Local Reports and OMB Approval - S-1 Procedural Page

Role and responsibility

The Command Reports Manager publishes every local reporting requirement in a command directive per MCO 5214.2GMCO 5214.2G paragraph 4b(4)(f). The Command Reports Manager maintains a case file for each local report per paragraph 4b(4)(e) and Chapter 2 paragraph 7a populated per Appendix A. The unit commander signs the command directive. The S-1 officer signs by direction on routine case file actions. The HQMC AR (ARDB) program sponsor supports OMB approval submission for public information collections per Chapter 6 paragraph 1d and 5 CFR Part 1320. The staff section owning the local report provides the substance and the operational rationale.

Source documents flow from the staff section's information collection proposal, the redundancy review confirming no higher-authority form exists, the command directive publishing the requirement, the case file package per Appendix A, the RCS assignment, the audience scope determination (internal DoD versus public 10+ persons), and the OMB approval package when applicable. Local reports and OMB approval outputs include the published command directive listing local reporting requirements, the case file for each local report, the RCS assignment, the OMB-approved form for public collections, the cancellation record when a local report duplicates a higher-authority form, the case file update at each 3-year review, and the audit trail for IGMC inspection.

Per MCO 5214.2G paragraph 4b(4)(f), local reporting requirements publish in command directives so the requirement carries authoritative basis. Per paragraph 4b(4)(e) and Chapter 2 paragraph 7a, the case file documents the report's life. Per Chapter 6 paragraph 1d and 5 CFR Part 1320, public information collections of 10 or more members of the public route through OMB approval. Local forms and surveys shall not substitute for OMB-approved forms when collecting from the public.

Trigger events

• Staff section proposes a new local reporting requirement after redundancy review.
• Existing local report requires case file update at the 3-year review.
• Public information collection (10 or more persons) triggers OMB approval routing.
• New command directive issuance triggers case file refresh.
• Local report duplicates a higher-authority form triggering cancellation.
• IGMC Reports Management FA inspection notice arrives.

Processing workflow

1. Confirm the redundancy review completed. Per SECNAVINST 5210.16SECNAVINST 5210.16 paragraph 7d-f, the redundancy review precedes local report establishment.
2. Publish the local reporting requirement in a command directive. Per MCO 5214.2GMCO 5214.2G paragraph 4b(4)(f), the unit commander signs a command directive (order or bulletin) listing the local reporting requirement.
3. Establish the case file. Per paragraph 4b(4)(e) and Chapter 2 paragraph 7a, the Command Reports Manager establishes the case file documenting the local report's life.
4. Populate the case file. Per Appendix A, the case file carries:
   • The directive requiring the report.
   • The date required.
   • A sample of the report or a snapshot of the database screen.
   • The assigned Report Control Symbol (RCS).
   • The purpose of the information collection.
   • The audience scope.
   • The frequency and submission window.
   • The retention disposition per SECNAV M-5210.1.
5. Assign the RCS. The Command Reports Manager assigns the RCS per MCO 5214.2G structure. The RCS supports tracking and 3-year review.
6. Confirm the audience. Per Chapter 6 paragraph 1d, the audience drives OMB approval applicability. Internal DoD audiences (Marines, civilians, contractors performing official functions) do not require OMB. Public audiences (10 or more members of the public including family members, contractors outside official functions, community partners) require OMB approval.
7. Route public collections through OMB. Per Chapter 6 paragraph 1d and 5 CFR Part 1320, public collections route through OMB approval. The HQMC AR (ARDB) program sponsor supports the OMB submission package.
8. Coordinate OMB submission. The OMB approval package documents the purpose, the burden estimate (time and audience), the privacy considerations, and the proposed form. Approval timelines run on the OMB processing schedule.
9. Maintain case files in the continuity binder. Per paragraph 4b(4)(c), the binder holds the current case files.
10. Update case files at 3-year review. Per Chapter 5 paragraph 1, the 3-year review updates the case file with the determination (continuation, modification, cancellation).
11. Cancel local reports duplicating higher-authority forms. Per the 3-year review and the redundancy rule, the local report cancels when a NAVMC, DD, or SF form covers the same information.

Systems of record and forms

Systems

• Command Directives File. Per MCO 5215.1K. Holds the local reporting directive.
• Case File Repository. Per Chapter 2 paragraph 7a. Holds each local report case file.
• HQMC AR (ARDB) OMB Coordination Records. Supports public collection OMB submissions.
• Continuity Binder. Per paragraph 4b(4)(c). Holds current case files.

Forms

• Command Directive Establishing the Local Reporting Requirement. Per paragraph 4b(4)(f).
• Case File. Per Chapter 2 paragraph 7a and Appendix A.
• OMB Approval Package. Per Chapter 6 paragraph 1d and 5 CFR Part 1320.
• RCS Assignment Memorandum. Per Chapter 2.
• Cancellation Memorandum. Per Chapter 5 paragraph 2d.

Common pitfalls

• Local report established without a command directive. Per MCO 5214.2GMCO 5214.2G paragraph 4b(4)(f), the directive publishes the requirement.
• Case file missing or incomplete. Per Chapter 2 paragraph 7a and Appendix A, the case file documents the directive, date, sample, RCS, purpose, audience, frequency, and retention.
• Local form used for public information collection. Per Chapter 6 paragraph 1d and 5 CFR Part 1320, public collections (10+ persons) require OMB-approved forms.
• OMB approval skipped on public collection. Public information collections require OMB approval under the Paperwork Reduction Act.
• RCS not assigned. Without an RCS, the report tracking breaks.
• Case file not maintained in the continuity binder. Per paragraph 4b(4)(c), the binder holds the current case files.
• Local report duplicating a higher-authority form. Per SECNAVINST 5210.16SECNAVINST 5210.16 paragraph 7d-f, the higher-level form applies.
• Case file not updated at 3-year review. Per Chapter 5 paragraph 1, the review updates the case file.
• Cancellation without inventory update. Per Chapter 5 paragraph 2d, the Reports Inventory reflects the cancellation.

Decision points

• Public versus internal audience. Per Chapter 6 paragraph 1d, the audience drives OMB applicability. Family members, contractors outside official functions, and community partners count as members of the public.
• 10 or more persons threshold. Per 5 CFR Part 1320, the federal threshold is 10 or more members of the public. Below 10, OMB approval does not apply.
• RCS scope. The RCS reflects the originating activity and the report sequence per Marine Corps RCS structure.
• Cancellation timing. The Command Reports Manager sets the effective date considering the staff section transition and the submitters' notification needs.

Authority

This sub-page sits under MCO 5214.2GMCO 5214.2G paragraph 4b(4)(e) (Case File Maintenance), paragraph 4b(4)(f) (Local Reporting Directive), Chapter 2 paragraph 7a (Case File Establishment), Chapter 6 paragraph 1d (Public Information Collections), and Appendix A (Case File Template). 5 CFR Part 1320 implements the Paperwork Reduction Act (44 U.S.C. Chapter 35) covering OMB approval for public information collections. SECNAVINST 5210.16SECNAVINST 5210.16 sets parent DON policy. The IGMC Reports Management FA Checklist items 0201-0203 audit local reporting compliance.

Related references

• MCO 5214.2G paragraph 4b(4)(e), 4b(4)(f), Chapter 2 paragraph 7a, Chapter 6 paragraph 1d, Appendix A. Local report and OMB approval framework.
• 5 CFR Part 1320 and 44 U.S.C. Chapter 35. Paperwork Reduction Act.
• SECNAVINST 5210.16. Parent DON policy.
• IGMC Reports Management FA Checklist items 0201-0203. Audit baseline.