Rcds Transfer & Retrieval Instructions

INSTRUCTIONS FOR TRANSFERRING

AND RETRIEVING RECORDS

September 2007

CONTENTS

• How to Obtain Records Center Boxes

• How to Prepare Inactive Records for Transfer

• How to Ship Records

• How to Prepare the SF 135, Records Transmittal and Receipt

• How to Retrieve Records

HOW TO OBTAIN RECORDS CENTER BOXES

Federal record center boxes (NSN 8115-00-117-8249) are one cubic foot in size and are designed for packing and storing letter and legal sized files. The exterior is white with printed spaces on the front, and instructions on the sides, to facilitate proper marking for transfer to the Federal Records Centers. These are NOT the brown boxes that are used when moving offices and files. The Washington National Records Center and regional Federal Records Centers will not accept records in brown moving boxes or any cartons other than records center boxes.

The Javits-Wagner-O'Day (JWOD) Act requires government offices to procure certain office supplies and services from an organization that provides employment and services to the legally blind and severely disabled. Paperclipsetc is a JWOD organization that maintains a store in room B-322 in the HCHB that stocks the boxes. The boxes may also be ordered using their Web site (www.paperclipsetc.com); calling 202-482-3554; or sending a fax to 202-501-6630. The Paperclipsetc catalog also uses the 8115001178249 for ordering. The boxes come in bundles of 25 (BDL 25) for $64.65. Individual boxes are not available for purchase.

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HOW TO PREPARE INACTIVE

RECORDS FOR TRANSFER

Offices are required to maintain adequate and proper documentation of their organization, activities, and functions. Records may be destroyed and/or transferred to the Washington National Records Center or regional Federal records centers only in accordance with a records control schedule approved by the National Archives and Records Administration (NARA). This may be the General Records Schedules (GRS) or the record schedule(s) for your office or operating unit. The GRS and current records schedules for the Office of the Secretary are on this website.

The Records Management Staff, OCIO, provides records transfer and retrieval services for Office of the Secretary offices, EDA, MBDA, and NTIA. Offices in other operating units should contact their Records Management Officer (see the Records Management Contacts link on this website) and follow their internal procedures.

The steps for preparing records for transfer are:

• Obtain Federal records center storage boxes in accordance with the instructions below. NOTE: Only these boxes can be used to transfer records. Moving boxes are not acceptable.

• Correctly assemble the boxes, ensuring that the inside flap that is to be pushed down to the bottom of the box is positioned correctly so as to ensure that the bottom of the box will securely support the weight of the records.

• Do not permanently mark the boxes until after the associated paperwork is completed and approved by the records management officer. It is appropriate to unobtrusively and lightly pencil mark the boxes with information, such as box numbers, that is necessary to keep track of the boxes until they are ready to be permanently marked.

• Prepare the SF 135, Records Transmittal and Receipt, for the records to be transferred. The SF 135 is available in a screen fillable Excel version on this website. There are detailed instructions on the back page of the form and two pages below.

• Prepare a list of folders/contents in each box and attach it to the SF 135.

• Submit the completed SF 135 and folder list to the Records Management Staff. The paperwork will be reviewed for completeness and accuracy. In some cases, it may be necessary for the records to be examined to ensure that the records schedule item and retention period are appropriate.

• At the same time as the SF 135 is returned, copies will be sent to WNRC for their review and approval and assignment of shelf space, which may take several weeks.

• After review, a copy of the SF 135 will be returned with an accession number. This number should be written in the spaces provided in the top left hand corner on the front of each box in the accession. The markings should be done with a heavy black felt-tip marker and in 1 ½ inch high digits so that the accession number will be easily visible from a distance since these boxes will be stored in a warehouse type setting.

• The box numbers, e.g., 1 of 10, 2 of 10, and so on, should be similarly marked in the space provided at the top right hand corner of the front of the box. DO NOT PUT ANY OTHER MARKINGS ON THE BOX.

HOW TO SHIP RECORDS

Offices are responsible for arranging for the shipment of their records to the Washington National Records Center (WNRC). The procedures for this are:

• Place a copy of the approved SF 135 (without the attached box list) in the first box of the accession. If several accessions are being shipped at the same time, place each SF 135 in the first box of the accession to which it relates.

• Tape the top of the box. DO NOT TAPE OVER THE ACCESSION OR BOX NUMBERS ON THE FRONT OF THE BOX.

• Prepare and place one label on ONLY one box in the shipment. The HCHB mailroom will use this label to generate bar coded mailing labels for all of the boxes in the shipment. The address is:

Washington National Records Center

4205 Suitland Road

Suitland, MD 20746-8001.

• After the above is completed, call the mailroom at 482-4447 for pickup of the records. The boxes will be shipped via FedEx Ground Service, and the office must provide the same two digit number that is used for postal service. The current base rate is $6.24 per 25 lbs. before a discount that the Department receives. Any shipment that totals over 200 lbs. is even more deeply discounted.

• This service cannot be used for security classified records, which must be shipped using the U.S. Postal Service and in accordance with the packaging and security requirements appropriate to the classification level of the records. Please contact Records Management before shipping any security classified records.

HOW TO PREPARE THE SF-135,

RECORDS TRANSMITTAL AND RECEIPT

The SF-135 provides the following basic information necessary for transferring records to a WNRC: an accession number that identifies each box or group of boxes; the total number of boxes in the accession; the file title and data span of the files; the Agency's Record Control Schedule (RCS) Number; the number of the file title in the RCS and the date the records will be destroyed.

Item No. 1 Washington National Records Center

4205 Suitland Road

Suitland, MD 20746-8001

Item No. 2 Department Records Management Officer

Item No. 3 Dan Rooney, OCIO, 202-482-0517

Item No. 4 Leave Blank

Item No. 5 U.S. Department of Commerce

Records Management Unit, OCIO

HCHB Room 6625

14^TH & Constitution Avenue, N.W.

Washington, D.C. 20230

Item No. 6 The accession number will be assigned by the

a thru c Records Management Staff.

Item No. 6d The total number of boxes that comprise this

particular accession.

Item No. 6e The inclusive box numbers being transferred in this

accession.

Item No. 6f Name of the Operating Unit,

Name of the Program Office

Name of the Organizational Element (office that created and/or maintained the records being transferred).

Two lines below this type:

Name of the files as they appear in the file title (from the Record Control Schedule) and the inclusive dates.

Item No. 6g The restriction code (one letter) that applies to these records. See the reverse side of SF-135 for Restriction Code and explanation. The code for most records is “R” (restricted use). Security classified records are coded Q, T, S or C.

Item No. 6h The Records Control Schedule Job Number (pick the appropriate one):

O/S NCI-40-79-1 or subsequent RCS

EDA NCI-378-79-2 or subsequent RCS

MBDA NCI-427-77-1

NTIA NCI-417-79-1

Immediately below this type the item number from the RCS that applies to the records being transferred.

Item No. 6i The month and date the records are to be destroyed.

Item No. 6 The location information will be completed by WNRC.

J thru m

HOW TO RETRIEVE RECORDS FROM

THE WASHINGTON NATIONAL RECORDS CENTER

Files transferred to the Washington National Records Center (WNRC) are easily retrieved. When requesting a box or file folder please provide the Records Management Staff the following information:

• the accession number (from the SF-135)

• the box number(s) (from the SF-135)

• file folder title(s) from the supplemental box list

Contact: Dan Rooney

Records Management Officer

Ph.: 202-482-0517 (Room 6889)

Fax: 202-482-4218