Records Management

1. First, determine if the files should be retired.

You should only retire records if they:

• Are no longer needed onsite or to meet audit or legal requirements.
• Are consulted less than once per month.
• Have a NARA-approved disposition from the General Records Schedules (GRS) or from the agency's records retention and disposition schedules, providing they are not eligible for destruction within 1 year from the date of transfer.

If the records have been completed or closed and are scheduled, determine the approved disposition. Do this by referring to the GRS or agency records schedules.

If you are not familiar with the records schedules and need assistance determining the retention period or other aspects of records disposition, believe the existing disposition is outdated, determine that the records are not scheduled, or are generally frustrated and need HELP, contact your Agency Records Management Officer (RMO).

The following records are not eligible for retirement to the WNRC:

• Nonrecord materials.
• Personal papers.
• Unscheduled records.
• Records eligible to be destroyed within one year.
• Contingent records for which disposition is dependent on some future event.
• Mixed or "commingled" records which contain more than one series and/or records with more than one disposition date, except when retiring single box accessions. (See #2, Segregate series.)
• Vital records consisting of emergency operating records.
• Electronic records.
• Personnel records. Official Personnel Files (OPFs) and Employee Medical Files (EMFs) must be retired to the National Personnel Records Center, St. Louis, MO. For further information on managing personnel records, refer to the Office of Personnel Management Guide to Personnel Recordkeeping .

2. Segregate each record series into separate accessions.

Records in different series or even records in the same series but with different cutoff dates, such as contract files closed in different fiscal years, should be retired to the WNRC under separate accessions.

An exception may be made when records measuring less than one cubic foot are to be retired. Give priority to filling the box rather than separating files by disposition date. For example, it is preferable to place two half cubic foot accessions of records in the same box rather than to retire two half-filled single box accessions.

3. Screen or weed the files.

Remove and destroy all nonrecord material such as duplicate copies or reference material. Segregate permanent records from temporary records, retiring each as a separate accession.

4. Obtain official records boxes.

Headquarters and field employees should obtain boxes through normal supply channels or order directly from the General Services Administration (GSA), as follows:

• NSN 8115-00-117-8249: Standard size - white, 14-3/4"x12"x9-1/2" used for standard and legal size file folders.
• NSN 8115-00-117-8338: Half size - natural (tan), 14-3/4"x9-1/2"x4-7/8" used for standard and legal size file folders, cassette tapes, microforms, and videos.
• NSN 8115-00-117-8347: Special use - white, 14-3/4"x11-3/4"x11-3/4" used for magnetic tapes.
• NSN 8115-01-025-3254: Special use - natural (tan), 14-3/4" x 6-1/2" x 4-1/2" used for microforms.

The boxes come in bundles of 25.

5. Box the files.

Box assembly instructions from the Guide to Records Center Services of the National Archives and Records Administration

• Place the records in proper order in records center boxes, following the same filing system used in the office. All records must be placed in folders and labeled with a unique and specific, meaningful title.
• Place the folders in the boxes facing forward, toward the front of the box which will be marked for identification, opposite the stapled end.
• Place letter size records in the box with folders facing you as you're looking at the labeled end, opposite the stapled end.
• Place legal size records in the box so that the labels face the left side of the box as you're looking at the labeled end.
• Do not overfill the boxes. Allow about an inch leeway in each box to work the files.
• Never place additional material on the bottom, side, or top of the records in the box.

PLEASE DO NOT MARK THE BOXES (EXCEPT IN PENCIL) UNTIL FINAL AGENCY/NARA APPROVAL IS GRANTED.

6. Create a box inventory (preferred), or complete SF-135A.

Complete the SF-135-A, or, using Word or Excel, prepare a box list (this is the preferred method) of the contents of each box in order systematically, box by box. The list should be in letter-landscape format showing each folder’s subject title, file number, and any other identifying information, as described in the records disposition instructions and according to the agency filing scheme. Identify the organizational component which created the records. Also include headings for each category of information provided, such as title or name, filing code, description, or date, along with page numbering at bottom-center, for easy reference. For subject files or case files containing materials spanning more than 1 year, note the date span for each folder. If there are two or more folders with the same case or subject title, note the number of folders on the box list.

See Sample Box Lists below for examples.

(SAMPLE BOX LIST Letter-Landscape Format) Please allow a 3/4" top margin for three ring binder holes... Thank You!   ARS OCIO CSB T&As - Leave Year ______
Box 1 of 2
Last Name, First Name M.I.	Social Security Number	Comments
Andrews, Michael M	000-00-0000	Retired
Brown, Teresa C.	000-00-0000	Transferred
Castillo, Louisa C.	000-00-0000
Diaz, Kathleen T.	000-00-0000
Gulianni, Toni S.	000-00-0000
Huggins, Bubba B.	000-00-0000
Pasternack, Louis M.	000-00-0000
Rodriguez, Timothy T.	000-00-0000

.

(SAMPLE BOX LIST Letter-Landscape Format) Please allow a 3/4" top margin for three ring binder holes... Thank You! ARS AFM HRD SOB T&As - Leave Year ______
Box 2 of 2
Last Name, First Name M.I.	Social Security Number	Comments
Salazar, Patrick A.	000-00-0000
Tobias, Immanuel C.	000-00-0000
Unger, Dominick E.	000-00-0000
White, Allen R.	000-00-0000

Although the WNRC only requires inventories of permanent records, the RMO requires SF-135As or box lists for all transfers, in order to facilitate retrieval.

7. Prepare Standard Form 135.

Form SF-135 is available through the Informs application, or as a Word document from the RMO. Complete the following sections:

• Block 1. The WNRC (Suitland) mailing address is:

  Washington National Records Center
  4205 Suitland Road
  Suitland MD 20746-8001

• Block 3, Agency Contact. Include the name, office, phone number, and email address of the person who knows the files and can answer any questions about them.

• Block 6(d), Volume. Include the number of cubic feet of records (1 standard records box = 1 cubic foot).

• Block 6(f), Series Description. Provide a complete and accurate description of the records from the records schedule including dates of the files. Also show the complete agency name at the top of this column.

• Block 6(g), Restrictions. Most accessions are "N" or not restricted. Other files such as EEO-grievance files, that have limited access, should be identified with an "R" for restricted. List the names of persons who are authorized to have access to the restricted files on the SF-135 in the Series Description, block 6(f).

The restriction codes are as follows:

C - Confidential security classification

N - No restrictions

Q - Q-security classification

R - Restricted use - witnessed disposal not required (specify in column [f])

S - Secret security classification

T - Top Secret security classification

W - Restricted use - witnessed disposal required (specify in column [f])

• Block 6(h), Disposal Authority. Cite the GRS or agency schedule and specific item number authorizing disposal. Give the NARA disposition job and item number if it has not been incorporated into the agency records schedules.

The RMO will review and complete the rest of the form, forward it to the WNRC, and send you a copy via email.

8. Forward the completed SF-135 and SF-135A/box list to the RMO for clearance.

Email the documents to Jim.Neal@ars.usda.gov.

Upon receipt of the SF-135 the RMO will review the SF-135A or box list and review and complete the SF-135. Once it is approved by the RMO, the accession is assigned a number consisting of three separate codes. The first is a three digit code, the record group number; the second, a two digit number, the fiscal year; and the third is a unique number assigned by the RMO in consecutive order based on the total number of accessions retired for the agency. After the accession number is assigned, the RMO forwards an electronic copy of the completed form to the WNRC.

9. Prepare the boxes for shipping.

The WNRC will send an electronic copy of the approved form via email to the agency contact and to the RMO. Make one copy for your records, and place another in the first box of the accession, along with the box list or SF-135A.

Make sure the boxes are ready for transfer, as follows:

• Mark the boxes with the appropriate accession and box number(s) found in columns 6(a), (b), and (c) of the SF-135, using a black felt-tip marker. Write in large, bold numbers, filling the blocks provided.

• Write the accession number in the upper left hand corner (e.g., 310-99-0010) and the box number in the upper right hand corner (e.g., 1 of 2, 2 of 2).

• Close the box(es) by interlocking the top flaps inside each other.  DO NOT TAPE THE BOXES UNLESS SHIPPING BY COMMERCIAL CARRIER. If you have to use tape, do not obstruct the markings, and affix packing labels to the top of the box.

10. Ship the boxes.

Contact the USDA Courier Services at 202-720-5869, who will arrange for pick up and delivery to the WNRC.

After the records are shelved, the WNRC will send the RMO a copy of the SF-135 which will include the shelf assignment code showing exactly where the records are located. The RMO will forward a file copy of this SF-135 to you and will keep a copy for the central files. Please retain your copy in case the records have to be retrieved from the WNRC at a later date.

Follow Steps 1-6 above.

7. Prepare Standard Form 135.

The form is available through the Informs application or as a Word document from the RMO. Complete the following sections:

• Block 1. Enter the mailing address of the FRC that services your agency. A list of FRCs with a map can be found at http://www.archives.gov/facilities/index.html, or consult your RMO.

• Block 3, Agency Contact. Include the name, office, phone number, and email address of the person who knows the files and can answer any questions about them.

• Block 6(d), Volume. Include the number of cubic feet of records (1 standard records box = 1 cubic foot).

• Block 6(f), Series Description. Provide a complete and accurate description of the records from the records schedule including dates of the files. Also show the complete agency name at the top of this column.

• Block 6(g), Restrictions. Most accessions are "N" or not restricted. Other files such as EEO-grievance files, which have limited access, should be identified with an "R" for restricted. List the names of persons who are authorized to have access to the restricted files on the SF-135 in the Series Description, block 6(f).

The restriction codes are as follows:

C - Confidential security classification

N - No restrictions

Q - Q-security classification

R - Restricted use - witnessed disposal not required (specify in column [f])

S - Secret security classification

T - Top Secret security classification

W - Restricted use - witnessed disposal required (specify in column [f])

• Block 6(h), Disposal Authority. Cite the GRS or agency schedule and specific item number authorizing disposal. Give the NARA disposition job and item number if it has not been incorporated into the agency records schedules.

• Block 6(i), Disposal Date. Calculate the disposal date by applying the disposition authority in (h), citing the month and year. Consult the RMO if you have any questions.

8. Obtain accession numbers from the FRC that services your area.

If you need assistance, contact the RMO.

9. Forward the completed SF-135 to the FRC.

Sign and forward the original and one copy to the FRC servicing your area, or submit an electronic copy via email. Hold one copy for your suspense file, and mail or email a copy to the RMO. The FRC will review the SF-135 for completeness and accuracy. When it is approved, normally within 10 business days, the FRC will return an approved copy of the SF-135 to you authorizing shipment of the boxes.

10. Prepare the boxes for shipping.

Make one copy of the approved SF-135 for your records, and place another in the first box of the accession, along with the box list or SF-135A.

Make sure the boxes are ready for transfer, as follows:

• Mark the boxes with the appropriate accession and box number(s) found in columns 6(a), (b), and (c) of the SF-135, using a black felt-tip marker. Write in large, bold numbers, filling the blocks provided.

• Write the accession number in the upper left hand corner (e.g., 310-99-0010) and the box number in the upper right hand corner (e.g., 1 of 2, 2 of 2).

• Tape the boxes if they are going to be shipped by a commercial carrier. Be sure not to obstruct any markings. Do not place the shipping labels on the front of the boxes; affix labels to the top only.

11. Ship the boxes.

After the records are shelved, the FRC will send you a copy of the SF-135 which will include the shelf assignment code showing exactly where the records are located. Please retain your copy in case the records have to be retrieved from the FRC at a later date, and forward a copy to the RMO for the central files.