This guide serves as your essential tool kit for cars – metaphorically speaking! Just as a mechanic needs the right tools to fix a car, federal agencies need the right resources to manage their records effectively. This document provides a comprehensive overview of the tools and procedures for managing federal records, focusing on utilizing ARCIS (Archives and Records Centers Information System) and understanding the records transfer process to Federal Records Centers (FRCs).
Understanding ARCIS Manuals
ARCIS is a vital system for federal records management. Think of the ARCIS manuals as the owner’s manual for your records management operations. They provide step-by-step instructions for navigating and utilizing ARCIS to submit reference requests and manage your agency’s records effectively.
ARCIS Basic Manual
The basic manual is your starting point. It provides fundamental guidance on logging in, understanding the ARCIS interface, and performing basic functions. Consider it the foundational tool in your records management toolkit.
Quick Guide Flyer
For a quick reference, a one-page flyer summarizing key aspects of ARCIS is also available. This serves as a handy, on-the-go tool for quick reminders and essential steps.
Transferring Records to a Federal Records Center: A Step-by-Step Guide
Transferring records to a Federal Records Center (FRC) is a crucial part of records management. This section outlines the process, ensuring a smooth and compliant transfer. This process is like preparing your car for long-term storage – you need to organize and prepare everything properly.
This section covers essential procedures, including:
- Organizing your records for transfer: Just like sorting your tools before a big job, organizing records into series is crucial for efficient transfer and management.
- Packing and labeling boxes and pallets: Proper packing and labeling are like correctly storing and labeling your car parts – essential for easy identification and retrieval.
- Filling out a records transfer request: The transfer request is like the service request form for your car – it initiates the process and provides necessary information.
- Submitting and receiving approval for a records transfer request: Approval is like getting the green light to proceed with your car repair – it ensures everything is in order.
- Shipping records to the FRC and retaining documentation: Shipping records is like transporting your car to a storage facility – proper handling and documentation are key.
For any questions during the transfer process, reach out to your local FRC staff for expert guidance. They are the specialists in this process, just like mechanics are specialists for cars. You can find contact information for your local FRC.
Special Note for NPRC Transfers: If you are transferring records to the National Personnel Records Center (NPRC) in St. Louis, MO, be aware of special procedures. Refer to the NPRC section of this toolkit for specific instructions.
Organizing Your Records: Series and Cutoff Dates
Before transferring, proper organization is paramount. Separate records into series based on their disposition authority code. Each item in your records disposition schedule represents a series. Identify and separate records by records schedule item number and cutoff date. Each series becomes a separate transfer, ideally containing at least one box and typically with a single closing year date for a record series.
A series is defined as a group of records sharing the same disposition authority and date.
Transfer vs. Accession: Understanding the Difference
It’s important to distinguish between transferring and accessioning. Transferring means moving records into the physical custody of a NARA Federal Records Center. Legal custody remains with the transferring agency until final disposition. Accessioning, on the other hand, applies to permanent records being transferred to the National Archives. In accessioning, NARA assumes legal custody and usually physical custody as well, with records becoming property of NARA.
Tips for Packing Records: Ensuring Safe Storage
(See Figures 1 and 2 below)
Proper packing ensures the records’ safety and accessibility.
- Avoid Overpacking: Leave a 1- to 2-inch space at the top of each box for easy reference. Overpacking is like cramming too many tools into your tool kit for cars – it becomes difficult to find and access what you need.
- No Additional Material: Do not add extra materials at the bottom, sides, or top of the records within the box.
- Mixed Media Restrictions: Paper records and mixed media (like computer diskettes, microfilm, videocassettes) have different storage requirements. Do not combine them in the same transfer without prior FRC approval.
Figure 1: Properly packed boxes with letter and legal-sized files, ensuring space for easy access and preventing damage.
Packing Pallets: Secure and Stable Shipments
Pallet packing procedures may slightly vary between local FRCs. Contact your local FRC transfer office to confirm the correct box order and pallet stacking method. Pallets must be securely banded with shrink-wrap, steel, plastic, or cord strapping before shipment – ensuring stability during transport, much like securing cargo in a vehicle. Contact details are available on the FRC Directors’ page.
Preparing and Submitting the Standard Form 135 (SF 135)
The records transfer request, whether in ARCIS or via SF 135, is a vital document. It’s like the detailed inventory of your tool kit for cars, listing everything included. It provides essential information for the FRC to document, store, and service your records effectively. A completed request must be submitted and approved before shipping records. A separate request or SF 135 is needed for each record series with the same disposition authority and date.
Did you know? Original signatures are no longer required on SF 135s. Electronic submission saves time.
Completing the SF 135: Item-by-Item Guidance
- Item 1: FRC Name and Address: Enter the recipient FRC’s name and address. Find current information on the FRC Directors page.
- Item 2: Transferring Agency Official: Provide the name of the transferring agency official. Signatures are not mandatory unless required by your agency’s internal procedures. Consult your agency’s records officer (Contact Information for Federal Agency Records Officers).
- Item 3: Contact Person: Include name, office, phone number (with area code), and email of the contact person for record inquiries.
- Item 4: FRC Use Only: This item is completed by the FRC.
- Item 5: Transferring Office Address: Provide the complete address of the transferring office. If the SF 135 should be sent to a different address, include both and specify where each should be sent.
- Item 6: Transfer Number: This three-part number is generated by ARCIS upon transfer creation.
- Item 6(a): NARA Record Group Number: Enter the NARA record group number for the transferring agency.
- Item 6(b): Fiscal Year: Enter the last two digits of the current fiscal year.
- Item 6(c): Sequential Number: FRC staff assigns a sequential number unless pre-assignment authorization exists.
- Item 6(d): Number of Boxes: Enter the total number of standard-size boxes (one cubic foot each). For non-standard boxes, leave blank, add dimensions to item 6(f), and contact FRC staff for acceptance verification.
- Item 6(e): Box Numbers: Enter the inclusive range of box numbers (e.g., 1-30).
- Item 6(f): Description of Records: Provide sufficient detail for FRC verification against your records schedule. Use series descriptions from your Records Control Schedule or the General Records Schedule. Include series title and inclusive dates. Specify the originating organizational component if different from item 5. Indicate Privacy Act applicability. For permanent, unscheduled, or sampling-required records, include a detailed folder listing in item 6(f) or as an attachment (email attachment for electronic SF 135s).
- Stratified Report Invoicing: For participating agencies, prefix the series description with a caret (^) and a valid two-digit charge code.
- Non-paper and Special Format Records: Include format type (microfilm, drawings, electronic media, etc.). See www.archives.gov/frc/codes.html for codes.
- Item 6(g): Restrictions: For National Security Information, use classification codes (C, S, T) and indicate Code E (Restricted Data/Formerly Restricted Data) if applicable. Only the Washington National Records Center can store classified records. For no special restrictions, use code N or leave blank (default restriction applies).
- Item 6(h): Disposition Authority: Cite schedule identifier and item number from your agency records schedule or the General Records Schedule (GRS). For accountable officers’ records, use GRS 6. See General Records Schedules (36 CFR 1227.1-14). Indicate extended retention (“freeze”) with a three-letter FRC-assigned “freeze code.”
- Item 6(i): Disposition Date: Compute based on your records schedule. Advance to the next calendar quarter (January, April, July, October). For permanent records, use “P” after the offer year. For unscheduled records, use “U.”
- Items 6(j), 6(k), 6(l), and 6(m): FRC Use Only.
Stratified Report Invoicing: Contact your agency’s records officer or NARA FRC Account Manager if unsure about your agency’s participation.
Submitting the SF 135: Electronic and Traditional Methods
ARCIS (http://www.archives.gov/frc/arcis) is the preferred method for submitting records transfer requests.
Did you know? Electronic submission saves time and is more secure.
Agencies can submit requests via ARCIS, electronically (SF-135), or fax/mail a hard copy to the FRC. Electronic methods are faster, more secure, and allow for timely revisions. Obtain the electronic SF 135 in Word or PDF format online (www.archives.gov/frc/forms/sf-135-intro.html).
Submit your request or SF 135 to your local FRC and receive approval before shipping. FRC email addresses are on the FRC Directors page (www.archives.gov/frc/directors.html).
Each record series requires a separate SF 135 (see 36 CFR 1228.160(e)).
A surcharge applies to all non-ARCIS Portal records transfer requests.
Approval and Preparation for Transfer
After submission, FRC staff reviews the request for completeness and accuracy. They assign a transfer number and return an approved SF 135 copy within 10 working days, authorizing shipment. Include a copy of the approved SF 135 in box #1 of each transfer – this is your “shipment” copy. For electronic submissions, print the emailed approval and include it. If boxes are sealed, tape the shipment copy in an envelope to the outside of box #1.
Always retain a detailed box content listing for reference service requests. Including a copy in box #1 is also recommended.
FRC offers fee-based detailed folder indexing services (Special Services).
After shelving, FRC staff returns a completed, signed SF 135 as an official receipt. Use the transfer number when requesting records. This receipt is your official transfer record.
Key Definitions:
- Freeze: Temporary records that cannot be destroyed due to special circumstances (court order, investigation).
- Unscheduled records: Federal records with no NARA-approved final disposition schedule.
- Active record: Record needed for current office business.
- Mixed series: Records in a transfer with no relationship, but from the same agency/office, potentially with different disposition authorities but same disposition date.
- Permanent records: Records of historical or long-term value to the Federal Government. NARA makes the final determination (44 USC 29).
Shipping Records: Numbering and Procedures
Numbering Boxes for Shipment
Upon receiving the approved request/SF 135, write the transfer number and box number on each box using a black permanent marker (at least 1.5” high). Avoid writing on or taping over numbers. For boxes without printed blocks, write the transfer number in the upper left and agency box number in the upper right corner of one end. Number boxes sequentially (e.g., 1/10, 2/10). Do not use labels to cover old markings or add information. Use box sides for content information. Securely seal boxes with packing tape. See figures 1 and 2 for box assembly and notation guidance.
Agencies should ship records within 90 days of approval. Delays beyond 90 days without notice may result in cancellation.
Agencies are responsible for shipping costs. Use USPS, commercial carrier, common carrier (pallets), or agency courier. Some FRCs offer NARA’s Metro Courier service at competitive rates (Special Services). For shipments of 25+ boxes, palletize them.
For large shipments (50+ boxes), schedule delivery with your local FRC and instruct carriers to contact the center 24 hours prior.
FRCs assist agencies throughout the process. However, shipments requiring remedial effort (out of order, oversized boxes, damaged, improperly taped/marked, missing/incorrect paperwork) incur costs for the shipping agency.
Special Transfers: Handling Unique Record Types
Most transfers are paper-based, long-term, scheduled, temporary, and non-classified. If your transfer deviates from these categories:
- Active Records: FRCs accept active records. Contact your local FRC or Account Manager for details.
- Short Retention Records: FRCs accept records with less than one-year retention, but consider cost-effectiveness.
- Mixed Series: Accepted by prior agreement (one box limit). Contact your agency’s records officer (Contact Information for Federal Agency Records Officers).
- Mixed-media (Non-textual) Records: Accepted with prior FRC contact. Describe non-paper media in item 6(f). Higher disposal costs apply due to screening requirements.
- Permanent Records: SF 135 must include a detailed folder title list (in item 6(f) or attachment). See Bulletin 2014-04.
- Permanent Microfilm Records: Can be stored at the Washington National Records Center before accessioning.
- Classified Records: Only the Washington National Records Center in Suitland, MD, accepts classified National Security Information.
- Controlled Unclassified Information (CUI): All FRCs accept “CUI Basic.” San Bruno, Kansas City, and Washington National Records Center accept “CUI Specified.” Contact your local FRC or Account Manager.
Reference Services: Accessing Your Records
This section outlines requesting, receiving, and returning agency records. Options include temporary loan, on-site review, photocopies/scans, or permanent withdrawal.
NPRC in St. Louis, MO, has special procedures (Civilian Personnel Record section).
Requesting Records: Methods and Information Needed
Most requests are for temporary withdrawal. Permanent withdrawals are retained by the agency and require a new SF 135 for return in new boxes with a new transfer number.
Request methods:
- ARCIS
- Federal Records Centers Reference Request Optional Form 11 (OF 11)
- Electronic OF 11 (www.archives.gov/frc/forms/of-11.pdf)
- Other formats (agency forms)
Note: ARCIS is the primary retrieval method. See ARCIS reference request instructions.
To sign up for ARCIS, contact your agency Records Officer.
A surcharge applies to all non-ARCIS Portal records transfer requests.
Required Request Information:
- Transfer number
- Agency box number
- Folder name/number (if applicable)
- Request type (loan, review, withdrawal, copies, SmartScan)
- Date
- Requestor’s complete contact information (name, address, phone, email)
- FOIA, Privacy Act, or congressional interest reason (if applicable, in “Remark” section of OF 11)
Each item, folder, or carton requested is billed separately.
Stratified Report Invoicing agencies must include a caret (^) and charge code on every request.
ARCIS users can include charge codes in their shipping address. Contact your account manager.
Requests Using OF 11 Form
FRCs can provide OF 11 copies on a reimbursable basis (contact your FRC Director).
If not using ARCIS, use the Federal Records Centers Reference Request, Optional Form 11 (OF 11). It’s a three-part form: white (FRC use), pink (agency tracking), tan (FRC charge-out).
Agencies can fax requests to designated FRC numbers or call for emergencies (higher rates apply).
Requests Using Electronic OF 11
Email requests using the PDF version of OF 11 to your local FRC.
Requests in Other Formats
Use letters, emails, memos, or agency-specific forms. Check with your agency records officer.
Delivery of Requested Files
Standard requests are usually ready for delivery one business day after FRC receipt.
Standard Requests
USPS or commercial carriers are standard delivery methods.
SMARTSCAN Requests
Documents are scanned, saved as PDFs, and emailed. Billed for scanning, retrieval, and refiling.
Urgent/Special Requests
- Overnight delivery: Agency provides courier name (UPS, FedEx) and account number in Remarks.
- Agency pickup: Specify pickup time in Remarks. Driver needs agency photo ID.
- FRC Metro Courier Service: Available in select areas. Contact your FRC.
Refiles: Returning Loaned Records
Return files when no longer needed. Write “REFILE” on the white OF 11 or ARCIS form and return it with the file. If the OF 11 is missing, attach a note with “REFILE” and include transfer number, FRC location number, box number, file name/number, and agency charge code.
Return refiles in original folders/boxes unless arranged otherwise. Copy transfer number, location, box number, etc., onto replacement containers if originals are unusable. FRCs contact agencies for oversized refiles.
Interfiles: Adding Documents to Existing Records
Agencies can send documents/folders for interfiling. Provide transfer number, box number, and file designation. Attach a paper transmittal to each interfile. Submit interfiles in transfer number and container number order. FRCs charge labor fees for sorting unsorted interfiles. FRCs contact agencies if new material doesn’t fit the original box.
NPRC has special interfile procedures (Interfiles section).
Relocation of Records
NARA notifies agencies of record relocations within FRCs using Notice of Transfer Location Change, NA Form13016. Update your SF 135 copies with new location numbers. Contact FRC staff for relocation information.
Records Disposition: Disposal, Accessioning, and Updates
FRCs manage records disposition: disposal, accessioning, and disposal authority updates.
Disposition Notifications
FRCs send notices as disposal dates approach.
Disposal notice review process revised in 2017: Review occurs after agency response (concurrence/non-concurrence). Agencies with ARCIS v2.0 can access SF 135 images during disposal process.
Agency concurrence is always required before disposal.
Disposition of Temporary Records
Contingent records are disposed of after a specific future event.
FRCs send Notice of Eligibility for Disposal, NA Form 13001 (www.archives.gov/frc/forms/na-13001.pdf) or equivalent 90 days before scheduled destruction. Contact FRC Transfer and Disposition staff with questions.
Return signed disposal notice for scheduled destruction. Agency approval is mandatory.
Timely review and response are recommended for cost savings and regulatory compliance. Provide justification for non-concurrence.
Disposition of Contingent Records
Each October, FRCs send Agency Review for Contingent Disposal, NA Form 13000 (www.archives.gov/frc/forms/na-13000.pdf) or equivalent. Review contingent records status, indicate disposal approval/date or new review date, and return the form.
Accessioning of Permanent Records
For permanent records scheduled for National Archives accessioning, you will receive a Transfer Request (TR) from the National Archives Electronic Records Archive (ERA) (http://www.archives.gov/era/about/).
Updating Disposal Authorities
FRC specialists update holdings databases to reflect records schedule changes, ensuring correct scheduling.
Special Services: Beyond Standard Storage
Storage and Servicing of Active Records
FRCs offer storage and servicing for active records, freeing up agency office space and staff time. Contact your local FRC for details.
Electronic Records
FRCs offer temporary e-records services (Electronic Records Services).
E-records storage: Secure storage for electronic records on media like CDs, DVDs, magnetic tapes in climate-controlled spaces or Electronic Records Vaults (ERVs). Ideal for temporary e-records, backup tapes, and vital e-records.
Storage and Servicing of Classified Records
Washington National Records Center stores classified National Security Information. Most centers also store sensitive unclassified records in separate vaults (additional fees apply). Contact your local FRC.
24/7 Access to Records
Select FRCs offer 24/7 access to critical agency records. Contact your FRC Director for availability and details.
Fast Pack Service
FRCs offer reimbursable assistance with organizing, documenting, and packing records for transfer, including request preparation, packing, box listing, and transportation. Contact your FRC account manager.
Folder Indexing Services
FRC staff assists with detailed folder lists required for permanent and unscheduled records, also beneficial for future reference. Contact your FRC account manager.
Metro Courier Service
Courier service for pickup/delivery of transfers and files in select metro areas, daily or as-needed, reimbursable. Trucking service for large transfers also available. Contact your local FRC.
SmartScan
Same-day electronic delivery of scanned files (SmartScan for ≤30 pages, Smartscan Plus for >30 pages). Eliminates shipping costs, ideal for urgent requests.
Holdings Information
Electronic holdings reports in MS Excel format are available upon request, sortable by various criteria. Contact your account manager.
Federal Records Centers Records Management Consulting Services
Customized consulting services for records and information management, competitive pricing, and easy contracting (Records Management Consulting Services, [email protected]).
NARA Records Management Training and Agency Assistance
NARA provides records management policies, procedures, guidance, and training for federal agencies (Records Management, [email protected]).
Transactions with the National Personnel Records Center (NPRC), St. Louis, MO
NPRC manages personnel-related records (military and civil service) with specific procedures (NPRC’s web site). Forms are available from GSA, GSA Advantage, and DTIC.
Transfers: NPRC Specifics
Civilian Personnel Records
Transferred to NPRC Civilian Personnel Records facility (Valmeyer, IL). SF 135 not used. Retirement within 90-120 days of separation using Standard Form 66, 66C, or 66D/PSIN 067. Folders must be labeled with name, DOB, and SSN. Include a manifest/records listing. Consult OPM Operating Manual Guide to Personnel Recordkeeping (http://www.opm.gov/feddata/recguide2011.pdf).
Military Medical Treatment Records
Specific medical treatment records are transferred to CPR facility (Valmeyer, IL). SF 135 not required; electronic submission via Shipment Data File (SDF) and Record Index File (RI) generated by CHCS. Records must be boxed in RI file order. Added to NPRC’s Medical Registry System (MRS).
Reference Requests: NPRC Specifics
Authorized representatives can request civilian and military records from NPRC.
Official Personnel Folders (OPFs):
Use Standard Form 127, one per folder.
Employee Medical Folders (EMFs):
Use Standard Form 184, one per folder.
Specify employee information (name, agency, dates, SSN/FNO, DOB) and requesting agency details on SF 127/184. Fax requests to 618-935-3019 or email [email protected]. See online instructions.
Official Military Personnel Files (OMPFS)
Access MPR File Index via web interface (registration required, VA Form 9957). Army/Air Force records require authorization for remote delivery. Navy/Marine Corps/Coast Guard records review restricted to NPRC premises unless authorized.
Military Medical Treatment Records
Original records returned upon request using DD877-1.
Interfiles: NPRC Specifics
For Civilian Personnel Records Center (CPR), send Federal employee documents for OPF interfiling with employee name, SSN, and DOB. No classified information. Follow EHRI guidance for electronic interfiles.
Military medical treatment facilities can send interfiles with patient/sponsor information, transfer number, box number, and shelf location.
For more information on FRC services, visit us online (www.archives.gov/frc/).
