UPB and SRB Records Management

Three Records, Three Layers

The discipline records substrate has three tiers. Each has a distinct purpose, custodian, and retention rule.

The UPB is the operational record. The SRB is the Marine's local file. The OMPF is the permanent HQMC record. An entry in one without the others is incomplete.

The Unit Punishment Book

The UPB is the unit-level record of NJP and related disciplinary actions. NAVMC 10132 (Rev. 08-2023) is the current form.

What goes in the UPB

Organization

Per MCO 5800.16 Vol. 14, the UPB is organized:

• Calendar year basis. Each year's entries are kept together.
• Sequential entry. Entries are numbered or otherwise sequenced.
• Indexed by member. A member-name index allows lookup.
• Hard copy or electronic per local SOP. Both formats are used at units.

Retention

3-year retention from the date of entry. After 3 years, UPB entries are reviewed for archive or destruction per Records Management procedure. The 3-year window covers most appeal and review periods.

Signature

The imposing authority (typically the CO) signs the UPB entry for each NJP. Signature confirms:

• The NJP proceeding occurred
• The findings recorded are accurate
• The punishment imposed is within authority
• Rights advisement was complete
• Appeal rights were communicated

A UPB entry without imposing authority signature is procedurally defective.

UPB at turnover

Per the Turnover topic, the incoming CO takes physical custody of the UPB at Day 0-7. The outgoing CO briefs every open case. The UPB sequence continues without break.

The Service Record Book

The SRB is the Marine's local record. The S-1 maintains it. Per MCO P1070.12 IRAM, the SRB contains pages documenting service history, training, awards, discipline, and administrative actions.

Pages most relevant to commanders

The Page 11 page is the most-touched by the CO. The Page 11 Entries page in this topic covers the specific procedural rules.

SRB integrity

The S-1 audits SRB integrity periodically. The CO's role:

• Confirm entries directed by the CO are present
• Identify missing or stale entries during personnel actions
• Coordinate with IPAC on records corrections
• Verify SRB completeness at PCS or separation

SRB at separation or PCS

When a Marine separates or PCSes, the SRB closes (separation) or transfers (PCS). Incomplete entries at this point become persistent gaps in the Marine's record.

The Official Military Personnel File

The OMPF is the permanent record at HQMC. Stored electronically. Accessible via the records management chain.

Routing to OMPF

Every disciplinary action routes through IPAC to the OMPF. The flow:

1. Unit creates UPB entry, Page 11 entry, or other record
2. S-1 prepares the record package
3. Record routes to IPAC for processing
4. IPAC uploads to OMPF
5. Record becomes permanent

Why OMPF matters

OMPF is the record following the Marine to:

• Future promotion boards
• Future selection boards
• Future security clearance investigations
• Veterans Affairs benefits decisions
• Civilian background investigations involving military service
• Recall to active duty actions

An entry existing only at unit level (UPB) without OMPF routing is invisible at every future personnel decision.

Verification

The Marine has the right to review their OMPF. Marines occasionally discover missing or incorrect entries during review. The CO supports record correction requests where merited.

NAVMC 10132 (Rev. 08-2023)

The current UPB form. Key features:

• Calendar-year organization
• Standardized entry format
• Imposing authority signature block
• Appeal disposition block
• Member acknowledgement block

Older revisions of the form often exist in unit files. The current revision (08-2023) is the standard for new entries.

Records Management Across the Discipline Cycle

A complete NJP cycle produces records at every tier.

Each step has owners and timelines. Skipped steps create persistent gaps.

CIRRAS as Adjacent Record

CIRRAS is the Force Preservation record. Disciplinary actions are CIRRAS-relevant events updating the Marine's risk indication. The CIRRAS record is separate from UPB, SRB, and OMPF but integrates with them.

When NJP imposes a reduction, the CIRRAS profile updates to reflect:

• Risk indication change
• Active stressor (disciplinary action 90-day high-risk window per the Suicide Prevention guide)
• Leadership action taken
• Resources offered

The Force Preservation topic covers CIRRAS in depth.

Privacy Act and Records Access

Discipline records contain Privacy Act-protected personal information. Per 5 USC 552a:

• Records are accessed on a need-to-know basis
• Distribution is restricted
• Marines have the right to access their own records
• Third-party disclosure requires Privacy Act exception or Marine consent
• FOIA responses redact appropriately

A CO who shares UPB content informally violates Privacy Act protections. Stick to formal routing.

Records Management at Turnover

Per the Outgoing CO Master Checklist in the Turnover topic, the outgoing CO confirms:

• UPB is current and signed through date of relief
• All Page 11 entries directed by outgoing CO are signed and routed
• No discipline actions pending the outgoing CO's signature
• UPB physical custody is transferred to incoming CO

A UPB with unsigned entries at the moment of relief is a procedural defect on the outgoing CO.

Common Failures

1. UPB entry without imposing authority signature. Procedural defect.
2. Wrong revision of NAVMC 10132 used. Form deficiency.
3. UPB not routed to OMPF. Discipline action lost at separation processing later.
4. 3-year retention not maintained. Records destroyed too early. Appeal or review window often extends.
5. Privacy Act violation on UPB sharing. Personal information leak.
6. Discipline action recorded in UPB but not on Page 11. Inconsistent records. Marine challenges.
7. NJP imposed but pay impact directive not executed via UD/MIPS. Pay continues at old grade despite reduction. Long-tail correction nightmare.
8. CIRRAS not updated for the disciplinary event. Force preservation gap.

CO Discipline on UPB and SRB

The CO does not maintain the UPB personally. The CO directs the integrity of the record.

• Spot-check the UPB monthly
• Verify recent NJP entries are signed and complete
• Confirm UPB routing to OMPF is current
• Audit Page 11 entries for completeness during quarterly review
• Coordinate with S-1 on any SRB integrity issues identified

A CO who reviews the UPB only at turnover misses the running gaps.

Decision Framework on Record Integrity

When a discipline-related record question arises:

1. Which record is involved (UPB, SRB Page 11, OMPF)?
2. Is the entry complete (signature, acknowledgement, routing)?
3. Has the entry been routed to OMPF?
4. Is the retention timeline respected?
5. Are Privacy Act protections in place?
6. Is the Marine aware of the record and right to review?
7. Is correction warranted?

A "no" on any of these is a sign to coordinate with S-1, SJA, or IPAC for correction.

Related Pages

• Discipline and Records Overview (this topic, order 1)
• NJP Routing and Commander Authority (this topic, order 2) - the procedure feeding UPB entries
• Page 11 Entries (this topic, order 3) - the SRB-side counterpart
• Convening Authority and Courts-Martial (this topic, order 4) - higher-tier disciplinary record flow
• Command Investigations (this topic, order 5) - investigation reports as adjacent record set
• CIRRAS Commander Role (Force Preservation topic) - the parallel risk record
• Outgoing CO Master Checklist (Turnover topic) - UPB turnover requirements