Documents Tracked from Transfer to Destruction Within Agency
In the realm of federal records management, the process of transferring records to a Federal Records Center (FRC) is a crucial step in ensuring compliance with Federal records management laws and guidance. Here's a step-by-step guide on how to navigate this process effectively.
Organizing Records
The first step involves organizing records into appropriate record series, which are sets of documents related by subject, function, or activity for ease of management. The records should be separated into blocks typically covering 5-year periods to be transferred 15 years after the cutoff of the last record in the block, following retention schedules.
Preparing SF-135 (Records Transmittal and Receipt Form)
Once the records are organized, the next step is to complete the Standard Form 135 (SF-135), detailing the description of the records, inclusive dates, volume, applicable access restrictions, and the series title. The SF-135 is the official form used to transfer records to the FRC and serves as a receipt once records are accepted.
Coordination and Approval
After preparing the SF-135, coordinate logistics with the designated Federal Records Center regarding shipment dates and packing. If transferring records to other agencies, confirm or receive approval from NARA. However, transfers to FRCs for storage typically do not require additional approval. Include information such as location of records, purpose of retention, and any restrictions on access.
Packing and Labeling
Pack records according to NARA standards to prevent damage during shipment. Clearly label boxes with series title, inclusive dates, volume, and agency information for identification.
Shipment
Arrange for transport to the designated Federal Records Center. Provide copies of the SF-135 along with shipping documents. For shipments of 25 boxes or more, they must be palletized, and for large shipments of 50 boxes or more, contact the FRC Transfer Team to schedule a delivery date.
Receipt and Acknowledgement
Upon arrival, the FRC will review the SF-135 and physical records. The FRC signs and returns a copy of the SF-135 as a receipt confirming the records have been accessioned into the FRC. The FRC will also email a copy of the SF-135.
It is the agency's responsibility to retain a detailed inventory listing for each box and it is recommended to include a copy of the detailed inventory in box #1. Agencies are urged to arrange for the shipment of their records within 90 days after receipt of the approved records transfer request.
Shipments that require extensive remedial effort will have additional costs billed to the sending agency. The approved SF135 should be placed in box #1 of the transfer, or in an envelope securely taped to the outside of box #1 if the boxes are sealed.
The FRC Transfer Team reviews and approves or returns the records transfer for clarification within 10 working days. Pallets should be securely banded with shrink-wrap, steel, plastic, or cord strapping before shipping.
Agencies are responsible for covering the costs of shipping their records to FRCs. For commercial carriers, they should be instructed to contact the FRC 24 hours before delivery.
This procedure ensures compliance with Federal records management laws and guidance under OMB M-23-07 and OMB/NARA M-19-21, streamlining the preservation and retrieval of federal records through proper lifecycle management and disposition.
[1] OMB M-23-07: Managing Government Records Directive [4] OMB/NARA M-19-21: Guidance for Implementing the Managing Government Records Directive 2013-001
This article is intended to provide a general overview and may not cover all specific circumstances. For detailed information, please refer to the official guidelines provided by the National Archives and Records Administration and the Office of Management and Budget.
- Navigating the process of records transfer to a Federal Records Center (FRC) plays a vital role in adhering to both policy-and-legislation related to federal records management, as outlined in the Managing Government Records Directive (OMB M-23-07) and the Guidance for Implementing the Managing Government Records Directive 2013-001 (OMB/NARA M-19-21).
- Understanding the intricacies of federal records management, from organizing records to shipping them for storage at an FRC, requires a keen grasp of the politics and general-news revolving around record management and preservation, as presented in the sphere of policy-and-legislation and guidance from the National Archives and Records Administration and the Office of Management and Budget.
