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

6. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

7. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

8. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

9. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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 5 of 43

10. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

11. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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 43

12. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

13. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

14. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

15. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

16. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

17. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

18. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

19. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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. 15 of 43

20. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

21. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

22. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

23. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

24. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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 43

25. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

26. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

27. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

28. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

29. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

30. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

31. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

32. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

33. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

34. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

35. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

36. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

37. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

38. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

39. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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 43

40. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

41. 25 January 2010 CNPC Personnel Information Management 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 37 of 43

42. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

43. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

44. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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

45. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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 of 43

46. 25 January 2010 CNPC Personnel Information Management Department Revision Number: 1 Navy Enlisted Field Service Record (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