The FRC Toolkit
Your Guide to the Federal Records Center Services
(View PDF Version - 67KB )
GENERAL INFORMATION
Introduction
For more than 50 years the National Archives and Records Administration (NARA)
and its predecessor agencies have provided comprehensive records management
services to the Federal Government. The first Federal Records Center (FRC) opened
in 1950. Since then, the NARA Federal Records Center system has grown into a
national network of 17 regional facilities, storing and providing access to
over 25 million cubic feet of records. In 1999, the FRC system converted to
a reimbursable program that has provided the Federal community with exceptional
records center services on a fully fee-for-service basis.
This FRC Toolkit is intended to serve as a resource for Federal employees
with records management responsibilities. It provides step-by-step instructions
for transferring, retrieving, and returning records to a Federal Records Center
as well as information on records disposition and accession of records into
the National Archives at the end of their retention schedule. It also provides
definitions of key terms, which are highlighted throughout the document.
Authority
NARA is authorized to establish, maintain, and operate records centers for
Federal agencies under 44 U.S.C. 2907 and to approve a records center that is
maintained and operated by an agency under 44 U.S.C. 3103. NARA is also authorized
to promulgate
standards, procedures, and guidelines to Federal agencies with respect to the
storage of their records in commercial records storage facilities under 44 U.S.C.
2104(a), 2904, and 3102. NARA is authorized to determine the disposition of
Federal records under 44 U.S.C. 2904. (The U.S. Code is available online ( http://www.gpoaccess.gov/us code.htm.)
Federal Records Center Staff
NARA's Federal Records Center staff is a dedicated team of professionals with
expertise in all aspects of records management. This team includes agency-specific
account representatives at NARA headquarters in College Park, MD, and local
Federal Records Center Directors and their staffs in the regional facilities.
These staff members will work with you to identify and meet your agency's unique
needs.
Your agency's invoice
is now available in electronic format via PDF. Avoid mail delays-contact your account representative to receive your invoice
electronically.
ACCOUNT REPRESENTATIVES serve as your agency records officer's point of contact
with NARA. Account representatives can also provide information on billing and
special services. In addition, account representatives facilitate preparation
of Interagency Agreements for agency customers. See Account Representatives (www.archives.gov/frc/acct-reps.html).
FEDERAL RECORDS CENTER DIRECTORS and their staff members provide reference,
transfer, and disposition information and answer operational questions from
Federal offices within their service areas, including the availability of special
services. See Directors (www.archives.gov/frc/directors.html).
FRC on the Web
Information on the FRC is available online (www.archives.gov/frc).
The web site links to forms, web sites of local FRCs, Federal regulations, staff
contacts, and other key information.
Materials and Supplies
The FRCs require agencies to use specific types of materials for preparing
records transfers. These supplies and forms are available on the
GSA web site (www.gsaadvantage.gov). In FY 2008,
standard-size record boxes can be ordered directly from the FRC. Please visit
the FRC web site (www.archives.gov/frc) for
updates.
BOXES
- Standard-size record box (14¾" x 12" x9½") for legal- or
letter-size files (NSN 8115-00-1178249).
Please note: Boxes exceeding these dimensions will not fit on FRC shelving.
If your records do not fit into a standard box with these measurements,
please call your local FRC to discuss alternatives before choosing a different
size box.
- Special-purpose boxes
- Half-size box (14¾" x9½" x4¾")
NSN 8115-00-117-8338
- X-ray box (18" x 15" x5½")
NSN 8115-00-290-3386
OTHER USEFUL MATERIALS
You may also wish to purchase the following supplies to prepare your records
for shipment to the FRC:
- Clear packing tape (does not obscure numbers)
- Black felt-tip markers
Top of Page
TRANSFERRING RECORDS TO A FEDERAL RECORDS CENTER
This section provides information on organizing your records for transfer;
completing, submitting, and receiving approval for the Standard Form 135; packing
and labeling your boxes and pallets; sending your shipment to the FRC; and retaining
appropriate documentation. If you have questions on any step of the transfer
process, please call the staff at your local FRC for guidance.
Please note that the National Personnel Records Center (NPRC) in St. Louis,
MO, has special procedures for transferring records. If you are transferring
records to NPRC, please see the Transfers section of this Guide.
Organizing Your Records
Before transferring records to the FRC, separate the record series having the
same disposition authority records into series. Each item or subordinate item
in your records schedule represents a series. Identify and separate
your records into series by records schedule item number and cutoff date. Each
series will be handled as a separate transfer. Each transfer must consist
of at least one box and normally only one closing year date for a series of
records. FRCs may accept more than one year of records in a transfer.
A series is a block of
records having the
same disposition
authority and same
disposition date.
Transfer vs. Accession
Transferring refers
to moving records
into the physical
custody of a NARA
Federal Records
Center. The transferring
agency retains
the legal custody of
transferred records
until final disposition.
When permanent
records are
accessioned into the
National Archives
NARA takes legal
custody of the
records, and in most
cases takes physical
custody of the
records as well.
Accessioned records
become the property
of NARA.
TIPS FOR PACKING THE RECORDS
(See Figures 1 and 2)
- Please do not over pack the boxes. Leave a 1 - to 2 - inch space in each
box to allow ease of reference.
- Do not put additional material on the bottom, side, or top of the records
in the box.
- Mixed media (e.g., computer diskettes, microfilm, or videocassettes) cannot
be stored in the same environment as paper records. Please do not include
these media in the same transfer with paper records without prior approval
from the FRC.
PACKING PALLETS
Local FRCs differ slightly regarding the stacking of pallets and the preferred
order of boxes on pallets. Please contact the transfer office at your local
FRC to confirm proper box order for your FRC (e-mail addresses are available
on the FRC Directors' page (www.archives.gov/frc/directors.html). Pallets should
be securely banded with shrink-wrap, steel, plastic, or cord strapping before
shipping.
Preparing and Submitting the Standard Form 135, Transmittal and Receipt Form
The SF 135 contains important information about your transfer that enables
the FRC to properly document, store, and service your records. A completed SF
135 must be sent to your records center for approval before shipping records.
A separate SF 135 is required for each individual record series having the same
disposition authority and disposition date. The current version of the form
is available online (www.archives.gov/frc).
Did you know?
NARA no longer requires original signatures on the SF 135. Save time and submit your
SF 135 electronically.
FILLING OUT THE SF 135
- Item 1: Enter the name and address of the FRC to which you are submitting
records. See FRC Directors (www.archives.gov/frc/directors.html)
for the most current address information.
- Item 2: Enter the name of the transferring agency official. To expedite
and improve the transfer process for our customer agencies, FRCs will accept
SF 135s without original signatures. Please note that your agency may have
internal procedures that require signatures. If you are in doubt, please contact
your agency's records officer.
- Item 3: Provide the name, office, business telephone number (including area
code), and e-mail address of the person to contact about the records.
- Item 4: Completed by the FRC.
- Item 5: Provide the complete address of the transferring office. If records
come from one office, but the SF 135 should be sent to a different office,
please include BOTH addresses. Specify where the approved SF 135 should be
sent, and where the final SF 135 should be sent.
- Item 6: This three-part number comprises the accession number (also called
the transfer number).
- Item 6(a): Enter the NARA record group number assigned to the records of
the agency making the transfer.
- Item 6(b): Enter the last two digits of the current fiscal year.
- Item 6(c): Unless NARA has granted authorization to your agency to pre-assign
numbers, FRC staff will assign a sequential number in this column. At the
Washington National Records Center (WNRC), agency records officers typically
control and assign transfer numbers.
- Item 6(d): For transfer and billing purposes, a standard-size box equals
one cubic foot. Enter the total number of boxes included in this transfer.
If the records do not fit in a standard records center box, leave this column
blank, add the dimensions of the container to item 6(f), and contact the FRC
staff to verify acceptance.
- Item 6(e): Enter the inclusive range of numbers (e.g., 1-30).
- Item 6(f): Describe the records in sufficient detail to allow FRC personnel
to verify compliance with your records schedule. You may wish to use the series
description provided in your Records Control Schedule, or the General Records
Schedule. A complete series description includes the series title and closing
date (or inclusive dates) of the records.
- Include the organizational component that created the records if the component
is other than that described in item 5.
- Indicate in this section if the series of records is subject to the Privacy
Act. Since SF 135s are public records, information included on SF 135s (including
folder title lists) should not contain National Security Classified information
or information restricted by exemption B6, the Freedom of Information Act.
- If the records are scheduled for permanent retention, are unscheduled,
or if disposition instructions indicate sampling records is necessary, you
must include a detailed folder listing for each box in item 6(f) (if space
permits) or as an attachment. If you are submitting the SF 135 electronically,
you may send the listing as a separate e-mail attachment.
- Special description requirements apply for certain records and should be
stated in item 6(f):
- Stratified Report Invoicing: For agencies participating in Stratified Report
Invoicing, a caret (^) followed by a valid two-digit charge code must be placed
at the beginning of the series description.
- Site Audit Records: State "GAO Site Audit" if the records have
been so designated by the Government Accountability Office, and indicate whether
the site audit records pertain to Native Americans
- Non-paper-based and special format records: These can include records such
as microfilm, engineering drawings (because of their special format), electronic
media, etc. Include the format type in 6(f) (see www.archives.gov/frc/codes.html
for information on specific codes for non-textual record types).
- Item 6(g): Restrictions
- If your records pertain to National Security Information, you must complete
this section using one of the three National Security Classification codes
(C=Confidential, S=Secret or T=Top Secret). Please note that the codes Q,
R, or W (listed on the back of the SF 135) should no longer be used. If you
designate a National Security Classification, you MUST also indicate whether
the records are designated
as Code E (Restricted Data or Formerly Restricted Data). For further information,
please see EO 12356 (http://www.archives.gov/federal-register/codification/executive-order/12356.html), later amended by EO 13292 (http://www.archives.gov/isoo/faqs/eo-12958.html).
- At agency request, FRCs can store non-National Security Classified records
in vault storage for an additional fee. To request vault storage, please use
code A in item 6(g). If you are unsure whether your agency has authorized
funding for vault storage for your records, please contact your agency's records
officer
- If there are no special restrictions on your records, you may designate
code N or leave this section blank. In this case the default restriction (restricted
to authorized agency users and researchers) will apply.
- Cite the appropriate schedule identifier and item number in your agency
records schedule or the General Records Schedule (GRS). For accountable officers'
records, cite the appropriate item from GRS 6. You may also use the General
Records Schedules (36 CFR Subpart C 1228.40-46)
when dealing with records common to most offices such as contracts, travel
and transportation records, and similar records. If you need further assistance,
contact your agency's records officer. Also indicate in this section if the
records are subject to extended retention, commonly known as a "freeze"
on destruction. The "freeze code" is a three-letter designation
created by FRC staff to identify the freeze pertinent to the records.
- Item 6(i): Follow the instructions on your Item 6(i): Follow the instructions
on your records schedule to compute the disposition date. Because disposal is accomplished in quarterly cycles (i.e., January,
April, July, and October), advance the date to the beginning of the next calendar
quarter to obtain the actual date of disposal. For example, if the ending
date of your records is September 2006, and the retention period is three
years, then the disposal date will be October 2009. Permanent records are
offered to the National Archives on an annual basis; no month is shown in
the disposition date field. Place "P" after the offer year. If records
are unscheduled, please indicate "U" in this section.
- Item 6(i), 6(k), 6(l), and 6(m) are completed by FRC personnel.
Stratified Report
Invoicing refers to
billing that is broken
out by different
functions and/or
geographical locations
within the
same agency. If you
are unsure whether
your agency participates
in Stratified
Report Invoicing,
contact your
agency's records
officer, or your
NARA FRC account
representative (www.archives.gov/frc/acct-reps.html).
Submitting the SF 135
Agencies may transmit the SF 135 to FRCs either in hard copy or electronically.
Submitting the form electronically reduces mail time, is more secure, and allows
revisions to be made in a timely manner. You may obtain an electronic version
of the SF 135 online in Word or PDF format (www.archives.gov/frc/sf-135-intro.html).
Before shipping records, you must send a completed SF 135 to your local FRC
and receive approval of the form from the center. The "transfers"
e-mail address for each FRC is available online (www.archives.gov/frc/directors.html).
A separate SF 135 is required for each individual record series having the same
disposition authority and disposition date. For instructions on completing the
SF 135, please see the "Filling out the SF 135" section of this guide
or page 2 of the SF 135.
Each individual
record series being
transferred requires
a separate SF 135.
See 36 CFR
1228.160 (e) for
more details.
Approval of the Standard Form 135 and Preparation for Transfer
After you submit the SF 135, the FRC staff will review it to ensure that it
is complete and accurate. FRC staff will then assign the transfer number and
will return one copy of the SF 135 to you within 10 working days, authorizing
shipment of the boxes. You must include a copy of the approved SF 135 in box
#1 of each transfer. If you submitted a SF 135 electronically, print out the
approved copy of the SF 135 that was e-mailed back to you by the FRC and place
it in the first box as the "shipment" copy. If the boxes or other
containers are sealed and must not be opened by NARA staff, place this shipment
copy in an envelope securely taped to the outside of box #1.
Always retain a copy of the detailed box content listing so that you may provide
agency box numbers when requesting reference service. We also strongly recommend
that you include a copy of the box content listing in box #1.
FRC staff can prepare
detailed folder
indexing for your
transfers on a fee for-
service basis.
Please see the
"Special Services"
chapter of this guide
for more details.
After the FRC staff shelve the records, they will issue a records center location
number and will return a completed, signed copy of the SF 135 to you as an official
receipt. FRC staff will add the location of the records to the receipt copy
of the SF 135. Your agency staff will use this location information when requesting
records. This receipt copy is your official record of the transfer and should
be retained in your files.
Freeze--In records
disposition, those
temporary records
that cannot be
destroyed on schedule
because of special
circumstances,
such as a court
order or investigation,
require a temporary
extension of
the approved retention
period.
Unscheduled
records are Federal
records whose final
disposition has
not been approved
by NARA in a
records schedule.
An active record is a
record necessary to
conduct the current
business of an office.
Transfers typically
contain one
series--the records
all have one subject,
function, or activity
in common.
Mixed series are
records grouped
together into
a transfer that do
not have any
relationship with
each other, aside
from being from the
same agency or
office. Mixed-series
records may have
different disposition
authorities but must
have the same disposition
date.
Permanent records
are records that
warrant preservation
by the Federal
Government beyond
the time they
are needed for
administrative,
fiscal, or legal
purposes because of
their historical or
other value. The
National Archives
makes the final
determination on
permanent records
(see 44 USC 29).
NOTES ON SPECIAL TRANSFERS
The majority of transfers to FRCs are paper-based, long-term, scheduled, temporary,
non-classified records. If your transfer does NOT fall into these categories,
please note the following:
- Unscheduled Records
In order to transfer unscheduled records to an FRC, agencies must:
- Inform NARA's Life Cycle Management Division (NWML) in writing prior
to the transfer. This can be done by sending NWML a copy of the SF 135
submitted for FRC approval before transferring the unscheduled records
to the FRC. Be sure to include on the SF 135 the date you notified NWML,
or include the number of a pending SF 115, Request for Disposition Authority.
NWML's address is: 8601 Adelphi Road, Room 2200, College Park, MD 20740.
- Include the official series title (if applicable) or a general descriptive
title for the records in item 6(f): series description on the SF 135.
- Include a folder title list of the box contents or equivalent detailed
records description. This description can be listed under item 6(f): series
description or included as an attachment.
- Indicate "U" for unscheduled records under item 6(i) disposal
date on the SF 135.
- See 36 CFR 1228.152 and 154, Code of Federal Regulations (www.archives.gov/about/regulations/part-1228/i.html)
or Unscheduled Records FAQs
(www.archives.gov/frc/unscheduled-records_faqs.html)
for more information on transferring unscheduled records.
- Active Records
Agencies may transfer active records to an FRC by using local NARA agreements.
Usually, these records stay on-site in the agency office. However, some active
records may be suitable for off-site storage. Contact your local FRC for details.
- Records with Short Retention Periods
FRCs will accept records that have less than a one-year retention period before
disposition, but agencies should consider the costs of proposing such a transfer.
It may be more cost-effective to simply retain the records for the short time
they are still needed.
- Mixed
Series FRCs, by prior agreement with some agencies, will accept mixed-series
transfers. These transfers must consist of only one box. Contact your agency's
records officer to determine if such an agreement exists for your agency.
- Mixed-media Records Several
FRCs will accept for storage mixed-media records (e.g. videos, cassettes,
CDs, diskettes, etc.) Please contact your local FRC before transferring mixed-media
records. Describe the non-paper media in item 6(f). Because mixed-media records
cannot be recycled without screening, the records center will apply additional
charges at the time of disposal.
- Permanent Records
The SF 135 for permanent records must be accompanied by a detailed folder
title list. Agencies may include these lists on the SF 135 (if space permits)
or as an electronic or hard-copy attachment.
- Permanent Microfilm Records
Permanent microfilm records may be stored at the Washington National Records
Center in Suitland, MD, prior to their accessioning to the National Archives.
- Storage and Servicing of Classified Records
Several FRCs are cleared to accept records containing classified National
Security Information. These facilities are cleared for Confidential, Secret,
Top Secret, Sensitive Compartmentalized Information, Restricted Data, and
Formerly Restricted Data. In addition, most centers can store, for an additional
fee, sensitive but unclassified records in a separate vault. Contact the records
center in your region for more information about availability of these services.
SHIPPING RECORDS TO THE FRC
- Numbering Boxes for Shipment
After you receive the approved SF 135 back from your local FRC, write the
transfer number and the box number (if not already indicated) in the designated
printed blocks on the front of each box. Use a black permanent felt-tip marker
and make the numbers at least 1.5½ high. Be sure not to write on sealing
tape or place tape over transfer or box numbers. For boxes without the printed
blocks, write the transfer number in the upper left corner and the agency
box number in the upper right corner on one end of each box. Begin with box
number 1, and include the total number in the transfer, such as 1/10, 2/10,
and so forth. Do not use labels to cover old box markings or to supply additional
identifying information. This is especially important for transfer and box
numbers. No standard method of affixing labels is effective for long-term
storage. You may use the sides of the boxes to write any information concerning
box content. Be sure to seal your boxes securely with packing tape. For further
information on box assembly and notation, please see figures 1 and 2.
- Shipping Records Agencies are urged to arrange for the
shipment of their records within 90 days after receipt of the approved SF
135. If the transfer cannot be made within this period, please advise FRC
staff. Unexplained delays of more than 90 days may result in the FRC canceling
the transfer and returning your SF 135.
Agencies are responsible for covering costs of shipping their records to FRCs.
You may send your agency's records via the U.S. Postal Service, commercial
carrier, common carrier (on pallets), or by agency courier. In addition, some
FRCs will pick up agency records through NARA's Metro Courier service at very
competitive rates (see the "Special Services" section of this guide ). Check with your local FRC for scheduling and fees. If you are mailing
a shipment of 20 boxes or more, you may send it in a postal container or by
bulk mail. Agencies shipping their boxes on pallets using a commercial carrier
should complete a Transportation Services Order (www.archives.gov/frc/forms/transportation-services-order.pdf).
For large shipments, please call your local FRC to schedule a delivery date,
and instruct commercial carriers to contact the records center 24 hours before
delivery.
FRCs will make every effort to assist and advise agencies during the transfer
process. However, shipments that arrive at the center out of order, in oversize
boxes, damaged, improperly taped, improperly marked, without an SF 135 approved
for transfer, or with an SF 135 that does not match the shipment, may require
extensive remedial effort and increased costs. These costs are the responsibility
of the shipping agency.
Top of Page
REFERENCE SERVICES
This section outlines the process for requesting, receiving, and returning
your agency's records. You may access your agency's records by removing them
on temporary loan, reviewing them on-site at the FRC, requesting photocopies
or electronic scans of the records, or permanently withdrawing the records.
Please note that the National Personnel Records Center (NPRC) in St. Louis,
MO, has special procedures for requesting records. If you are requesting records
from the NPRC, please see the Civilian Personnel Record section of this Guide.
Requesting Records
Most reference
requests are
for temporary
withdrawal (loan)
of agency records.
Temporary withdrawals
are
returned after
agency use to the
records center for
refiling in the FRC.
Permanent
withdrawals are
removed and
retained by the
agency. The agency
may only return
permanently withdrawn
whole boxes
by submitting a new
SF 135. These
records must be
submitted in new
boxes with a new
transfer number.
Agencies may submit reference requests using one of four methods:
- CIPS- The Centers Information Processing System (www.archives.gov/frc/cips/)
- The Federal Records Centers Reference Request Optional Form 11 (OF 11)
- Electronic OF 11 (www.archives.gov/frc/forms/of-11.pdf)
- Other formats (including
agency request forms)
Specific instructions for each method of requesting records are included in
this chapter.
In all cases, include the following information in the reference request:
- Transfer number (formerly accession number);
- Agency box number;
- Folder name/number (if applicable);
- Beginning location
of transfer at the records center;
- The type of request (temporary loan, review, permanent withdrawal, photocopies,
SmartScan, etc.);
- Date;
- Complete name, address,
telephone number, and e-mail address of requestor; and
- For any records requested under the provisions of the Freedom of Information
Act (FOIA), the Privacy Act, or due to congressional interest, note the applicable
reason in the "Remark" section of the OF 11.
Be sure to complete a separate request form or CIPS submission for
each folder or box requested. Please note that the FRC will bill your
agency separately
for each item, folder, or carton requested (as specified in your agency's agreement
with NARA) regardless of the type of reference service requested.
Agencies participating in Stratified Report Invoicing (see definition) must include a caret (^) followed by a valid, legible two-character charge
code encircled on the top right front of every request. Agencies that use CIPS
may request to have their charge code included as part of their shipping address.
Contact your agency's account representative for more information.
REQUESTS USING CENTERS INFORMATION PROCESSING SYSTEM (CIPS)
CIPS allows you to request your agency's records right from your desktop computer.
Requesting your records via CIPS is the fastest and most cost-effective method,
because it minimizes mail delays and allows the FRC to more efficiently process
your request. CIPS provides all copies needed by FRC staff to process the request.
To apply for access to CIPS, complete both the Department of Veterans Affairs
VA Form 9957, Timesharing User Access Request (www.archives.gov/frc/forms/va-form-9957.pdf),
and the NA Form 13166, CIPS Registration Form (www.archives.gov/frc/cips/cips-reg-form.pdf).
Send the completed forms to the CIPS Systems Administrator at the FRC in your
area. Information about CIPS, including forms and a list of administrators,
is available online (www.archives.gov/frc/cips/). Requests
for a CIPS account must be authorized by your agency.
Please note that the Department of Veterans Affairs (DVA) is the FRC's contractor
for CIPS. The DVA will issue a user ID and password to each user when the completed
forms are received. You will need to specify your agency's record group numbers,
the records center(s) for which you will need access, and any charge codes for
stratified billing. Contact the CIPS Systems Administrator at the FRC in your
area for further information.
REQUESTS USING THE OF 11 REFERENCE REQUEST FORM
FRCs can work
with your agency to
make reference
requests easy and
cost-effective. FRCs
can provide copies
of the necessary
paperwork for reference
requests on a
reimbursable
basis--contact your
FRC Director for
details.
If your agency does not use CIPS for reference requests, you may request records
by submitting the Federal Records Centers Reference Request, Optional Form 11
(OF 11).
The OF 11 is a three-part form. The records center uses the first part (white)
of the OF 11 to service the request. This part remains with the file until it
is returned for refiling. The requesting agency retains the second part (pink)
for tracking and control purposes. The records center uses the last part (tan)
as a charge out for the file/box until it is returned from the agency for refiling.
Submit requests using the OF 11 through the U.S. Postal Service or commercial
couriers whenever time permits. Agencies also may fax requests to the designated
numbers listed for each FRC. Agencies may telephone FRCs with emergency requests.
Please note that these emergency requests are billed at a higher rate than regular
requests.
REQUESTS USING THE ELECTRONIC OF 11
You may also e-mail reference requests by completing the PDF version of the
OF 11 (www.archives.gov/forms/pdf/of-11.pdf)
and sending it to your local FRC at the designated e-mail address listed for
each center (www.archives.gov/frc/directors.html).
REQUESTS IN OTHER FORMATS (INCLUDING AGENCY FORMS)
You may request records via letter, e-mail, memo, or by using an appropriate
form from your agency. Please check with your agency's records officer to determine
if you should use an agency-specific form.
Delivery of Requested Files to Agencies
In most cases, properly submitted and complete reference requests will be ready
for mailing, pickup, or delivery to the agency one business day after receipt
by the FRC.
STANDARD REQUESTS
The U.S. Postal Service or commercial carriers are the standard methods of
delivering requested files to agencies.
URGENT/SPECIAL REQUESTS
FRC customers have several options for delivery of urgent/special reference
requests (requests requiring same-day or overnight delivery):
- Overnight express courier: Please provide the name of the overnight express
courier (along with a billing account number) in the "Remarks" section.
- Delivery by agency's messenger: Please provide the approximate time of
pick-up in the "Remarks" section of the OF 11. Messengers will be
required to provide photo ID and agency affiliation when arriving at the FRC
to pick up requested files. The agency messenger must also be on the approved
agency authorization list.
- FRC Metro Courier and SmartScan services: Select Federal Records Centers
provide next-day delivery of reference requests via Metro Courier and same-day
electronic delivery of requested files with SmartScan. Please see the Special Services section of this guide for more information.
Refiles
You should return your agency's files to the Federal Records Center when they
are no longer needed. Write the word "REFILE" on the white copy of
the OF 11 or CIPS request form that accompanied the requested file, and return
it to the records center. If the OF 11 is no longer attached, provide a brief
note or cover memo annotated "REFILE"and attach it to the file being
returned. The memo must also include the same information that was contained
on the original OF 11:
- transfer number;
- box number;
- records center location number; and
- charge code (if the agency is participating in Stratified Report Invoicing--see definition ).
Do not refolder or rebox records requested from the records center. Unless
you have made some prior arrangement with the center, return the records in
the original folders or boxes to allow accurate refiling. If the box or folder
is unusable for shipment, copy the transfer number, location, box number and
any other information on the outside of the container onto the front of the
replacement box or folder. FRCs will contact agency customers when expanded
refiles are too large for their original location.
Interfiles
Agencies may send documents or folders that were not included in the original
transfer to be interfiled into that transfer at the center. The agency must
provide the transfer number, charge code (if participating in Stratified Report
Invoicing--see definition), box number, records center location number,
and correct file designation where the interfile should be filed. The FRC will
contact agency customers if the new material will not fit into the original
box.
Please note that the National Personnel Records Center (NPRC) in St. Louis,
MO, has special procedures for interfiles. If you have records for interfile
at NPRC, please see the Interfiles section of this Guide.
Relocation of Records
Occasionally, it becomes necessary to move records within a Federal Records
Center. When this happens, NARA will notify agencies of the relocation. A Notice
of Transfer Location Change, NA Form 13016 (www.archives.gov/frc/forms/na-13016.pdf),
is mailed to the agency after the relocation. Following a relocation, you should
update your agency's file copies of SF 135s to show new location numbers for
use in requesting these files in the future. For further information concerning
the relocation of records, contact the FRC staff.
Note: If you are
using CIPS, the system automatically connects your transfer number with the
current location number.
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RECORDS DISPOSITION
In addition to storing your records and making them accessible when needed,
Federal Records Centers actively manage their disposition. This section gives
an overview of the processes for disposing of records at the end of their retention
schedule, accessioning ( see definition ) records into the National Archives,
and updating disposal authorities.
Did you know?
The FRCs recycle
over 18,000 tons of
paper per year. That
is the equivalent of
300,000 trees!
Disposition Notifications
When the disposition date of your agency's records
is approaching, the FRC will send you the appropriate
notice as described below.
DISPOSITION OF TEMPORARY RECORDS
Contingent records are records scheduled
for final disposition
at some unspecified
future time after the
occurrence of a specific
event. Examples of
such events include
the decommissioning
of a vessel, the sale of
property, or the
destruction of a
building.
FRCs will send the Notice of Eligibility for
Disposal, NA Form 13001 (www.archives.gov/frc/forms/na-13001.pdf), to you 90 days before scheduled
destruction of your agency's records. Please
contact the Transfer and Disposition staff from
the FRC that sent you the notice if you have any questions.
When you return the signed disposal notice
(NA Form 13001) the FRC will destroy the records
as scheduled. Since your agency still owns the
records stored at the FRC, the center will not
destroy any of your records without your agency's
written approval.
Adherence to retention schedules is good records
management, saves your agency money in storage
costs, and conforms with Federal regulations.
Therefore, the FRC strongly recommends that you
review each disposal notice carefully and in a
timely manner. If your agency does not concur
with the disposal, you must provide a justification
for non-concurrence, sign and date the form, and
return it to the appropriate FRC.
DISPOSITION OF CONTINGENT RECORDS
The FRC staff is
expert on disposal
and can work with
you to ensure that
your agency's most
sensitive records are
disposed of properly.
Records are maintained
in secure
environments until
properly destroyed.
Certificates
of destruction are
sent to the FRC
following disposal.
Each October, FRCs mail the Agency Review for
Contingent Disposal, NA Form 13000
(www.archives.gov/frc/forms/na-13000.pdf), to agency customers. At this time you should review the status
of your agency's contingent records to determine
if a particular action or event (upon which
the destruction of the records is contingent) has
occurred. If this is the case, sign and return the
form to your local FRC, indicating approval of disposal
and disposal date. If the contingent records
should not be destroyed, sign, date, and return the
form, and indicate a new review date.
ACCESSIONING OF PERMANENT
RECORDS
When permanent records stored at the records center
are scheduled for accessioning into the National
Archives, you will receive an Agreement to Transfer
Records to the National Archives of the United
States, Standard Form 258, (www.archives.gov/
frc/forms/sf-258.pdf). The SF 258 is used to document
the change in legal custody of the records from
your agency to the National Archives and to state
terms of the accession. The Transfer and
Disposition staff at your local FRC can provide
more information on the process for accessioning
records into the National Archives.
Updating Disposal Authorities
Over time, records schedules are subject to change,
and this can affect how long your records should
be kept. When this happens, FRC archives specialists
review and promptly update the holdings database
so your records remain correctly scheduled.
The most current disposal authority is reflected for
each transfer.
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SPECIAL SERVICES
In addition to traditional records center services, the FRCs offer a portfolio
of customer-focused solutions to just about any records management challenge.
Many of these services were offered in response to requests from customer agencies
and have resulted in significant savings of money and staff time for these agencies.
The following is a partial listing of special services. For more information,
or to find out if a particular service is available in your area, please contact
your account representative or your local Federal Records Center Director.
Storage and Servicing of Active Records
For years, FRCs have accepted agencies' inactive records for storage and servicing.
Recently, a number of agencies have entrusted their active records to their
local FRCs as well. This service helps agencies to free up both precious office
space as well as agency staff. In storing and servicing your agency's active
files, the FRC serves as an off-site "back office." Reference requests
for these active files can (in many cases) be serviced on a same-day basis.
Electronic Records
FRCs now offer a comprehensive suite of e-records services for Federal electronic
records. For more information, see Electronic Records Services (www.archives.gov//frc/electronic-records.html).
- E-records storage: Select FRCs offer secure storage of
electronic records saved on or copied to optical or magnetic media objects
such as CDs, DVDs, and magnetic tapes. Storage can be provided in climate-controlled
space within the FRCs or in specialized Electronic Records Vaults (ERVs) .
FRCs can securely store e-records such as temporary records saved on e-media,
backup tapes, and vital e-records.
- E-media shredding: Select FRCs now have industrial disintegrators
to securely shred your e-media. All shredding services are conducted at an
FRC by Federal employees, so you can rest assured that your records are safe
from unauthorized disclosure throughout the disposal process. For your agency's
most sensitive records, FRCs can also accommodate witnessed disposal of e-media
by your agency representatives.
- Digital imaging: FRCs can convert your agency's paper records
into electronic images on high-speed scanners. FRCs can undertake digitizing
projects of all sizes, will scan to your agency's specifications, and can
provide you with scanned copies in a number of different outputs.
Storage and Servicing of Classified Records
Several FRCs are cleared to accept records containing classified National Security
Information. These facilities are cleared for Confidential, Secret, Top Secret,
Sensitive Compartmentalized Information, Restricted Data, and Formerly Restricted
Data. In addition, most centers can store, for an additional fee, sensitive
but unclassified records in a separate vault. Contact the records center in
your region for more information about availability of these services.
24/7 Access to Records
Several FRCs can offer around-the-clock access to critical agency records.
Please contact your local FRC Director for availability and details.
Fast Pack Service
As agencies face downsizing and budget cuts, their employees may not have the
time or training to prepare records for transfer to the FRC. Many FRCs offer
reimbursable staff time to help agencies organize, document, and pack shipments.
Fast Pack service covers preparation of the SF 135, packing of boxes, and preparation
of a boxed file inventory, and may also include transportation to the records
center. Free, no-obligation cost estimates are available.
Folder Indexing Services
FRC staff can assist your agency in completing detailed folder lists, documentation
that is mandated by the Code of Federal Regulations for transfers of permanent
records and unscheduled records. Such lists are also useful for future reference
requests, since this level of detail helps your agency's staff more easily identify
the records to be recalled. Please contact your local FRC for more details.
Metro Courier Service
FRCs provide courier service for pickup and delivery of transfers and requested
files in select metropolitan areas. Metro Courier service can be provided to
your agency each business day or on an as-needed basis. This service is offered
on a reimbursable basis. A number of FRCs also offer a trucking service for
large transfers at rates competitive with commercial carriers. Contact your
local FRC for more information.
SmartScan
A number of FRCs can provide same-day electronic delivery of requested files
through SmartScan. FRC staff members research your request, convert it to a
high-quality scan, and e-mail it to your desktop computer the same business
day in Adobe Portable Document Format (PDF). SmartScan eliminates outbound and
return shipping costs and is ideal for both small jobs and urgent requests.
Holdings Information (INFORM)
FRCs offer customer holdings information in electronic format through the INFORM
service. Customers can receive INFORM holdings data in several formats (Access,
Excel, or text file via e-mail or on CD-ROM). INFORM allows customers to easily
run queries and reports on their holdings and set their own criteria for filtering
and scrolling through information. INFORM can also sort by disposal authority,
disposal code, storage location, or other options. Please contact your local
FRC or your agency's account representative for more information about this
service.
Micrographics Services
The FRC offers comprehensive micrographics services at three of its centers
(San Bruno, CA; Kansas City, MO; and Ft. Worth, TX). Services include roll film
and microfiche, as well as document preparation, processing, and duplication.
Please contact the Federal Records Center Director at any of the facilities
that offer micrographics services for further information (see www.archives.gov/frc/directors.html).
Custom Solutions
Each records center can undertake, on a reimbursable basis, a number of records-related
special projects, such as screenings, inventories, data entry, etc. The FRC
staff is experienced in all aspects of records management and can offer customized
assistance to agency customers. Examples of projects that FRCs have successfully
undertaken for agency clients include:
- Data-entry services, including remote or on-site input into agency databases;
- Barcoding services for large agency holdings;
- Consolidation of agency records
(including records of a similar type, records being held under disposal "freezes,"
- see definition, in the "Transfer and Disposition" section - or records from a certain location or office);
- Preparation of inventories
of agency holdings (including box listings); and
- Provision of on-site space
at FRCs for agencies to conduct research on large collections.
Records Management Training
NARA establishes policies and procedures for managing Federal records
and assists Federal agencies in documenting their activities, administering
records management programs, scheduling records, and retiring records to records
centers. An important part of this role is records management training. NARA
provides a full range of training both in Washington, DC, and through its
regional facilities nationwide. The courses are offered primarily for Federal
employees but are also open to Federal contractors, and employees of state
and local governments, tribal governments, and international organizations.
Please see Records Management (www.archives.gov/records-mgmt/) for
more information on NARA records management training.
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TRANSACTIONS WITH THE NATIONAL PERSONNEL RECORDS CENTER (NPRC ), ST. LOUIS, MO
NPRC is one of the National Archives and Records Administration's largest operations. It is a central repository of personnel-related records, both military and civil service. Some of these collections have procedures for transfers and reference requests that differ from the procedures at other FRCs. This section provides information on these special procedures, including forms, instructions, and points of contact for further information. For more information, please visit NPRC's web site (www.archives.gov/st-louis/).
Transfers
The forms referenced
in this chapter
can be obtained
from the following
sources:
GSA (http://w3.gsa.gov)
(SF 66C, SF 66D,
SF 127, SF 184);
GSA Advantage (www.gsaadvantage.gov) (SF 66);
and
DTIC (www.dtic.mil/whs/directives/infomgt/forms/formsprogram.htm)
(DD 877-1).
CIVILIAN PERSONNEL RECORDS
The personnel and medical records of separated Federal employees are transferred to the NPRC, Civilian Personnel Records facility (111 Winnebago Street, St. Louis, MO 63118-4126). An SF 135 is not used for the transfer process for Civilian Personnel Records. Retirement of individual folders is based on the date of separation and should occur within 90 to 120 days after the employee separates from Federal service. Civilian personnel records must be retired in Standard Form 66, Official Personnel Folder, or Standard Form 66C, Merged Records Personnel Folder, as appropriate. Civilian medical folders must be retired in the Standard Form 66D, Employee Medical Folder, or for Postal Service employees, the PSIN 067 Employee Medical Folder. All folders must have the name (last, first, middle initial), date of birth, and social security number on the upper right tab. For additional information consult the
OPM Operating Manual Guide to Personnel RecordKeeping (http://www.opm.gov/feddata/recguide2006.pdf).
MILITARY MEDICAL TREATMENT RECORDS
The following types of medical treatment records are transferred to the NPRC:
- Clinical (hospital inpatient) records created for all categories of patients receiving inpatient treatment and extended ambulatory procedures (active duty military personnel, retirees, and dependents);
- Medical treatment records (outpatient) for military
retirees, dependents, and others created at military health care facilities.
Air Force medical treatment facilities transfer records to the Civilian Personnel Records (CPR) facility (111 Winnebago Street, St. Louis, MO 63118-4126). Army and Navy medical treatment facilities transfer records to the Military Personnel Records (MPR) facility (9700 Page Avenue, St. Louis, MO 63132-5100).
An SF 135 is required, but the information is provided electronically in two
related files. The Shipment Data File (SDF) contains a general description of
the shipment and the Record Index File (RI) contains an itemized listing of
all records in the shipment. These files are generated by military medical treatment
facility users via the DoD's Composite Health Care System (CHCS). The records
must be boxed in the same order they appear on the Records Index File. These
records are added to NPRC's Medical Registry System (MRS) which serves as an
electronic index to facilitate records identification and retrieval. Additional
information on transferring medical records is available online (https://kx.afms.mil/pad/mrtr2).
Reference Requests
Authorized representatives of Federal and DoD agencies may request civilian and military records from NPRC.
OFFICIAL PERSONNEL FOLDERS (OPFs):
When requesting an OPF, submit Standard Form 127, Request for Official Personnel Folder, in duplicate. A separate SF 127 is required for each requested folder.
EMPLOYEE MEDICAL FOLDERS (EMFs):
When requesting an EMF, submit Standard Form 184, Request for Employee Medical Folder, in duplicate. A separate SF 184 is required for each requested folder.
To request OPFs or EMFs, specify the following information on the SF 127 or SF 184:
- Current and former name of employee;
- Name of the agency (or agencies);
- Dates of employment for which the records are desired;
- Social security number (for United States citizens);
- Foreign National Overseas (FNO) in place of a social security number (for foreign nationals);
and
- Date of birth.
You may also submit your request via fax to 314-801-9271 or e-mail at cpr.center@nara.gov.
Additional instructions on requesting OPFs and EMFs are available online ( www.archives.gov/st-louis/civilian-personnel/federal-agencies.html).
OFFICIAL MILITARY PERSONNEL FILES (OMPFs)
The NPRC provides access to the Military Personnel Registry (MPR) File Index to authorized users through a web interface. The MPR is a locator index for OMPFs that have been transferred to NPRC custody and that are under automated controls. Users who have registered with NPRC and have a user ID may submit inquiries and record orders from their Government worksite. Security registration
is required for all users who will be accessing the MPR Registry File Index. Remote users who wish to order Army and/or Air Force records for delivery to their worksite must obtain authorization from the Army or Air Force, and be placed on an official access list. The Navy, Marine Corps, and Coast Guard restrict review of records to NPRC premises for approved users unless otherwise authorized. To register for online access and a user ID, all authorized users must submit VA Form 9957, ACRS Time Sharing Request Form.
MILITARY MEDICAL TREATMENT RECORDS
Original medical treatment records are returned to military hospitals and clinics upon request. NPRC offers three options (MRS, DD 877-1, and CIPS) for routine record requests. Select the option that pertains to the record that you want to order.
- MRS (Medical Registry System) Record Orders With few exceptions, inpatient
and outpatient records transferred to NPRC since 2003 are electronically indexed
on NPRC's MRS. Users may query the MRS database by patient's name or sponsor's/patient's
social security number. All records matching the query will be displayed,
and users may electronically order those needed. MRS registration, access,
and user instructions are available online(www.archives.gov/st-louis/military-personnel/agencies/medical-registry-system.html).
- CIPS or DD 877-1 Record Orders All other medical treatment records that are
not indexed on the MRS are stored and identified by the shipment in which
they were retired. Facilities that recall records transferred to NPRC must
provide information regarding the shipment containing the desired record to
facilitate retrieval. This shipment information includes the transfer number, box number, and shelf location number, as well as patient identifiers.
- To use CIPS to order records, see the " Reference Service" section of this guide.
- DD Form 877-1, Request for Medical/Dental Records from NPRC, is authorized for use by U.S. military medical facilities only. It should not be distributed for personal use to former patients. The form can be ordered through supply channels. Please check to make sure that records have been transferred to NPRC before preparing the form. (For records retired during or after 2003, check MRS first.) Most inactive records are held at the military treatment facility one to five years after the end of the treatment year before being transferred
to NPRC. Contact the records management
officer of the related facility to find out if records have been transferred, if they are in a records holding area, or are still at the facility.
Instructions for completing the form are available online (www.archives.gov/stlouis/military-personnel/agencies/clinical-and-treatment-records.html).
Interfiles
Agencies may send Federal employee documents to NPRC's Civilian Personnel Records Center (CPR) for interfile in the OPF. The complete name of employee, social security number, and date of birth is required to place these documents in the appropriate
record.
Military medical treatment facilities may send records to NPRC for interfile. The patient's name and social security number, sponsor's name and social security number (if dependent), transfer number, box number, and shelf location are required to process the interfile.
For more information on any FRC services described in this toolkit, please
visit us online (www.archives.gov/frc).
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