Hospital Corpsman 3 & 2: June 1989

Chapter 13: Administration

Naval Education and Training Command

Introdution

Although most of the corpsman's duties are performed in a clinical environment, you may be assigned to a clerical position, aboard ship, or with the Fleet Marine Force where a knowledge of administrative procedures and reports is a must.

Handling, correcting, and using official directives and publications are important administrative duties. The efficiency of your office depends upon the condition of its publications and directives, how well you know them, and the timely submission of accurate reports.

You will use Navy directives and publications increasingly as you learn your job. They are the references you turn to for information. The better you know your publications and directives, the quicker you will find the information you need.

As you progress in rate and assume greater responsibilities, you will be required to maintain the activity's Medical Department Journal, various logs, records, and directives. Additionally, you may be required to draft, type, and file correspondence.

Many tasks concerning pay and personnel are now performed by computers. These computers scan vast amounts of material in less time and with far more accuracy than people can. The effectiveness of this system depends on how well you prepare, process, and transmit optical character recognition (OCR) documents.

This chapter covers medical reports, logs, and records commonly used by the Navy Medical Department. It also instructs you on the maintenance and disposal of instructions and notices, preparation of correspondence, and filing procedures. The last portion of this chapter is an introduction to OCR documents.

Reporting Requirement

As a member of the Medical Department, whether in a clinic, on a ship or working sick call, part of your duties may include the maintenance of various logs and the preparation of reports that are required by higher authority as specified in the Manual of the Medical Department (MANMED), chapter 23 and NAVMEDCOMINST 5210.1. COMNAVMEDCOM has distributed numerous forms to facilitate reporting, record-keeping, and administrative efficiency throughout the Medical Department. Specific instructions for management of reports and forms is covered in NAVMEDCOMINST 5210.1.

Medical Department Journal

Each medical department activity afloat is required to keep a journal in which will be entered a complete, concise, chronological record of events of importance or historical value concerning the Medical Department, other than medical histories of individuals. It lists personnel entered onto or deleted from the binnacle or sicklist; reports of personnel casualties, injuries, and/or deaths; inspection of fresh provisions; lectures given to nonmedical personnel and stretcher bearers; inspections of medical equipment, battle dressing stations, first-aid gun bags, and stretchers; receipt of medical supplies; and all other occasions of significance. The journal is signed daily by the medical officer, when assigned, or the Medical Department Representative (MDR). The journal is a permanent record and is retired in accordance with SECNAVINST 5212.5 series.

Reports to the Officer of the Deck or Day (OOD)

In addition to being entered into the Medical Department Journal, injuries or death of personnel; damage, destruction, or loss of Medical Department property; and any other important occurrences are reported by the senior representative of the medical activity to the OOD or other proper official for entry into the log or journal of the command or activity.

Patients in serious condition are reported to the commanding officer or the OOD, together with the necessary information for notification of the next of kin.

Sick Call Treatment Log

A daily Sick Call Treatment Log is maintained for each ship or station. The log contains the patient's reporting date and time, name, rate, Social Security Number, command, division, complaint, diagnosis, treatment, disposition, and departure time from sick call. Use the information in this log to prepare the Medical Services and Outpatient Morbidity Report. The log is retired in accordance with SECNAVINST 5212.5 series.

Binnacle List (Formerly NAVMED-S)

The Binnacle List, NAVMED 6320/18, is used to excuse an individual from duty for a period of 24 hours or less. This report is prepared by the senior representative of the medical activity on board and is submitted to the commanding officer by 0930 daily. The form contains a list of individuals recommended to be excused from duty because of illness. The list must be approved by the commanding officer, and no names may be added without his or her permission. No quarter patient days may be counted for individuals on the Binnacle List.

Morning Report of the Sick (Formerly NAVMED-T)

The Morning Report of the Sick, NAVMED 6320/19, is used to excuse an individual from duty for a period of more than 24 hours. This report contains a list of the sick and injured, including names, diagnoses, and conditions. It is prepared by the senior representative of the medical activity on board and is submitted to the commanding officer by 1000 daily. One quarter patient day is counted for each day an individual is included on the morning report.

When it is necessary to excuse someone from duty after the Morning Report of the Sick is submitted, add his or her name to the Binnacle List, and submit the appropriate report to the commanding officer. If the patient is still unfit for duty when the next Morning Report of the Sick is submitted, add his or her name to the NAVMED 6320.19 as of the date on which his or her name was first entered on the Binnacle List. If a satisfactory diagnosis cannot be established, simply note "Diagnosis Undetermined" and indicate the chief complaint. Report suspected cases of malingering to the commanding officer.

Training Log

All lectures and training periods that are part of the training program are to be recorded in the Training Log and the Medical Department Journal.

Immunizations Log

As an aid in filling out the monthly Medical Services and Outpatient Morbidity Report, keep an Immunizations Log. As a basic minimum, the information should include the date, name, rank, social security number, immunization type, duty station, and, for personnel receiving PPDs, a contact phone number. There should also be space for adverse reactions.

Water Test Log

The purpose of this log is to maintain the readings of daily residual chlorine or bromine levels and the weekly bacteriological examinations required on potable water aboard ship and in the field.

Appointment Log

Medical consultations and clinical appointments are scheduled by the medical department and canceled if the patient is unable to keep them.

Medical Services and Outpatient Morbidity Report

Accurate workload and morbidity statistics concerning the health of the Navy and Marine Corps are essential to the effective administration of the Medical Department. These data are used in preparing budget estimates, establishing personnel requirements, and determining facility requirements. The validity and usefulness of all statistical data depends heavily on the accuracy, completeness, and timely submission of source data. The collection of morbidity data also provides direction to, and measures the results of, the preventive medicine programs. Any deficiencies in the data submitted could result in an invalid decision being made.

Strict adherence to the definitions in BUMEDINST 6300.2 series is necessary to ensure comparability of the data submitted by different commands. It is important to report accurately and completely all medical services provided by each command. The reported condition will be the final diagnosis of the patient, not the initial complaint.

The Medical Services and Outpatient Morbidity Report (figs. 13-1 and 13-1A) is a monthly requirement of all ships and stations of the Navy and Marine Corps with medical personnel that provide patient care. The report shall be airmailed (except in the immediate Washington, DC area, i.e., Virginia, Maryland, and Pennsylvania) and postmarked not later than 2400 on the fifth working day of the month to:

COMMANDING OFFICER
NAVAL MEDICAL DATA SERVICES CENTER
Naval Education and Training Command NATIONAL CAPITAL REGION
BETHESDA, MD 20814-5066

The first report after commissioning of a ship, unit, or other facility will be marked at the top of the form with "INITIAL REPORT." When a ship, unit or facility is decommissioned, consolidated, or disestablished, or the reporting requirement is assumed by the parent command, mark the last report at the top of the form with "FINAL REPORT." Additionally, if medical care is suspended for any period of time, mark the report at the top of the form with "TEMPORARILY SUSPENDED" with a brief explanation in the remarks section.

Marine Corps recruit depots and naval training centers shall submit monthly reports for recruits. In addition to the report for all personnel, one for female recruits and one for male recruits, as applicable, will be submitted. Mark the top of the report for recruit personnel with "MALE RECRUITS" or "FEMALE RE- CRUITS" as appropriate. This report will include only recruit personnel.

For details and line-by-line descriptions, refer to BUMEDINST 6300.2 series and local instructions.

Directives Issuance System

As a hospital corpsman in an administrative billet, you may be responsible for maintaining your command's files of Navy directives. Refer to SECNAVINST 5215.1 series for complete details of your responsibilities

Types of Directives

A directive can be an instruction (analogous to a Marine Corps Order), a notice (analogous to a Marine Corps Bulletin), or a change transmittal. Directives prescribe or establish policy, organization, conduct, methods, or procedures; require action; set forth information essential to the effective administration or operation of activities concerned; or contain authority or information that must be promulgated formally.

A notice is a directive of a one-time or brief nature, which always has a self-cancelling provision stated. A notice has the same force or effect as an instruction. It usually remains in effect for 6 months or less, but never for longer than a year. Any requirement for continuing action contained in a notice, such as submitting a report, using a form, or following a specified procedure, is canceled when the notice is canceled unless the requirement is incorporated into another document.

A change transmittal is used to transmit changes to a manual, publication, instruction, or, under extenuating circumstances, a notice. Each transmittal describes the nature of the change and gives directions for making it. Changes and corrections are made by inserting new pages, removing obsolete pages, or making pen-and-ink changes in the existing text. When a list of effective pages is included with a change, it is important that you check all pages against the checklist. This procedure enables you to determine if your publication is current. In the Marine Corps comparable changes are made to orders and bulletins.

Maintaining Directives

Instructions are normally placed in large three- ring binders in numerical sequence according to a standard subject identification code number. This number is in the top right-hand or left-hand corner of each page. If local conditions require, another filing sequence may be followed, such as by a combination of the subject identification number and issuing authority. Classified directives/documents are generally filed in separate binders for security purposes and maintained in a safe. Because of their brief duration, notices ordinarily do not need to be filed in the master file. If it is necessary to file them temporarily with instructions, tab the notices so that each may be easily and promptly removed as soon as its cancellation date is reached. Copies may be filed in separate suspense binders when necessary.

When a notice or instruction must be removed from the files, a locator sheet is made up and put in its place in the binder. This sheet will have the directive's standard subject identification code number, subject title, date removed, and both the location of the directive and the name of the person who has custody of it.

Follow the instructions enclosed in a change transmittal to enter changes to a directive. Proper notations, such as "CH-1," are entered in the upper margin of the first page of each directive changed to indicate changes received and incorporated. For publication-type instructions, the changes are annotated on the record of changes sheet in the front of the publication.

Each year, the Navy Publications and Printing Service compiles and distributes a consolidated numerical list of all effective instructions distributed outside the issuing Washington headquarters commands. Quarterly additions and deletions or other periodic issuances are also distributed. Additional copies of or missing directives, excluding notices, may be requested by using NAVSUP Form 1205, Departmental Directives Requisition.

Correspondence

In addition to maintaining directives and logs and submitting reports, the corpsman working in an administrative billet must be able to draft and type correspondence correctly and neatly and be able to file correspondence so that it may be retrieved quickly and efficiently as needed.

Within the Navy, official correspondence is usually prepared in the standard naval letter format. The standard naval letter is also used when corresponding with certain agencies of the United States Government. Some civilian firms that deal extensively with the Navy also prepare correspondence using the standard letter. Most official letters addressed to persons outside the Navy are written in the business form.

Standard Naval Letter Format

Instruction for typing standard naval letters are very precise and must be followed to the last detail. All the information to properly prepare correspondence can be found in SECNAVINST 5216.5 series, Department of the Navy Correspondence Manual. You should consult this manual when you type the various forms of correspondence to assure proper preparation. Refer to Figure 13-2 for the general format.

Stationary

The first page of a standard naval letter contains the letterhead of the initiating activity. If the letterhead is not preprinted, it must be typed, beginning on the fourth line from the top edge of the paper and centered. The first line of the letterhead is always Department of the Navy. The second line is the activity name and the last line is the geographical location, including the state and ZIP Code. All of the following pages of a letter are typed on plain white bond paper, which corresponds in color, size, and quality to the first page.

White and colored tissues (manifold sheets) are used for carbon copies. You will determine the number of copies that you will need according to local filing practices, the number of addressees, and the type of letter involved.

Margins

In a standard naval letter, the left, right, and bottom margins must be 1 inch. All of the following pages will have the same margins, with a 1 inch margin at the top of the page.

General Style

Standard Naval letters never contain a salutation or complimentary close. Paragraphs begin flush (not indented) with the left margin, and are typed in the block style. The first line of a subparagraph or long quotation begins four spaces from the left margin, and the following lines are flush with the first word of the heading entry. If headings are referred to in the test, they are spelled out in full. With the exception of "From," "To," and "Via," heading entries are abbreviated. The second line of a heading entry begins flush with the first word of the heading entry. If headings are referred to in the text, they are spelled out in full. Examples are provided in the paragraphs on headings.

Identification Symbols

The location of the identification symbols is governed by the "In Reply Refer To" line in the upper right-hand corner of the page. If this line is on your letterhead, the identification symbols are placed one line below and flush with the first letter or moved to the left as necessary to maintain a 1 inch margin on the right. If the "In Reply Refer To" line is absent, the identification symbols begin one line below the letterhead, starting 2 inches or more from the right edge of the paper. The longest identification symbols should end close to the right margin. The file number and originator's code are placed in descending order, with the date the letter is signed being the last item.

File Numbers - The file number is a four- or five-digit number which represents a letter's subject, helps to file and retrieve correspondence, and eventually dispose of it. The file number is the appropriate standard subject identification code (SSIC), which can be found in SECNAVINST 5210.11 series. A file number is required on all correspondence.

Originator's Code - An originator's code, formed according to local instructions and serving as a basic identification symbol, appears on all outgoing correspondence. It is usually the office symbol of the drafter, but it may be the hull number of a ship. An example is: AD 18-80. This is office/department 80 of ship AD-18.

Serial Numbers - All classified correspondence must have a serial number. Whether unclassified correspondence is also serialized depends on local policy. A command that produces little correspondence probably does not need to serialize. An activity that uses serial numbers starts a new sequence at the beginning of each calendar year and assigns the numbers consecutively. The serial number, when used, is combined with the originator's code. The following format is used: Ser AD18-80/0726.

There is no punctuation following the Ser and no spaces before or after the slash. For classified correspondence, the classification letter precedes the serial number (C for Confidential, S for Secret, T for Top Secret). For example: Ser AD18-80/C16.

This is the sixteenth piece of confidential correspondence originating from this ship since the beginning of the year.

Dates - Date all copies of a letter. Type or stamp the date on the same day that the correspondence is signed. Follow a day-month-year order without punctuation. Use the first three letters of the month and the last two digits of the year, i.e., 13 Mar 87. The date is placed flush with the identification symbols on the line immediately below the originator's code.

From Block

Every standard letter must have a From block. As a general rule, use the commanding officer's title, the activity's name, and, for a-command based ashore, the geographical location, without the state or ZIP Code. The precise wording of the address comes from the Standard Navy Distribution List (SNDL), OPNAV P09B2-107 (Parts 1 and 2), or the List of Marine Corps Activities, MCO P5400.6. Type From: at the left margin, on the second line below the date. Two spaces follow the colon, then the title and address of the originator. Continuing lines begin flush with the first word following the heading:

From: Commanding Officer, Fleet and Mine Warfare Training Center, Charleston

Some variations exist. If a one-of-a-kind title adequately identifies an activity, i.e., Chief of Naval Operations, the location is unnecessary. Alternately, some commanding officers prefer the entire mailing address to aid in replies.

To Block

In general, the To block follows the same format as the from block. Type To: at the left margin on the first line under the from block. Four spaces follow the colon then the title and address, including the ZIP Code. Additionally, the use of codes is encouraged. Place codes after the activity's name, i.e., Naval Education and Training Command (MEDCOM-16). Add the word Code before codes that start with numbers. A code that starts with a letter is readily identified as a code.

To: Commander, Naval Education and Training Command (MEDCOM-16)
Navy Department
Washington, DC 20372-5120

Via Block

A via block is used when one or more activities should see the letter before it reaches the action addressee. The format is similar to the from and to blocks. Type Via: at the left margin on the first line below the to block, with three spaces following the colon. Type the title and activity of the via addressee. Where there is more than one via addressee, they are listed with Arabic numerals in parentheses in the sequence through which the correspondence is to be sent.

Subject Block

The subject is a sentence fragment that tells the reader at a glance the subject matter of the letter. Type Subj: at the left margin on the second line below the preceding line, with two spaces following the colon. Use normal word order and capitalize every letter after the colon.

References

If a reference is not required for clarification, don't use it. If a reference is used, type Ref: at the left margin on the second line below the subject with three spaces following the colon. Each reference, even if only one, is preceded by a lowercase letter in parentheses. One space follows the closing parenthesis. There are several different types of references: correspondence, messages, endorsements, and telephone conversations. For the proper format to use for each, refer to the Department of the Navy Correspondence Manual. References are listed in the order that they appear in the text of the letter. In the text, spell out the word reference.

Enclosures

When an enclosure accompanies the letter, type Encl: at the left margin on the second line below the last line of the previous heading, with two spaces following the colon. Each enclosure, even if only one, is preceded by an Arabic numeral in parentheses. One space follows the closing parenthesis. Describe an enclosure like a reference. Enclosures are used to keep the text of a letter from becoming too detailed or too long. Like references, enclosures are listed in the order in which they appear in the text. In the text, spell out the word enclosure.

Mark an enclosure on the first page only, in the lower right corner, whether the text is arranged normally or lengthwise. Type, stamp, or write Encl plus its number in parentheses. Pencil may be used so an addressee can remove the marking easily should the enclosure be needed for some new purpose later. Follow the standard-letter practice of numbering only second and later pages. If you have several different enclosures, number the pages of each independently. If the pages are numbered already, renumbering is unnecessary.

Text

The text, or body, of the letter begins on the second line below the last line of the headings. Number paragraphs sequentially, flush with the left-hand margin. Paragraphs are not indented in a standard naval letter. Each paragraph begins on the second line below the last line of the preceding paragraph. See figure 13-3 for an example of paragraph and subparagraph formats.

Signature

The name of the person signing the letter is typed in all capital letters on the fourth line below the text and at the center of the page. Normally, a functional title is not added. When subordinates sign under delegated authority, they usually sign "By direction." See SECNAVINST 5216.5C for exceptions to this rule.

Only the original letter that goes to the action addressee is signed, but all copies must have a signature block.

Copy-To Block

This block is used when addressees outside your command need to know about the content of the letter but don't need to act on it. The Copy- To block begins flush with the left margin on the second line below the signature block. List the addressees in any order, though the internal offices of an activity should be grouped for ease of distribution.

Pagination

The first page of routine correspondence is not numbered. All of the following pages are numbered consecutively with Arabic numerals centered one-half inch from the bottom of the page, without punctuation. On the second and succeeding pages, repeat the subject shown on the first page on the sixth line from the top of all later pages. The identification symbols are not repeated. On the signature page, there should be at least two lines of text.

Addressing Envelopes

This section explains how to address letter-size envelopes for unclassified correspondence. Ask your mail room about types, costs, and instructions on such special services as registered, certified, or insured mail. Also ask about bulk mailing as well as pouch and messenger services; these methods of moving the mail require few envelopes or mailing labels. Envelopes

To avoid the extra charge for mailing large envelopes, fold correspondence and send it in letter-size envelopes. When you have several pieces of correspondence for one address, try to send it all in a single large envelope, but do not delay mailing just to fill the envelop. To prevent tearing your correspondence or jamming postal equipment, use envelopes only slightly larger than their contents and press out the air before sealing them. Correct minor errors in an address instead of discarding the envelop.

Addressing the Envelope

Start an address halfway down the envelope and a third of the way from the left edge. Place the address parallel to the long sides. Type, stamp, machine-print, or hand-print the address in the block style using black or blue-black ink. When using a rubber stamp, avoid smudging the address or leaving marks from the stamps edges. Show your return address in the space in the upper lefthand corner below the heading "Department of the Navy." The two-letter state abbreviations must be used on the envelopes, as listed in the Department of the Navy Correspondence Manual.

Put a ZIP Code or FPO/APO number on all addresses. The ZIP Code is a five-digit geographic code that identifies areas within the United States and its trust territories for the purpose of simplifying the distribution of the mail. Use of the ZIP Code increases the speed, accuracy, and quality of all mail service. On 1 July 1984, ZIP + 4 became the standard code for all Department of Defense components. ZIP + 4 is composed of the current five-digit ZIP Code plus a four-digit add-on. The additional four digits are separated from the existing five-digit code by a hyphen. The first two of these digits identify broad geographic areas within ZIP Code zones. The last two digits represent the smallest geographic unit to which mechanized mail distribution can be made. See OPNAVINST 5218.8 for more detailed informa- tion on the nine-digit ZIP Code (ZIP + 4) system.

Speedletter

A speedletter is a form of naval correspondence used for urgent communication of unclassified material not requiring electrical transmission. The speedletter calls attention to the need for priority handling by the recipient. A special form, Naval Speedletter, OPNAV 5216/145, is used. See figure 13-4. The format of a speedletter is the same as for a standard letter with specific modifications listed on the speedletter form. Refer to SECNAVINST 5216.5 series for details on how to prepare a naval speedletter.

Memorandum

A memorandum is used to correspond informally within an activity or between several activities. Subordinates may use it to correspond directly with each other on routine business. The formats available, starting with the least formal are the:

1. printed memorandum form, OPNAV 5216/145 (available in three sizes)

2. plain-paper memorandum

3. letterhead memorandum

4. memorandum for

File copies of very informal memoranda, or memoranda of a short nature need not be kept. The format is the same as for a standard naval letter with minor modifications, depending on which type of memorandum is used. See SECNAVINST 5216.5 series for details on which memorandum to use. Very informal memoranda may be handwritten.

Messages

A message is a written thought or idea, expressed as briefly and precisely as possible, and prepared for transmission by the most suitable means of telecommunication. Specific details on format, headings, precedence, and addressing are contained in NTP3 series, Naval Telecommunications Procedures, Telecommunications Manual, and NTP 3 SUPP-1 series, Naval Telecommunications Procedures, Plain Language Address Directory (PLAD).

Filing

In the previous section of this chapter, you were informed that each piece of correspondence requires a file number, which was identified from the SSIC. Many times you will be called upon to produce a certain piece of correspondence from your files. The amount of time it takes to locate this correspondence will depend to a large extent on how well you know the Navy filing system.

Numerical Subjects Grouping

The size and complexity of the Navy demands a standard method for filing paperwork. Standardization frees personnel from learning new filing systems when moving from one activity to another. The establishment of SECNAVINST 5210.11 series, Navy Standard Subject Identification Codes (SSIC), is the basis for such a standardized filing system. The Navy's SSIC is broken down into 13 major groups:

1000 series	-	Military Personnel
2000 series	-	Telecommunications
3000 series	-	Operations and Readiness
4000 series	-	Logistics
5000 series	-	General Administration and Management
6000 series	-	Medicine and Dentistry
7000 series	-	Financial Management
8000 series	-	Ordnance Material
9000 series	-	Ships Design and Material
10000 series	-	General Material
11000 series	-	Facilities and Activities Ashore
12000 series	-	Civilian Personnel
13000 series	-	Aeronautical and Astronautical Material

These major groups are subdivided into primary, secondary, and sometimes tertiary subdivisions. Primary subjects are designated by the last three digits of the code number, secondary subjects by the last two digits, and tertiary subjects by the last digit. For example:

6000	Medicine and Dentistry
	6200	Preventive Medicine
		6220	Communicable Diseases
			6224	Tuberculosis
	6100	Physical Fitness
	6600	Dentistry

Detailed subdivisions can be found in the SSIC.

Classifying

Classifying, as it is used here, is the process of determining the correct subject group or name- title codes under which correspondence should be filed and any subordinate subjects that should be cross-referenced. Classifying is the most important filing operation because it determines where papers are to be filed.

The proper way to subject-classify a document so that it can be readily identified and found when needed is to read it carefully, analyze it, and then select the file code that most closely corresponds to the subject.

Cross-Reference Filing

File most official correspondence, reports, or other material under only one subject identification code. There are times when more than one code will apply to the contents of the correspondence. In these cases, a system of cross-referencing is desirable to permit you to locate the correspondence quickly. To cross-reference, use a Cross-reference Sheet, DD Form 334, or a copy of the correspondence. Instances where you need to use a Cross-Reference Sheet are when:

• a document has more than one subject

• the subject may be interpreted in such a way that it lends itself to filing under more than one specific subject group

• two or more subject identification codes pertain to the names, places, or items appearing in the document

• enclosures are separated from the basic correspondence

• oversize material is filed in an area that is separate from the file for which intended

Official Method of Filing

Loose filing of correspondence in standard file folders is the official method and it saves time and material. A label containing identifying data for the folders' contents is generally placed on the tab of the folders. Five-drawer, steel, noninsulated, letter-size cabinets are standard equipment in the Navy for active correspondence and documents. File material that cannot be folded to fit neatly in the intended file in a suitable cabinet. Note the location of this material on the basic document of a Cross-reference Sheet. Files containing classified documents or privacy act data shall be properly secured in accordance with OPNAVINST 5510.1 series.

Terminating Files

General correspondence, as well as most other files, will be terminated annually at the end of each calendar year, and new files will begin. Budget and accounting records will also be terminated annually, but at the end of each fiscal year. Maintain terminated files in the office for 1 year before they are retired to a storage area where they are maintained until they are eligible for destruction or transfer to a Federal Records Center.

Disposition of Records

The Department of the Navy is producing records with increasing speed and ease. Actions and decisions, both important and unimportant, are being documented at every level of command. Informational papers are being more widely distributed. One of the goals of the program is to annually dispose of a volume of records at least equal to the volume of records created. The records disposal program is designed to identify records for permanent retention or temporary retention and later destruction.

Decisions to save, or not save, must not be avoided by saving all your files. No matter how firmly you believe that disposing of a file today will mean that someone will need it tomorrow, a decision must be made. If you are in doubt about disposal of certain records, avoid taking it upon yourself to either retain or dispose of them; consult with your superiors to decide what course of action to take. SECNAVINST 5212.5 series, Disposal of Navy and Marine Corps Records, spells out the retention period of official files and explains whether they are destroyed or forwarded to a Federal Records Center for further retention.

Tickler Files

As you were instructed earlier in this chapter, the Medical Department is required to submit numerous reports. Required reports are listed in OPNAVNOTE 5214, which is published annually, and in MANMED, chapter 23. To ensure that these reports are submitted in a timely manner, a system has been developed to readily identify what report is due and when it is due. This is known as the "tickler system." The manner in which a tickler file is made up may vary with each command. It is suggested that you use a 5 " x 8 " card with separators marked with the month, i.e., January through December, with the tickler card filed in the month in which the report is due. The tickler file may also be used as a reminder of action required on incoming correspondence, or interim reports on a project with a future completion date. Aboard ship, the tickler file is also required for personnel requiring immunizations, physical examinations, or program evaluation. To ensure that departments submit all reports when due, it is advisable to have a system alerting them in sufficient time before the actual due date. This may be accomplished as follows:

• Put out a monthly listing of reports due

• Provide each department with a copy of the appropriate tickler card. To be effective, the tickler file requires daily attention and update, as necessary.

Introduction to Optical Character Recognition Documents

This portion of the chapter presents an overview of the use of automatic data processing (ADP) in the pay and personnel systems and explains the basic procedures and techniques for preparing, correcting, transmitting, and controlling OCR data input documents.

The automated pay and personnel systems have a broad interface and operate in close coordination. The pay system, which is the Navy version of the Joint Uniform Military Pay System (JUMPS) used by all the armed services, maintains computerized leave and pay accounts, furnishes monthly leave and earnings statements (LES), and provides financial management reports to the Naval Military Personnel Command (NMPC) to support planning, programming, and budgeting needs. The personnel system, called the Manpower, Personnel, and Training Information System (MAPTIS), gathers, processes, stores, and disseminates personnel information required for record and management purposes. It also includes reports to NMPC for planning and statistical use in personnel distribution, promotion, and training. The main regulatory publications for the system are the Department of Defense Military Pay and Allowances Entitlements Manual (DODPM), and the Naval Military Personnel Manual (MILPERSMAN) NAVPERS 15560. These manuals contain pay and personnel entitlements and regulations for regular and Reserve members of the Navy. They are supplemented by a procedural manual containing complete instruction for disbursing and administrative offices in the administration of pay and military personnel, namely, the Navy Pay and Personnel Procedures Manual (PAYPERSMAN), NAVSO P-3050. PAYPERSMAN is organized in parts and chapters arranged and numbered in the same order as those of the DODPM. In addition to the corresponding parts, part 9 of this manual contains detailed instruction for the preparation and distribution of documents used in the automated pay and personnel systems, together with illustrations of properly completed documents. You will need to refer to the above publication often in working with JUMPS or MAPTIS.

Computers and OCR Documents

The principal computer installation for personnel information is located at NMPC in Washington, DC, and the one for pay at the Navy Finance Center (NAVFINCEN) in Cleveland. NMPC and NAVFINCEN exchange data daily, so you normally need to report an event only once to the appropriate central processing site to update both a member's personnel record and his or her pay account. Thus, you report occurrences that are primarily personnel-related to NMPC, which extracts the necessary data and passes it on to NAVFINCEN. Similarly, you report events primarily related to pay to NAVFINCEN, which passes any needed personnel data to NMPC.

To report information into the automated pay and personnel systems, you use specially designated forms. These are completed as typewritten documents on an OCR typewriter having specially shaped letters and numerals. The information in the documents is transferred directly to the computers for processing by scanners that read the optically recognizable characters from the typewritten copy and convert them into computer code on magnetic tape. This OCR method of direct computer input is much faster and more accurate than older methods of feeding information into computers by punched cards or punched paper tape. It eliminates the time-consuming transcription of source data to cards or paper tape, reduces errors at the computer site, and edits the documents, rejecting any unacceptable one.

Role of Administrative Personnel

PAYPERSMAN prescribes procedures to be used by administrative, or admin, offices. This nomenclature is used as an inclusive term for the sake of brevity. Wherever the words "admin officer," or "administrative officer," are used in this chapter, they may be applied to administrative, personnel, or executive offices, which are responsible for preparing input documents and maintaining personnel records.

Administrative personnel play a vital role in making the automated pay and personnel systems work effectively. When you are assigned to admin office duties, you perform a key function by preparing documentation for such actions as advancement, leave, punishment, reenlistment, separation, and transfer. For your shipmates and yourself to receive efficient financial and personnel services, report personnel actions correctly and promptly. Indeed, success of the systems depends directly on the accuracy and completeness of the data submitted in the OCR documents, the quality of preparation, and the timeliness of submission.

The requirement for precise preparation applies to both typing and correctness of the reported data. Either kind of error can foul up the systems. For example, if in typing an OCR document, you align it improperly, strike over, or erase, the scanner will reject it as a document error. Unless a rejected document can be corrected at the central processing site without a change in content, it must be returned to the preparing activity for correction or retyping. The time spent in transmitting and returning documents is wasted and accomplishment of its intended purpose is delayed. The second type of error may be even more serious. If you report inaccurate information, e.g., show a wrong date or amount, the faulty data may be accepted by the scanner and processed, resulting in incorrect personnel records, pay accounts, or both. By eliminating errors at the source, you can reduce the number of rejected documents and avoid the introduction of erroneous data into the systems.

When an incorrect OCR document is forwarded to NMPC or NAVFINCEN, the preparation and submission of a second document is required to correct the error. Moreover, the original error may have already been fed into the system, where it may affect the member's advancement, assignment, or pay through at least one pay period. In short, make sure all documents are correct when they leave your office.

Remember, the two primary requirements are accuracy and timeliness, and they are critical. It is up to you to submit appropriate OCR documents as events occur in order to provide input for continuous and correct updating of the computerized records at NMPC and NAVFINCEN.

Most administrative offices are being brought under the central control of a Pay/Personnel Administrative Support System (PASS) office, which will prepare documents for input, relieving the administrative office corpsman of some document preparation responsibilities.

Most OCR data input documents, including those prepared in the administrative office, are explained and illustrated in DODPM, MILPERSMAN, and PAYPERSMAN.

Preparing, Handling, and Mailing Documents

Forms

OCR documents are prepared on forms printed in carbon-interleaved sets. Each document set serves both automation and record purposes. The original copy is for scanning. The carbon copies in the set satisfy various record requirements, such as file copies for the officer or enlisted service record folder, the originator's suspense file, and other offices as needed. On an actual form, most of the original scanner copy is printed in dropout blue; the carbon copies are printed in black.

Typewriter and Ribbon

The typewriter you use to prepare an OCR document must have an American Standards Institute OCR-type font with 10-pitch spacing. The OCR scanners the Navy currently uses read uppercase letter, Arabic numerals, punctuation, and certain symbols. They cannot read lower-case alphabetic characters. Use carbon ribbons for OCR typing; fabric ribbons do not provide adequate and consistent density.

Care of Typewriters

Keep OCR typewriters clean and in good repair at all times. A typewriter that is dirty or out of repair, or has dirty type faces, will produce dirty documents or poor print quality that will be misread or rejected by the scanner. By checking and cleaning your typewriter each day before use, you can prevent the high document reject rate that a dirty or improperly maintained typewriter will cause. Always keep your typewriter covered when not in use.

Centering and Aligning

Centering the paper in the carriage helps to maintain the accurate line spacing required in typing OCR documents. Insert the paper so its right and left edges are approximately equidistant from the right and left ends of the platen.

Align the paper very carefully to prevent line skew that will cause the scanner to reject the document. Align the form so it is in position for typing an "X" exactly in the box on the left side of the alignment tab and at the same time for precisely overtyping the word ALIGN on the right side. Then test the alignment by typing the test letters in the indicated areas of the tab line. Realign the form if necessary, making sure the "X" is inside the box and the typed word ALIGN is in the white area of the tab line before proceeding.

After the paper is aligned, set the left margin on the "X" box in the tab line. Begin typing in the extreme left space of each block. Never allow the type to touch the top or bottom line in any block or the dropout blue area at the ends of lines or between blocks. This will cause the scanner to reject the document. On some multicopy forms, you may find the type falling low in the blocks. Use the variable line-spacing control on the platen to keep the lines of type falling within the alignment tick marks at the left margin. However, make any adjustment before you start typing a line to avoid misalignment of the type, which will result in rejection by the scanner.

Signatures

Take special care to ensure that signatures are kept within the signature blocks. An otherwise valid document will be rejected if any part of a signature extends over the boundary of the target area into another block that is to be scanned. Also, a signature on the back of a document extending outside the signature block may show through the paper in a scannable area on the front side and cause rejection.

Checking Documents

Review each document before submission to ensure it is proper and correct. You can avoid or considerably reduce erroneous and duplicate submissions. Avoid transmitting documents containing such common errors as:

• Missing signature

• Date of preparation block is blank

• Hyphens missing after third and fifth digits of the Social Security Number

• Lower-case letter "L" (l) used for numeric one

• Alphabetic letter "O" used for numeric zero or visa versa

• Invalid abbreviations, i.e., an abbreviation other than those specifically authorized in PAYPERSMAN

• Conflicting or invalid dates, i.e., an effective date for a reported action indicating that it has not yet occurred

• Time miscalculations, i.e., improper accounting for elapsed time

• Document submitted to correct a previously reported action not identified as a "corrected copy"

Handling and Mailing

Use care in handling and mailing OCR forms and documents. Dirt or damage can either cause a character to be misread as incorrect data sent to the computer or, more likely, cause the document to be rejected by the scanner. Forms should be stored in a clean, dry place and kept in a flat position to avoid damaging the edges. Avoid fingerprints on the documents, and remove alignment tabs and carbons carefully to avoid smudging the characters to be scanned.

In all cases, airmail OCR data input documents at the earliest opportunity under a letter of transmittal. Do not use certified mail, as this would slow down the process. Submit documents not later than the day following the day of occurrence of the reported events, provided operational circumstances permit. Assemble the transmittal with the documents flat and face up with the transmittal letter on top. Use special reinforced mailing envelopes to prevent folding or otherwise damaging the contents.

More than one transmittal may be mailed in the same envelope, provided the documents are not so crowded as to damage them. Do not staple, clip, bind, tie, or otherwise fasten the documents together. Never transmit a document that has been torn, damaged on the edge, creased, folded, smudged, stained, or erased, or that contain staple holes or editing pen or pencil marks.

Correction of OCR Documents

You cannot erase on OCR documents, nor should the correcting feature built into many typewriters be used on them. Instead, special delete symbols, described below, are used for correcting errors if there is room and the nature of the document permits. Do not hesitate to use this correction where appropriate; it is expeditious and economical, saving time and expensive OCR forms. Never make a document uncorrectable by circling or otherwise marking an error. Possibly, you can use the normal correction techniques, and the document will not have to be retyped. When one is using delete symbols on previously typed documents, careful alignment with the original typing is essential for scanner readability.

Character Delete

The Christmas tree symbol and the blob symbol are both used as character delete symbols. Either of them, when typed over the character to be deleted, deletes both the character and the space the character occupied. As many character deletes may be used in a block as will fit into it. Such corrections are the only strikeovers permitted on OCR typing. The character delete may be used on any OCR document.

Block Delete

The chair is the block delete symbol. It may be typed any place in the block where there is a space; the scanner will read the block as a blank. The block delete is not used on documents whose copies are filed as service record pages, since such corrections may not be readily apparent to record users.

Line Delete

The hook and the elongated hyphen are both used as line delete symbols. The hook is usually typed at the end of the line; but if there is not space at the end of the line, it may be-used anyplace on the line where there is a space. The elongated hyphen is typed over the first three characters or spaces in a line. Either symbol deletes the entire line of information. If the hook appears in any block of a line divided by one or more block separators, the scanner will read the entire line as blank. Do not use the line delete on service record pages.

Correcting Returned Documents - Documents that are lost or returned for correction because of typing errors, unidentifiable characters, incorrect format, invalid entries, or form damage are corrected or retyped as necessary and resubmitted promptly. If the original is available and the erroneous document can be corrected by adding or deleting entries, gather all locally available copies of the document and enter the correct information. Otherwise, the erroneous or lost document must be retyped. Whenever a document is corrected by retyping, recover and destroy all available copies of the erroneous document.

If a document-that has been transmitted to NMPC or NAVFINCEN is subsequently corrected or retyped, the corrected document is annotated in the middle of the bottom margin as a corrected copy with an indication in five digits of the three-figure Julian date and the two-figure transmittal number of the original transmittal.

Always include such citation of the original transmittal in "corrected copy" annotations. No annotation is made on a corrected document when an error is detected and corrected before the original has been forwarded to NMPC or NAVFINCEN. Corrected documents resubmitted to NMPC are forwarded in a separate transmittal as group VI documents.

Transmittal of OCR Documents

All original OCR data input documents are always transmitted to NMPC by admin offices and to NAVFINCEN by disbursing offices. They are forwarded under cover letters prepared with an OCR typewriter on a Transmittal Letter, NAVCOMPT Form 3051, which is a four-part set. Input documents on NAVCOMPT forms are scanned at NAVFINCEN and those on NAVPERS forms at NMPC, with the exception of the Dependency Application/Record of Emergency Data, NAVPERS 1070/602, the original copy of which is transmitted by the disbursing officer to NAVFINCEN for scanning. The personnel office should never forward scannable documents to NAVFINCEN; those to be so scanned are submitted to the local disbursing officer for transmittal. Instructions for preparing the scannable transmittal letter to accompany OCR documents sent to NMPC are contained in PAYPERSMAN, part 9, chapter 4.

Distribution of Transmittal Letter

The original and first two carbon copies of the scannable transmittal letter accompany each submission of OCR documents to NMPC. The third carbon copy is filed with the retained copies of the transmitted documents. NMPC will acknowledge receipt by returning a copy of the transmittal letter and a document control listing.

Local Transmission Letters

In the transmission of OCR documents between their offices, admin and disbursing offices use locally prepared forms. Local transmittal letters are forwarded in duplicate, with the copy being returned in acknowledgment if the transmittal is correct.

OCR Document Control Procedures

Suspense Files

The admin office keeps two OCR suspense files. One contains the retained copies of input documents sent to NMPC, together with copies in chronological order of the scannable transmittal letters that accompanied them and the document control letters received from NMPC. The other file consists of the retained copies of documents sent to the disbursing office, along with the acknowledged copies of the local transmittal letters in chronological order. The suspense files provide a record of documents submitted and facilitates the verification of automated reports received. Material in these files may be destroyed after 60 days if no follow-up action is required.

Document Control Listing

The document control listing (DCL) is furnished by NMPC on receipt of each transmittal of OCR documents. The DCL, which lists all the documents in the particular transmittal, serves to verify the number of documents received, to indicate any errors in them, and to provide the identifying document serial number assigned to each document by NMPC for use in any future reference to the document. This serial number must be used in any correspondence to NMPC concerning a particular document.

When a DCL is received, promptly verify it against the suspense file and take any indicated corrective action. Upon completing verification, file the DCL with the retained copy of the transmittal letter in the suspense file. The first step in verification is to match the OCR processing count shown in the DCL with the document count in the transmittal letter. If the two counts do not agree or if document errors are listed in the DCL, proceed as described below.

Admin Office Miscounted - If the document count in the transmittal letter was wrong and the DCL agrees with the suspense file, note the proper count on the retained copy of the transmittal letter. No further action is required.

Original Not Forwarded - If the DCL shows fewer documents than those on file, and if the original of a document was not forwarded, remove the original and copy of the document from the suspense file, correct the document count on the retained copy of the transmittal letter, submit the original with a new transmittal letter, and refile the copy of the document with the retained copy of the new transmittal letter.

Original Missing - If the DCL shows fewer documents than those on file, and if the original of a document is missing, remove the copy from the suspense file, correct the document count on the retained copy of the transmittal letter, retype the document, annotating it as a corrected copy, and destroy the old retained copy of the document. Forward the original retyped document in the current day's transmittal, file a copy in the suspense file, and destroy all other copies of the retyped document.

Errors in Documents - The DCL shows the errors in erroneous documents corrected by NMPC and in those returned for correction or retyping and resubmission. Returned documents that failed scanning may accompany the DCL. Those that passed scanning, but contain other errors, may be returned by separate correspondence. For errors listed in the DCL that were corrected by NMPC, identify the correct entries and take precautions to ensure that future documents are correct.

Erroneous Documents Returned - On identifying an error in a returned document, retrieve all available copies of the incorrect document and correct or retype the document as necessary, annotating it as a corrected copy. If retyping is necessary, destroy all copies of the erroneous document. Forward the original correct or retyped document in the current day's transmittal under a separate transmittal letter and distribute the copies as in the initial submission.

DCL in Error - If close comparison of a returned document with the DCL reveals no error in the document, annotate a reproduced copy of the DCL to indicate the error in the listing and return both the annotated copy of the DCL and the original document to NMPC in a separate OCR mailing envelope without a transmittal letter.

Member Transferred - If an erroneous document is returned with the DCL after a member has been transferred, forward the document and a reproduced copy of the DCL to the member's new command for corrective action and resubmission of the document.

If a DCL acknowledging a transmittal has not been received within 10 days plus estimated mailing time, prepare a copy of the unacknowledged transmittal letter, mark it "TRACER COPY," and mail it to NMPC in an envelop separate from the daily transmittals. On receiving the tracing copy, NMPC will notify your activity whether or not the transmittal was received. If it was not, resubmit the documents.

Error Feedback from NAVFINCEN

Error feedback from NAVFINCEN on data input to the pay system normally comes to the admin office through the local disbursing office. Correct or retype erroneous documents returned by NAVFINCEN, and resubmit them promptly to the disbursing office for transmittal.

Verification of Automated Reports

Data input to the pay and personnel systems is reflected in various automated reports furnished to field activities. Two important ones received by the admin office are the Enlisted Distribution and Verification Report, NMPC Report 1080-14, and the Officer Distribution Control Report, NAVPERS 1301/5.

Carefully check automated reports received to verify that the information submitted from the field has been properly recorded. When an event reported to NMPC by an OCR document whose receipt has been acknowledged is not reflected in the automated report within 60 days of submission, send a tracer letter to NMPC, explaining the circumstances and enclosing a copy of the document in question. Include the member's name and social security number, the form number of the document, the transmittal date and number, and the document serial number shown in the DCL.

Documents Erroneously Transmitted

On discovering that an improper OCR document has been submitted to NMPC, report and explain the erroneous submission by speedletter or message and request removal of the information contained in the document from the member's service record and from the automated personnel system. Identify the document by form number, transmittal date and number, document serial number, and the member's name and social security number. Use a message only if it is necessary to prevent hardship to the member or to protect the Government's interests. File a copy of the speedletter or message in the member's service record, with the copy of the document. If an improper or erroneous document is submitted to NAVFINCEN, the disbursing office will request that the information be removed from the military member's pay account and file a copy of the speedletter or message request in the retained transmittal file with the copy of the document.

It is necessary to distinguish between improper and incorrect documents. Improper documents are those documents that should never have been submitted in the first place. Incorrect documents should be corrected and included in the military member's pay account. The proper procedure to correct a document previously submitted is to retype it with the correct information, annotate it as a correct copy, and resubmit it.

If a scannable document is found in the service record of a member reporting aboard, verify that it is appropriate; if it is correct, forward the original to NMPC or the disbursing office in your daily transmittal. Mail the suspense copy to the preparing activity, distribute any other designated copies, and retain a reproduced copy in your suspense file.

References

1. SECNAVINST 5215.1 series, Navy Directives Issuance System

    

2. SECNAVINST 5216.5 series, Department of the Navy Correspondence Manual

    

3. SECNAVINST 5210.11 series, Department of the Navy Standard Subject Identification Codes

    

4. SECNAVINST 5212.5, Disposal of Navy and Marine Corps Records

    

5. NAVMED P-117, Manual of the Medical Department

    

6. NAVSO P-3050, Navy Pay and Personnel Procedures Manual (PA YPERSMAN), appendix E, chapter 4, and part 9

    

7. BUMEDINST 6300.1 series, Medical Services and Outpatient Reporting System

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Health Care in Military Settings

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