert your CAC into the USB CAC reader.
b. Enter your CAC PIN using the color touch screen keyboard. You
will have to reinsert your CAC and reenter your PIN after 10
minutes of inactivity. If you enter your PIN incorrectly three (3)
times, your account will lock you out. 10 of 43
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(EFSR) Closeout Guide c. Select Menus on the bottom right of the
touch screen. d. Select Settings. e. Press Format Type and select
TIFF. f. Press Default Content and select Text. g. Press Color and
select BW (Black and White). h. Press Resolution and select 300
dpi. i. Press Scan to Network. j. Place the document(s) in the
document feeder (refer to individual document and batch scanning).
k. The default filename begins with scanned-image_. To create your
own filename, press Clear, and then enter the filename using the
color touch screen keyboard as follows: (1) Individual document
scans Use first 4 letters of last name, last 4 digits of SSN and
reference to record page (e.g., JONE1111DD4). (2) Batch scans - If
scanning FSR documents for one Sailor use first 4 letters of last
name and last 4 digits of SSN (e.g., JONE1111). l. Press Scan It.
m. By leaving the CAC in the reader no additional login is required
to perform additional MFP functions. The settings set in the
beginning should remain as long as the scanner does not time out.
Periodically verify the scanner settings to ensure they have not
changed back to the default settings during the scan session. n.
Repeat steps j, k, and l for each document or batch. The user will
remain logged in as long as their CAC stays in the reader. Removing
the CAC will return the MFP to its locked, secure state. o. Images
that were scanned to a shared drive and folder will need to be
moved to a designated workstation as the image files populate in
the shared drive. This will ensure the FSR sensitive information
remains protected. 7. PDF scanners - Some scanners have only the
capability to save the document to a PDF image format. The
following steps can be used to strip the PDF encasing and save the
TIFF images after the scanned image files are moved to a desktop
folder: a. Scan single files using the naming convention provided.
b. Open up the PDF file in Adobe Reader. c. Select File from the
top menu and then select Print. d. In the "Name" list for your
printers, select Microsoft Office Document Image Writer, and then
click on Properties located on the right. e. Click the Advanced tab
and under "Output Format", the radio button should be selected to
TIFF-Monochrome Fax. 11 of 43
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(EFSR) Closeout Guide f. In the drop-down box right below the
Output Format, select Super Fine (300 DPI) and then select OK. g.
You will be back at the "Print" dialog box. (1) Individual document
scans. (a) Select OK. (b) In the Save As dialog box enter the
filename with the first 4 letters of last name, last 4 digits of
SSN and reference to record page (e.g., JONE1111DD4). (c) The "Save
as" selection should already display "Tagged Image File Format"
(*.tif; *.tiff). Select OK. (2) Batch scans (a) Use the Print Range
section to separate the individual file documents into single page
TIFF files, or the multi-page FSR documents into multi-page TIFF
files. (b) Select the Pages from radio button and enter the page
range for the first FSR document. (c) Select OK. (d) In the Save As
dialog box enter the filename with the first 4 letters of last
name, last 4 digits of SSN and reference to record page (e.g.,
JONE1111DD4). (e) The "Save as" selection should already display
"Tagged Image File Format" (*.tif; *.tiff). Select OK. h. Once all
of the images contained in the PDF file have been converted to the
appropriate TIFF files, delete the PDF file. 8. Images that were
scanned to a shared drive and folder will need to be moved to a
designated workstation as the image files populate in the shared
drive. This will ensure the FSR sensitive information remains
protected. 9. After scanning, the original Section 1 FSR documents
are returned to the FSR jacket. 12 of 43
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(EFSR) Closeout Guide 2.5 BOL e-Sub of FSR Documents Figure 2-5:
EFSR Close-out Diagram BOL e-Sub of FSR Documents Once a Sailors
FSR Section 1 documents have been scanned and separated into
individual document image files, the personnel office is now ready
to upload the image files via the Navys e-Sub application through
BOL. All personnel offices are responsible to track and report
successful closeout of all enlisted FSRs in their area of
responsibility and will use the NSIPS Alpha Locator to note
completion. 1. Select a Sailor from the NSIPS Alpha Locator and
locate their FSR Section 1 image files on the desktop. a. Verify
all Section 1 FSR documents were scanned and are ready for upload.
b. Verify all images are readable. c. Verify all pages for a
multi-page document were scanned into one image file (only those
pages with entries). d. Since pages can become stuck together
during the scanning process, verify no pages are missing in the
scanned images. 2. Sign on to BOL on the NPC website.
https://www.bol.navy.mil/. 13 of 43
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(EFSR) Closeout Guide 3. On the BOL main menu, select the link for
the E-Submission application. If the e-Sub link is not visible in
BOL, your access has not been granted. See Requesting BOL e-
Submission Access provided separately in this guide. 4. The
e-Submission welcome screen displays the Unit Identification Code
(UIC) the files will be submitted against. Select OK. Enter the SSN
to get started 5. Type the Sailors 9 digit SSN. a. If the SSN is
not recognized, you will receive an error message. (1) Verify the
SSN against the NSIPS Locator and record documents. (2) Enter the
correct SSN. (3) If SSN is still not recognized, identify record
for research. 14 of 43
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(EFSR) Closeout Guide b. If the SSN is recognized, the Sailors name
will auto populate and the Add Files button will appear. 6. Select
Add Files. 7. Locate and select all scanned image files for this
Sailor by navigating to the designated desktop folder. Currently
there are only 46 files that can be electronically submitted for
inclusion into an OMPF. See e-Submission Document List. 8. Select
Open to upload the selected documents. a. Refer to the Upload
Progress pane to confirm the documents are uploaded successfully.
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(EFSR) Closeout Guide b. If any of the files do not upload, the
image is not in the proper image format and must be rescanned.
Enter part of the name to quickly locate the specific form 9.
Select the first file (the image will be visible in the Document
Viewer window). a. Verify the SSN and name on the image against the
e-Sub application. b. Select the Form Type (Form Number and Form
Title) by typing in the field or using the drop down menu. c. To
mark a file for removal from the document submission list, select
the Trashcan icon located next to the Filename. 10. Add the Doc
Date (document date) by entering either the... a. date signed if it
records a single event, or b. last date on the form for multi-event
forms c. The date must be in the following format: YYYYMMDD. d. The
date cannot be a future date. e. If any of the file data is in red
font as well as bolded and underlined, the date entered was either
a future date or was in the wrong format. Research and correct. 11.
Repeat steps 9 and 10 to add indexing data for all FSR Section 1
documents for this Sailor. 12. Select Submit located at the top of
the screen. 16 of 43
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(EFSR) Closeout Guide 13. Select OK to confirm the submission of
uploaded documents. a. Any documents selected for removal in Step
9.c. will be removed at this point. b. Any documents with missing
indexing data will not be submitted and will remain in the document
pane until removed, or indexed and submitted. 14. Select OK after
reviewing the Submission Results. 15. Repeat steps 5 through 14 for
each Sailor while logged into the e-Sub application. 16. The e-Sub
application provides a Status window for tracking the status for
electronically submitted record documents. Select Status in the
upper right of the e-Sub main screen. 17. Use the bottom scroll bar
to navigate through all of the fields. FSR documents electronically
submitted for your activity will be listed with one of four
statuses: 17 of 43
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(EFSR) Closeout Guide Pending: The indexed files were successfully
submitted to CNPC and are pending validation and OMPF submission
Rejected: File was rejected. See Reject Reason and/or Comment
field(s) in the e-Sub status window Research: File was sent to
Research for further review. Status will be updated once record
file is either Rejected or Accepted Accepted: File passed
validation and was accepted into the Sailors OMPF a. Note that the
status of recently submitted documents may not be available
immediately. b. Results can be refined by using the available
filter options. c. The record document status is also indicated in
WERR and EOL. 18. Select Submissions to return to the e-Sub main
screen. 19. To end the submission session, select Return to BOL and
log out of BOL. 20. It is important to move the FSR image files
that were submitted in this session out of the desktop folder in
order to prevent duplicate submissions. 18 of 43
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(EFSR) Closeout Guide 2.6 EMPRS QA Document Processing Figure 2-6:
EFSR Close-out Diagram EMPRS QA Document Processing The FSR image
files are sent from the BOL e-Sub application to the EMPRS e-Sub
Quality Assurance (validation) module. This section provides a
basic overview of the validation process prior to a record document
being submitted for inclusion into a Sailors OMPF. 1. The
application will search for an OMPF associated with the SSN
indexing on each record document. a. If an OMPF does not exist, the
file status will change to Research. (1) If an OMPF exists but the
SSN is different on the OMPF, Research will make necessary
corrections and submit the file for OMPF ingestion. (2) If an OMPF
does not exist, Research may create the OMPF and then submit the
file for OMPF ingestion. (3) If there is an issue with the
document, Research will reject and annotate a rejection reason. The
document status will change to Rejected. (4) File status will
update in BOL e-Sub, WERR and EOL after the nightly process. b. If
an OMPF exists, the file status will reflect as Pending. 2. The
Quality Assurance (QA) production staff will access the first
Pending document in their queue. 19 of 43
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(EFSR) Closeout Guide 3. The file image will be compared to the
indexing data as well as reviewed for image quality. a. If the
document does not meet the validation business rules and cannot be
corrected locally, the status will be changed to Reject and a
rejection reason will be provided. (1) File status will update in
BOL e-Sub, WERR and EOL. (2) The personnel office will need to take
corrective action and resubmit the record document through the BOL
e-Sub process. (3) Common reject reasons are listed in Appendix 4.2
of this guide. b. If the document meets the validation business
rules, the QA reviewer will Accept the document. (1) The record
document is submitted to the Sailors OMPF. (2) File status will
update in BOL e-Sub, WERR and EOL after the nightly process. 20 of
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(EFSR) Closeout Guide 2.7 Record Document Processing after
Closeouts Figure 2-7: EFSR Close-out Diagram Record Document
Processing after Closeouts After the EFSRs are closed out by a
personnel office, record documents will be immediately forwarded
for inclusion into the Sailors OMPF upon execution with a few
exceptions as noted herein. Documents listed in Tables 1 and 2 of
Appendix 4.1 will be submitted using the e-Sub application. All
other documents will be mailed to PERS-311 until those can be added
in future phases of the e-Sub application. Documents not specified
here will follow the distribution outlined in separate policy. 1.
Initial Accession. Recruiting Training Command (RTC) Great Lakes
will continue to use the documents received from United States
Military Entrance Processing Command (USMEPCOM) to create the NSIPS
and ESR records. a. Use EMPRS/OMPF Locator (EOL) to verify CNPC has
received the USMEPCOM accession package and created the Sailors
OMPF. b. If the OMPF is not created in 45 days, e-Sub the accession
documents listed in Appendix A to CNPC. c. After the OMPF is
created, e-Sub any new record documents created at RTC (e.g.,
NAVPERS 1070/602, NAVPERS 1070/613s) that are listed in the
Appendix. 21 of 43
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(EFSR) Closeout Guide 2. To be submitted to the OMPF upon
execution. These original record documents will be scanned and
electronically submitted upon execution. The originals will be
given to the Sailor and copies distributed per policy except where
noted. a. NAVPERS 1070/601, Immediate Reenlistment Contract b.
NAVPERS 1070/621, Agreement to Extend Enlistment c. NAVPERS
1070/622, Agreement to Recall or Extend Active Duty d. NAVPERS
1070/602, Dependency Application/Record of Emergency Data (1) Copy
for command retention to support Casualty Assistance if necessary
(2) Command will retain most recent copy for duration of tour plus
90 days (3) Destroy after 90 days of PCS transfer or 180 days after
separation/death if applicable e. SGLV forms
(8286/8285/8286A/8285A), Servicemans Group Life Insurance
Election/Designation forms (1) Copy for command retention to
support Casualty Assistance if necessary (2) Command will retain
most recent copy for duration of tour plus 90 days (3) Destroy
after 90 days of PCS transfer or 180 days after separation/death if
applicable f. NAVPERS 1070/606, Record of Unauthorized Absence g.
NAVPERS 1070/607, Court Memorandum h. NAVPERS 1070/613,
Administrative Remarks (Permanent only) (1) Refer to MILPERSMAN
1070-320 (2) Temporary Pg. 13s are retained at the command level
and will be given to Sailor upon transfer or separation i. NAVPERS
1070/615, Record of Discharge from the U.S. Naval Reserve
(Inactive) j. DD 214, Certificate of Release or Discharge from
Active Duty k. DD 215, Correction to DD 214 3. Reenlistment
Closeout. Two enlisted record documents will be submitted for OMPF
inclusion upon a Sailors reenlistment. These two ESR record
documents are to be generated through the ESR Reenlistment Closeout
process. Refer to the ESR Guide for Personnel Specialists and
associated policy. a. NAVPERS 1070/880, ESR Awards Record Honors
and Awards b. NAVPERS 1070/881, ESR Training, Education and
Qualification 22 of 43
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(EFSR) Closeout Guide 4. ESR End of Service Closeout. These record
documents will be submitted for OMPF inclusion upon a Sailors
separation and are generated through the ESR End of Service
Closeout process. Refer to the ESR Guide for Personnel Specialists
and associated policy. a. NAVPERS 1070/605, History of Assignments
b. NAVPERS 1070/880, ESR Awards Record Honors and Awards c. NAVPERS
1070/881, ESR Training, Education and Qualification d. ESR Member
Data Summary (no form number) e. ESR Contract Detail Summary (no
form number) 23 of 43
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(EFSR) Closeout Guide 3 Supporting Processes 3.1 Access to BUPERS
Online and e-Submission Trusted agents will be responsible for
scanning OMPF documents, uploading, indexing and submitting
document images into EMPRS using the e-Submission application,
verifying the images have been accepted in the OMPF, and
distributing original documents as required by the EFSR Disposition
Plan and the specific document regulatory guidance. Access to the
e-Submission application will allow for the submission of updates
to the service members OMPF by trusted agents. The processing of
the request for access to the e- Submission application will allow
authorized users to be identified. The e-Sub application is
accessed via the BUPERS Online (BOL) portal and therefore e-Sub
authorized users must have a current BOL account. If necessary, a
trusted agent can request both BOL and e-Sub access on the same
request SAAR-N form (OPNAV 5239/14 July 2008). The form is provided
at the end of this guide and is also available at the NPC e-Sub
website at
http://www.npc.navy.mil/CareerInfo/RecordsManagement/eSubmiss.htm.
All blocks must be completed as outlined on page 4 of the SAAR-N
form. The additional instructions provided in this guide are
specific for BOL and/or e-Sub access. 1. Additional requirements
for the SAAR-N form a. Top Section: (1) TYPE OF REQUEST. Check
Initial. (2) SYSTEM NAME. (3) Type BOL e-Submission (if user
already has BOL access), or (4) Type BUPERS Online, BOL
e-Submission to request access to both. (5) LOCATION. Type
Millington, TN for physical location of system. b. PART I (1)
SOCIAL SECURITY NUMBER. All nine (9) digits of the SSN must be
provided. The request cannot be processed with a truncated SSN. (2)
ORGANIZATION. Fill in the assigned Unit Identification Code (UIC)
(3) OFFICE SYMBOL/DEPARTMENT. Type the activity name. (4) USER
SIGNATURE. Date of birth should be included in block 12 along with
the user signature. c. PART II (1) JUSTIFICATION ACCESS. Type To
submit updates to OMPF as a trusted agent. (2) TYPE OF ACCESS
REQUIRED. Check Authorized. (3) USER REQUIRES ACCESS TO. Check
Unclassified. (4) SIGNATURE OF INFORMATION OWNER/OPR. Blocks 20,
20a and 20b should remain blank or marked N/A unless member is
assigned to NPC. If member is assigned to NPC, members IAM will
complete this block. 24 of 43
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(EFSR) Closeout Guide d. PART III. This part must be completed by
the commands security manager. (1) IT LEVEL DESIGNATION. Check one
of the Investigation Type (IT) Levels in block 33c. Although a
security clearance is not required for access to BOL, an active
background investigation is. e. PART IV. Leave blank. This will be
completed by CNPC staff. 2. Submitting the completed SAAR-N a.
Verify Parts I, II and III are completely filled in and contain all
appropriate signatures. Incomplete requests will be denied. b. Fax
- the completed and signed form can be faxed to 901-874-2722, or c.
Email - the completed and signed form can be emailed to
diane.mcdaniel@navy.mil. (1) If sent via email, the email must be
encrypted and signed with a digital signature in order to protect
the personal information contained in the form. 3. BOL/e-Sub access
a. Requests should be submitted one week prior to the scheduled
virtual training. b. Requests should be processed at CNPC within
72-96 hours from receipt. c. If access is granted, the e-Submission
link will be listed in the BOL Application Menu upon next login.
All civilian, contractor and other non-Navy employee accounts are
set to expire in a 90-day cycle. If there is no activity during
that 90-day period, the account will expire. If your account does
expire, updated paperwork will have to be submitted. 25 of 43
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(EFSR) Closeout Guide 3.2 The NSIPS Alpha Locator and Merging the
Data with the EFSR Disposition Plan The NSIPS Alpha Locator will be
used to account for all enlisted FSRs and track completion of
closeouts. The member-specific data in the NSIPS Alpha Locator can
also be used to merge with the EFSR Disposition Plan for
personalization of the Disposition Plans. This document provides
you the steps for performing each process. Exporting the NSIPS
Alpha Locator into MS Excel format The process for exporting the
NSIPS Alpha Locator into MS Excel format is as follows: 1. After
logging into NSIPS, select Standard Reports from the main menu. 5 1
6 2 3 4 2. Select Personnel Reports. 3. Select Use. 4. Select Alpha
Locator. 5. Select the Add a New Value tab. 26 of 43
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(EFSR) Closeout Guide 6 AlphaListing 7 6. You will see the same Run
Control ID block as shown in the above view. Type in AlphaListing
(no spaces). 7. Select the Add button. 8. Select the radio button
for Sort By Support UIC. 9. Enter the service record holder or
support UIC. When the support UIC is entered, this will bring up
all UICs that the support UIC is responsible for as illustrated in
the following example. 11 10 10. Check the Select box for each
individual unit that is required, or use the Select All button. 11.
Select Run in the right hand corner. 12. This will take you to the
Process Scheduler Request screen. 27 of 43
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(EFSR) Closeout Guide NSipSUPV1234 13 14 15 16 13. Ensure that the
check box is selected for the correct report (e.g., Alpha Locator).
14. Use the drop down menu to change the Format from PDF to CSV.
Otherwise you will not be able to manipulate the data fields
required. 15. Click the OK button on the left side. 16. When you
come back to the Alpha Locator screen, click on NSIPS Report
Manager. NSipsSUPV1234 17 18 19 17. In the Report List screen you
will see a Report List of all reports you have generated in the
last 24 hours. Check the Select block for the Alpha Locator. 18.
Keep refreshing the screen until the View Report button appears.
19. Select the View Report button on the right of the screen (not
shown here). 28 of 43
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(EFSR) Closeout Guide NSipSUPV1234 20 20. Select the second blue
highlighted field (should be a .CSV format). 21. When this view
opens, save the MS Excel document to your desktop or into a new
folder so that you may further manipulate the required information.
29 of 43
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(EFSR) Closeout Guide 22. The MS Excel Alpha Roster will look like
this: Delete highlighted rows Delete highlighted rows Delete all
rows that contain officers. 23. You will need to clean out excess
fields and rows by deleting the report identification rows, summary
rows and all officer data as indicated in the example above. Once
you have deleted this information, save the report. Merging data
from the NSIPS Alpha Locator into the EFSR Disposition Plan
Template The EFSR Disposition Plan can be populated with each
enlisted Sailors Name, Rate and UIC. The steps contained here will
assist you in using the data in your MS Excel NSIPS Alpha Locator
to populate the Disposition Plan using MS Word mail merge. 1. Copy
the EFSR Disposition Plan Template into the same folder you saved
your MS Excel Alpha Locator for easy identification. 2. Open the
EFSR Disposition Plan Template. You will see a SQL Prompt box.
Click Yes to run the SQL command. 2 30 of 43
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(EFSR) Closeout Guide 3. The data fields that you will populate in
the Disposition Plan are already created in the document footer.
The table data fields are annotated with >. Document footer
contains a table with mail merge data fields. 4. You will need to
link or add the data fields from your Alpha Roster into these
cells. a. Open the document footer by double-clicking on the
footer. b. Delete the data currently in the Name, Rate and UIC data
fields. c. Place your cursor in the blank Name cell. d. Select the
Open Data Source icon in the Mail Merge toolbar as indicated below.
4.d. 4.b. 4.a. 4.c. e. Select your MS Excel Alpha Locator as the
Data Source and click on Open. f. Select the worksheet that
contains your Alpha Roster and select OK. 4.e. 4.f. 31 of 43
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(EFSR) Closeout Guide g. Click on the Insert Merge Fields icon in
the Mail Merge toolbar. 4.g. h. In the prompt box, highlight the
Name data field, select Insert and then Close. i. Move your curser
to the Rate field in the Disposition Plan footer. Repeat steps 4.g.
and 4.h. j. Move your curser to the UIC field and repeat steps 4.g.
and 4.h. k. Close the footer view by selecting Close on the Header
and Footer toolbar. 4.j. 4.k. You are now ready to merge your Alpha
Roster data and create an EFSR Disposition Plan for each of your
Sailors. 32 of 43
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(EFSR) Closeout Guide Select the Merge to New Document icon on the
Mail Merge toolbar. 5. Select the Merge to New Document icon on the
Mail Merge toolbar. 6. In the Merge to New Document box select the
All radio button and select Okay (not shown). You have now created
a new MS Word document which contains an EFSR Disposition Plan for
each of the Sailors listed in your Alpha Locator. See the example
below. 7. Save this new file under a different name. You are now
ready to print and begin the review of each record against the
Disposition Plan. The Disposition Plan will be given to each Sailor
in their Field Service Record (FSR) jacket. 33 of 43
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(EFSR) Closeout Guide 3.3 Separating TIFF Images using Microsoft
Office Document Imaging Utility This section provides instructions
for separating multi-page TIFF images. After the Section 1
documents have been scanned and the images moved to a designated
desktop, open up the folder where the TIFF images are stored. a b c
a. Right click on the first scanned file. b. Highlight Open with on
the selection box. c. Left click on Microsoft Office Document
Imaging. d. In the left pane, select the image associated with the
FSR document. If the FSR document is multi-page, use CTRL+SELECT to
select all of the associated images for the one document. e. Right
click on any of the selected images in the left panel and an option
box will appear. f. Left click on Cut Page. g. In the prompt box,
select Yes. The image(s) selected will be removed from the open
file and placed in the Microsoft clipboard. 34 of 43
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(EFSR) Closeout Guide h. In the File menu, next select New to open
up a second session. i. Place cursor in the left pane and right
click. j. In the prompt box, select Paste Page. k. In the File
menu, select Save As. l. Save the new image file using the first 4
letters of last name, last 4 digits of SSN and reference to record
page (e.g., JONE1111DD4). a. If there are multiple FSR forms of the
same type for the Sailor, you will need to add another character to
distinguish each document (e.g., JONE1111PG13-1). m. Repeat steps d
through g for the next image(s). n. Repeat steps i through k using
the second session window to save the separated image file. 35 of
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(EFSR) Closeout Guide 4 Appendix 4.1 e-Submission Document Tables
Table 1: EFSR Closeout Documents. Form Form Name Form Title
Officer, Enlisted, Number or Both 4 DD ENL REENL DOC B 214 DD REL
DISCH ACDU CERT B 215 DD CORR DD 214 B 1133/10 NAVCRUIT DD4 6 YR
OBL E 1133/11 NAVCRUIT DD4 5 YR OBL SCH GUAR E 1133/12 NAVCRUIT DD4
4 YR OBL SCH GUAR E 1133/13 NAVCRUIT DD4 4 YR OBL SN AN FN E
1133/14 NAVCRUIT DD4 ACT MAR TAR ENL E 1133/15 NAVCRUIT DD4 BUDDY
ENL E 1133/15A NAVCRUIT DD4 CONTING ENL APPT E 1133/16 NAVCRUIT DD4
SUBFARER E 1133/17 NAVCRUIT DD4 NAV SEA COLL E 1133/18 NAVCRUIT DD4
NAV MUSIC E 1133/19 NAVCRUIT DD4 DPEP OSVET E 1133/52 NAVCRUIT
ENLISTED GUARANTEES ANNEX E 1070/601 NAVPERS IMMED REENL CONTR E
1070/604 NAVPERS ENLISTED QUAL HIST E 1070/605 NAVPERS HIST OF
ASGNMTS B 1070/606 NAVPERS RCD OF UNAUTH ABSENCE E 1070/607 NAVPERS
COURT MEMO E 1070/613 NAVPERS ADMIN REMARKS B 1070/615 NAVPERS
NAVRES DISCH RCD B 1070/621 NAVPERS AGREE EXT ENL E 1070/622
NAVPERS ASGNMT RECALL EXT ACDU E * 792 NAVPERS REPORT OF ENL
PERFORMANCE E * 1339 NAVPERS ENLISTED EVALUATION REPRT E * 1616/5
NAVPERS REPRT ENLISTED PERFORMANCE E * 1616/24 NAVPERS ENL PERF
EVAL E * 1616/26 NAVPERS EVAL REP AND COUNSELING RECORD (E1-E6) E *
18658 NAVPERS EVALUATION REPORT E * For EFSR closeout only; E4
& below only with evaluation ending dates prior to 16 Jun 2006.
36 of 43
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Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide Table 2: Other e-Submission Documents. Form
Form Name Form Title Officer, Enlisted, or Number Both 1966 DD MIL
PROC RCD B 2366 DD MGIB ACT 1984 B 2807-1 DD REPORT OF MEDICAL
HISTORY B 2808 DD REPORT OF MEDICAL EXAMINATION B 1070/880 NAVPERS
AWARD RECORD B 1070/881 NAVPERS TRAINING EDUC AND QUAL HISTORY B
1421/7 NAVPERS TEMP PERM APPT DLVRY O 32-429 OPNAV CERT CLEARA
HNDLE CLASSI MATERIAL O 312 SF CLASS INFO NDA B 8286 SGLV SGLI
ELECT CERT B 8286A SGLV FAMILY COVERAGE ELECTION B 09DSO SUBJ
SEPARATION/RETIREMENT CORRESP O 1 TSP-U THRIFT SAVINGS PLAN
ELECTION FORM B 40-8-1-RE USMEPCOM HIV ANTIBODY TEST ACKNOWLEDGE B
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(EFSR) Closeout Guide 4.2 e-Submission Reject Error Messages The
below list are reasons why a document could be rejected when it is
being processed for OMPF ingestion. Error Type Explanation E4 &
below EVAL ending date after 15 Jun 06 If an E4 & below
Evaluation end date is after 15 Jun 06, the evaluation must be
submitted to PERS-32. E5 & above EVAL submitted If it is an E5
& above evaluation, the evaluation must be submitted to
PERS-32. Document/form indexing mismatch If the document is tagged
incorrectly at the fleet level Example: The indexing data indicates
its a NAVPERS 1070/613 Administrative Remarks when its actually a
NAVPERS 1070/605 History of Assignments. Document/member mismatch
If the document submitted belongs to a different service member.
Example: Nine documents in a submitted batch belong to the same
member, but the 10th document is for a different person. L/D
(light/dark) Image If the submitted scanned image is too light or
too dark. Not an enlisted document For any document that does not
belong to an enlisted record. Not an officer document For any
document that does not belong to an officer record. Image not
readable If the submitted scanned image is not readable. Skewed
image If the submitted scanned image is misaligned and doesnt show
it in its entirety. Signature missing If any required signatures
for the form are missing. Unpopulated (blank) document If the
submitted document contains no entries. Example: An unpopulated
NAVPERS 1070/605 History of Assignments Misc If selected, a free
text input field will be displayed and comments can be entered
manually. 38 of 43
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(EFSR) Closeout Guide 4.3 Electronic Submission (e-Sub) Frequently
Asked Questions (FAQs) 1. Who needs access to the e-Submission
(e-Sub) application? All personnel, at record holder activities,
who the CO or OIC deem necessary for the completion of their
portion of the EFSR Closeout Project and for future e-Submission of
documents maintained with the Electronic Service Record (ESR). 2.
What are the scan requirements for e-Sub? The record documents must
be scanned into an image file format of: File Format: TIFF (Tagged
Image File Format) Color: Black and White Resolution: 300 DPI
(dots-per-inch) Compression: G4 Dimensions: 8.5" x 11" (2,550 x
3,300 pixels) Bit Depth: 1 Bit File Size: < 1MB If your scanner
does not indicate these individual settings, you should verify with
your Information Systems support team or scanner user guide to
ensure the scanned images meet the required format. See the Scan
EFSR Documents chapter in the EFSR Closeout Guide for further
guidance. 3. If I have a three page record document, do I submit
these images individually or as one file? Multi-page record
documents, such as a DD Form 4, will need to be submitted as one
multi- image file. If the scanned document was separated into
separate image files, you can either re-scan as a multi-page TIFF
(MTIFF), or group the separate scanned images into one file using
the Microsoft Image Document Image utility. 4. I am attempting to
upload a document from my desktop and the application will not
allow me to select this document. The application will prevent the
uploading of documents that are larger than 1 MB, does not have the
resolution of 300 DPI, and/or is not black and white. If a file
document is larger than 1 MB, it normally indicates the document
was scanned as a color and/or picture image file. The record
document must be rescanned as a text file in black/white following
the scanning requirements listed previously in FAQ # 2, and the
Scan EFSR Documents chapter in the EFSR Closeout Guide. 5. After
uploading a document, I used the rotation tool to correct an
upside-down image. Will the document be submitted with this
correction? 39 of 43
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(EFSR) Closeout Guide No, the navigational tools are a view-only
feature to assist you when indexing documents. Corrections cannot
be made using this feature, so check scanned documents for
orientation problems before uploading. 6. What is the difference
between Upload and Submit? You should be familiar with the
following terms when using the e-Sub application. Upload: To select
the scanned file(s) from your desktop while in the e-Sub
application Index: To add the associated metadata (file title, file
number and document date) to the uploaded file image prior to
submission Submit: After upload and index, to send the indexed
image files to CNPC for validation and OMPF ingestion Pending: The
indexed files were successfully submitted to CNPC and are pending
validation and OMPF submission Rejected: File was rejected. See
Reject Reason and/or Comment field(s) in the e-Sub status window
Research: File was sent to Research for further review. Status will
be updated once record file is Rejected or Accepted Accepted: File
passed validation and was accepted into the Sailors OMPF 7. When
using the e-Submission application, what do I do when I receive a
rejected notification for documents I submitted? Review the
rejected reason and any comments provided with the rejected notice.
Make the necessary changes and remit. If changes can not be made at
the submitters end contact PERS-313 via email at
richard.m.hill@navy.mil or by phone at (901) 874-3420 (DSN:882) for
further guidance. Common rejection errors are provided in the
Enlisted Field Service Record (EFSR) Closeout Guide Appendix. 8. A
document was rejected but the Reject Reason field in the e-Sub
Document Status window is blank. How do I find out why the document
was rejected? If the document was rejected and the reason was not
available in the application, the Comments block should provide you
feedback. Ensure your window is maximized and move your bottom
scroll bar to the right to see all fields in the e-Sub Document
Status window. 9. When using the e-Submission application, what do
I do if the form number and/or form title is not listed in the drop
down boxes? Chances are the form is currently NOT an allowed
document for e-Submission. The documents that can be electronically
submitted through this application are listed in the 40 of 43
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(EFSR) Closeout Guide EFSR Closeout Guide Appendix. If document is
currently not allowed, please mail the original to PERS-311 at:
Department of the Navy Navy Personnel Command PERS 311 5720
Integrity Drive Millington, TN 38055-3110 10. When using the
e-Submission application, what if the name that populates the
screen does not match the name on the document I am scanning? If
there is name/SSN mis-match at time of submission, the system
should recognize current and last previous name on file. If there
appears to be another name, please contact PERS- 313 at
richard.m.hill@navy.mil via encrypted email and attach a copy of
the document in question. Please ensure the email is encrypted due
to the personal information contained in the attached record
document. 11. What record documents can be submitted through the
e-Submission application? The EFSR Closeout Guide Appendix A
provides a list of record documents that can be electronically
submitted. 12. Is the e-Submission application only to be used for
the EFSR closeout? The e-Submission (e-Sub) application will
initially be used to support the EFSR closeout; however, e-Sub will
continue to be used to submit all future record documents that are
listed in the EFSR Closeout Guide upon execution of the form. 13.
What are the scanning procedures for the EFSR closeout? Please
refer to the Scan EFSR Documents chapter in the EFSR Closeout
Guide. 14. Once I have the documents scanned into a file, where do
I send the EFSR closeout documents? The original record document
will be maintained until you can validate that those images were
uploaded into members OMPF through EOL or the status screen in the
e-Submission application. Once this has been accomplished follow
the EFSR Disposition Plan for the EFSR Closeout. Policy will be
updated to show the future distribution of the record documents. 41
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(EFSR) Closeout Guide 4.4 References 1. Federal Records Act of 1950
(June 30, 1949, ch. 288, title V, as added Sept. 5, 1950, ch. 849,
6(d), 64 Stat. 583) The Federal Records act of 1950 as amended and
codified in Title 44 of the United States Code (USC) defined the
term Records Management for the first time in any federal statute
and required all agencies of the federal government to establish a
records management program under the oversight of the National
Archives and Records Administration (NARA). 2. Chapters 29, 31, and
33 of Title 44, United States Code (USC) Implements the Federal
Records Act of 1950 and outlines federal record retention
responsibilities. Statutes specify federal records may only be
destroyed under the authority of a records disposition schedule
issued by each agency to agency-specific records and approved by
the Archivist of the United States (NARA). 3. Titles 41 and 36 of
Code of Federal Regulations These federal regulations outline
policy and responsibilities of the National Archivist, General
Services Administration (GSA), and heads of federal agencies for
records management. 4. Federal Management Regulations, Part 41,
Chapter 102, Subchapter G The Federal Management Regulations (FMR)
prescribes federal policies promulgated by General Services
Administration (GSA) concerning property management and related
administrative activities, as established by statutes, Executive
orders, Presidential memoranda, Circulars and bulletins issued by
the Office of Management and Budget (OMB), and other policy
directives. GSA administers the records disposition schedule for
NARA. 5. Department of Defense Directive (DODD) 5015.2, DOD Records
Management Program The directive provides the appropriate framework
for each service to promulgate the appropriate records schedule for
retention and disposal. It further directs the head of each DOD
component to establish and maintain a records management program to
ensure the policies and objectives of the statutory authorities as
well as DOD guidance are implemented and maintained under
authorized schedules. 6. Washington Headquarters Services (WHS)
Administrative Instruction Number 15, Office of the Secretary of
Defense (OSD) Records Management Program Records Disposition
Schedules The administrative instruction designates Official
Personnel Folders (OPF) as permanent records and folders and the
destruction schedule set for these records will be at 65 years
after separation from Federal Service. 7. Secretary of the Navy
(SECNAV) Manual 5210.1 Department of the Navy Records Management
Program Records Management Manual The SECNAV manual outlines the
specific retention and destruction schedules for Navy records. It
further states the purpose of the Official Military Personnel File
(OMPF) under SSCI 1070 and the importance of the documents to be
used by the military service but especially to protect legal and
financial rights of veterans, their families and survivors and the
U. S. Government. The manual further states these permanent records
will be retained and transferred to the National Archives 62 years
after the date of record retirement. 42 of 43
- 47. 25 January 2010 CNPC Personnel Information Management
Department Revision Number: 1 Navy Enlisted Field Service Record
(EFSR) Closeout Guide 8. Secretary of the Navy (SECNAV) Instruction
5211.5E Department of the Navy (DON) Privacy Program The SECNAV
instruction governs the collection, safeguarding, maintenance, use,
access, amendment, and dissemination of Protected Personal
Information (PPI) kept by the Department of the Navy (DON) in
Privacy Act (PA ) systems of records. 9. Bureau of Navy Personnel
Instruction 1070.27B Document Submission Guidelines for the
Electronic Military Personnel Records System (EMPRS) The BUPERS
instruction provides guidance for determining which documents
should be submitted to Navy Personnel Command (NAVPERSCOM) for
filing in officer and enlisted Official Military Personnel Files
(OMPFs). 10. Military Personnel Manual 1070 Personnel Records
Section The MILPERSMAN section provides procedural guidance for
officer and enlisted personnel record maintenance. 11. Navy
Standard Integrated Personnel System (NSIPS) Electronic Service
Record (ESR) Desk Guide A reference guide aimed at the Human
Resources Specialist working in the personnel office and designated
individuals within customer commands that have been granted
authority to enter, verify, or approve service record entries and
to be used in conjunction with policy provided elsewhere. 12. Navy
Standard Integrated Personnel System (NSIPS) Electronic Service
Record (ESR) Quick Reference Guide for the Personnel Specialist
(PS) A procedures guide designed to assist the Personnel Specialist
(PS) or Human Resources Specialist clerk and supervisor in
navigating to various sections and screens of the Electronic
Service Record (ESR) and in using functions contained within the
ESR. 13. Navy Defense Joint Military Pay System (DJMS) Procedures
Training Guide (PTG) The Navy DJMS PTG provides military personnel
and military pay procedures to support Navy strength and pay
processes. These procedures supplement those outlined in the NSIPS
ESR Quick Reference Guide and other policy. 43 of 43