United States Administration And E P A/I MS D/91-004
Environmental Protection Resources Management July 1991
Agency (PM-211D) _
v>EPA Records Management Series
Using The
Federal Records Center
A Guide For
Headquarters Staff
NRMP
r9^r Printed on Recycled Paper
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EPA/IMSD/91-004
July 1991
Records Management Series
Using the Federal Records Center
A Guide for Headquarters Staff
National Records Management Program
Information Management and Services Division
U.S. Environmental Protection Agency
Room 2003 PM-211D
401 M Street, S.W.
Washington, DC 20460
(202) 245-3639
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USING THE FEDERAL RECORDS CENTER
A GUIDE FOR HEADQUARTERS STAFF
TABLE OF CONTENTS
INTRODUCTION II
AN OVERVIEW OF THE FEDERAL RECORDS CENTER 1
RETIRING RECORDS TO THE FEDERAL RECORDS CENTER. . . 5
RETRIEVING RECORDS FROM THE FEDERAL RECORDS CENTER. 15
DISPOSITION OF RECORDS 20
SAMPLES 1-7 22
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INTRODUCTION
This guide explains the role of the Federal records
center (FRC) operated by the National Archives and Records
Administration and what the FRC can do for you as a program
manager. It provides a detailed description of the processes
and procedures to be followed when:
• Retiring records to the FRC
• Retrieving records from the FRC
• Approving the final disposition of records
This publication also describes the role of the Agency's
Headquarters Records Management Program in retiring records
to the FRC, and what assistance the Headquarters Records
Officer can provide. The Headquarters Records Management
Program is part of the Information Management and Services
Division of the Office of Information Resources Management.
The Division is responsible for overseeing the Agencywide
records management program including planning, directing, and
organizing the Agency's records management program;
developing Agency records management policy and guidance;
providing records management training; developing retention
and disposition requirements for all Agency records; and
providing assistance to Headquarters programs in managing,
maintaining, retiring, and retrieving Agencywide records.
These procedures have been up-dated to provide Agency
Headquarters personnel with current instructions consistent
with guidance from the Federal records center. Any questions
should be directed to your office's Records Management
Coordinator or the Headquarters Records Officer (382-5912).
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AN OVERVIEW OF
THE FEDERAL RECORDS CENTER
AND ITS SERVICES
What is the Federal Records Center (FRC)?
The National Archives and Records Administration
operates a system of Federal records centers (FRCs) for the
economical storage of and access to noncurrent records of the
Federal government. This governmentwide program is
authorized by 44 U.S.C. 2903, 2907, and 3103. Agency
Headquarters offices can use the FRC located in Suitland,
Maryland (also known as the Washington National Records
Center), to store noncurrent, inactive, or permanent records
pending their ultimate disposition in accordance with Agency
Records Disposition (Control) Schedules.
Whv Use the FRC?
The FRC is specifically designed and equipped to store
records in an efficient and economical manner saving both
space and money. Five times as many records can be stored
per square foot of FRC space as in equivalent Agency office
space. Currently it costs Federal agencies an average of
$17.62 to store one cubic foot of records in office space
(based on 1989 costs). On the other hand, the per annum cost
to taxpayers for FRC storage is a mere $1.13 per cubic foot
for both space and equipment, a savings of $16.49 to the
government and the taxpayer.
FRC storage offers a number of benefits to Agency
managers. First and foremost, FRC storage is free to the
Agency, saving the cost of storing inactive records either in
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office space or commercial facilities. Second, by judicious
use of the FRC for off site storage, managers can free up
valuable office space without having to lose access to their
records, and avoid the cost of additional filing equipment.
Both aspects take on increased importance as competing
priorities vie for existing office space and as offices move
to newer, and often smaller, space.
The Role of the Headquarters Records Officer
The Headquarters Records Officer is responsible for the
Headquarters records management program including oversight
of the records retirement program. The Headquarters Records
Officer serves as the Agency's primary liaison with the FRC,
coordinates the transfer and retrieval of records, and
assists offices in completing the necessary forms and
handling special situations. In addition, the Headquarters
Records Officer provides a wide range of services including
management briefings on records management policies and
responsibilities, staff training, assistance with file plans
and similar problems, and a records management network to
stimulate interaction among Headquarters records managers.
Frequently Asked Questions about the FRC
Q. Is FRC storage safe?
A. Yes. FRC storage areas are protected from fire and
other environmental problems. Access to all storage areas is
limited to cleared NARA personnel.
Q. Can I get records back if I need them?
A. Yes. You can retrieve either boxes or folders, or
you can review materials at the FRC search room in Suitland,
Maryland. Normal retrieval time is 72 hours, but retrieval
in 24 hours is possible if you arrange for pickup, and
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records can be retrieved in as little as 4 hours in emergency
situations.
Q. Are records ever lost by the FRC?
A. Recently the FRC installed an improved computerized
space and location tracking system, which tracks each box
stored in its custody. Despite the millions of boxes stored
at the FRC, there is minimal risk that a box will be lost.
Q. Will records be destroyed without my consent?
A. No. The FRC does not destroy any records without
notifying the Agency in writing well in advance of the
proposed destruction date. Once the Agency has been
notified, you will be given an opportunity to justify
extending the retention of the records if you feel that is
warranted.
Q. Once the records are retired to the FRC, who
controls access?
A. You do. Records stored at the FRC cannot be accessed
without your consent.
Q. Once records are transferred to the FRC, who
legally "owns" them?
A. You do. Although the records are in the physical
custody of the FRC, EPA retains legal custody until the time
they are either destroyed or transferred to the National
Archives.
Q. Then the FRC is not the same as the National
Archives ?
A. No. Both the FRC and the National Archives are
operated by the National Archives and Records Administration
(NARA) , but the two programs serve very different functions.
The FRC is used to store records that Federal agencies still
need for current business, but only on an infrequent basis.
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The National Archives is the custodian of Federal records
that are no longer needed for current business, but that have
been judged to have sufficient historical value to warrant
preservation. Most of the records stored in the FRC will
eventually be destroyed. Records that are transferred to the
National Archives will be preserved permanently.
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RETIRING RECORDS TO THE FRC
This chapter discusses the process to retire records to the
FRC and the procedures that must be followed. Specifically,
the chapter provides step-by-step instructions for:
• Preparing records for retirement
• Boxing the records for shipment
• Completing the forms to retire records
• Shipping the records to the FRC
Preparing Records For Retirement
Preparing records for retirement is the first and most
important step in the entire process. The records you retire
will serve you or your successors at the Agency as the
official historical record of the actions, activities, or
decisions that they document. Because the records may be
needed to understand, evaluate, or defend those actions, the
amount of time spent in preparing them will be repaid many
times over if you need to retrieve records at a later date.
When preparing the records for shipment take time to organize
them by doing the following:
• Screen the records to remove extra copies of
documents and non record items such as reference materials.
If you have multiple identical copies of a document or
publication, retire the original (or clearest copy if no
original exists) and dispose of the remaining copies.
• Place records in either letter or legal size
accordion or manilla folders.
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• Label each folder with a title to indicate the
records it contains. If you follow two general rules in
labeling folders you will be able to retrieve the exact
folder you need without unnecessary confusion. First, each
folder should be uniquely labeled. Second, give the folders
meaningful file names. For example, use "Correspondence: A-
F, 1990," not simply "Correspondence" as the folder title.
• Place files in the boxes in their proper order.
"Proper order" depends on the file scheme used, and should
correspond to the filing system used in your office. For
subject files, the order is usually alphabetical. Records
that are filed using a numbering scheme (contract numbers for
example) should be retired in numerical order. If an
alphanumeric system is used, retire the files according to
the file plan. Letter size folders should be placed in the
boxes so that they read in order from front to back. Legal
sized folders should be placed in the box so that they read
from left to right (See Sample 1).
The decisions on folder titles and record arrangement
are yours and should be made to best facilitate access. Bear
in mind that once your records have been retired to the FRC,
your ability to identify records to be recalled (and the
FRC's ability to locate the records you request) will depend
on how carefully you have labeled and arranged the files.
Boxing Records For Shipment
Once the records have been prepared, the next step is
boxing them for shipment. Records are boxed and retired to
the FRC in groups called accessions. Accessions consist of
one or more boxes all containing the same type of records
with the same disposition date. For example if you plan to
retire both correspondence files and contracts, the records
should be retired as two separate accessions.
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Obtaining the Boxes
To retire records to the FRC you must use Records
Retirement Boxes, which may be purchased from the EPA
Office Supplies Store by using your office supplies card.
This is the only size box the Federal Records Center will
accept for records storage. The cost is approximately fifty-
five cents per box. Assembly instructions are provided with
the boxes. Boxes measure 15" x 12" x 10" and hold 1,800
cubic inches or 1.04 cubic feet. Use one of the following
conversion factors to estimate the number of boxes needed.
• Fifteen inches of letter size material fit in one box.
• Records in one letter size file cabinet drawer usually
fit into two boxes.
• Twelve inches of legal size material fit in one box.
• Records in one legal size file cabinet drawer usually
fit into two and one-half boxes.
Preparing the Box List
In order for you and the FRC to know what folders are in
each box, you need to prepare a Box List giving the contents
of each box. Begin with Box 1 and give the box number
followed by a listing of the folders in that box. Continue in
the same way for the remaining boxes. An example of a good
box list of file folders about cities would be:
BOX 1 of 10 BOXES
1. Atlanta
2. Boston
3. Cleveland
4. Detroit
5. Evanston
6. Fairfax
BOX 2 OF 10 BOXES
1. Galveston
2. Houston
3. Indianapolis
(etc.)
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Each file folder title should be listed to facilitate
retrieval of individual files from boxes and to document
exactly what folders were retired. Some programs attempt to
shorten the procedure by using ranges of folder titles such
as "A-F" or "Atlanta to Fairfax" instead of listing each
title. This "range' method should only be used for files
arranged in strict numerical or chronological order, and
folders must be uniformly labeled or numbered. The range
should be annotated to indicate that all folders are present
in a run (inclusive) or which folders are missing, as in the
following example.
Box 1: Contracts 1-31 (inclusive)
Box 2: Contracts 31-50 (Contract 39 not included)
You will need to make 5 copies of the completed box
listing. These will be attached to the five copies of the
Standard Form 135, Records Transmittal and Receipt Form (SF
135) described in the next section.
Marking the Bnxes
Once the records have been boxed and the box list
completed, the boxes should be labeled in numerical order.
As an example, if there are 8 boxes, the first box should be
numbered 1/8, the second box 2/8, etc., with the last box
should be numbered 8/8. Write the Box Number in the upper
right corner of the front side of each box (See Sample 1).
After files are placed in boxes fold the top flaps closed,
tucking the corners in so that they stay shut. Do not tape
top flaps closed.
Completing the Forms to Retire Records
All records being retired to the FRC must be accompanied
by a Standard Form 135, Records Transmittal and
Receipt Form commonly know an an SF 135 (See Sample 2) .
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The SF 135 documents the physical transfer of the accession
to the FRC, and provides information such as the accession
number, location, and box list.
Although the form is not difficult to complete, it must
be filled out correctly for the records to be accepted.
Besides your box list, you will need your records disposition
schedule to complete parts of this form. A sample page from
a disposition schedule is provided as Sample 3. Both the
sample disposition page and the sample SF 135 form will be
used to illustrate the proper way to complete the SF 135.
In the section by section explanation below, the
information in bold letters should always be typed exactly as
shown. Information that is not bolded is to be completed by
the person completing the form.
Sec. 1: Address
This is the address line for the FRC.
Type the following exactly as shown:
ATTN: Accession Branch, Washington
Federal Records Center, Suitland, MD 20409
Sec. 2: Transferring Acrencv Official
This person is the Headquarters Records Officer in OIRM/IMSD
who deals with the FRC. Type the following exactly as shown:
(202) 382-5912
Records Management Officer
Sec. 3: Transferring Agency Liaison Official
Information in Section 3 is used to identify the person in
your unit who is the principal contact point for the records.
We recommend that the person be at the level of section chief
or higher because the person will eventually be contacted to
approve all requests for access to the records as well as
their final disposition (destruction or their legal transfer
to the National Archives). For the person selected as the
liaison, provide the following information:
Name & Title
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Room Number
Phone Number
Mail Code
Sec. 4: Records Center Receipt
Leave this section blank. It will be completed by the FRC.
Sec. 5: From (Sender's Address)
Type the following between the two dots exactly as shown:
ENVIRONMENTAL PROTECTION AGENCY
Infor. Mgt. & Services Div. (PM-211D)
Attn: Records Management
401 M Street, S.W.,
Washington, D.C.20460
Sec. 6: Records Data:
This is the most complicated part of the form, but also the
most critical. If this section, especially Column (h) is not
filled out correctly, the records will not be maintained for
the proper length of time. If you have any questions
concerning this section, please contact the Headquarters
Records Office for assistance.
(a): RG
The FRC assigns a Record Group (RG) number to each
Federal agency for administrative purposes. EPA is
assigned RG Number 412. This number goes in Column (a).
Always enter the following in Column (a):
412
(b): FY
This is current fiscal year. Enter the last two digits
of the fiscal year in which you are retiring the
records in Column (b).
91 for FY 1991
92 for FY 1991, etc.
(c): Number
Leave this blank. This number will be assigned upon
completion and approval of the SF 135.
(d): Volume
Indicate the number of boxes being retired. For example,
if there are 10 boxes, enter "10" in Column (d).
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(e): Agency Box Numbers
Indicate the range of box numbers being retired. Give
the number of the first box, followed by a dash, and
then the number of the last box. Continuing with the
example above, if there are 10 boxes in the accession
enter "1-10" in Column (e)
(f): Series Description
Use the format below. Always enter the part appearing
in bold type face exactly as it appears below, inserting
the inclusive dates of the series (i.e. the date range
or span of the documents in the boxes) in the spaces
provided:
Records created by organization
shown in Item 3 above. Inclusive
dates of records are: 19 -19 .
These records consist of:
Following the word "of" describe the records using the
title given in the records disposition schedule. If you
wish to enter additional identifying information that
would follow the title and appear in parentheses. A
completed example based on Item 1 from the disposition
page in Sample 2 would appear as follows:
Records created by organization
shown in Item 3 above. Inclusive
dates of records are: 1988-1989.
These records consist of: Program
Management Files (Air Program issues).
(g): Restrictions
Type letter indicating the appropriate restriction code.
Restriction codes are defined on the back of the SF 135.
Use the restriction codes R or W as appropriate to
the records being retired. Use the following guidelines
to decide which code is appropriate.
W: Use for any records whose sensitivity is such that
their physical destruction (by shredding for
example) must be witnessed by an FRC employee.
Examples would include records that contain Privacy
Act information, confidential business information,
or enforcement sensitive information.
R: Use for records that do not need a witnessed
disposal.
Generally speaking, the Agency staff should not use any
other restriction codes. Codes Q, T, S, and C are used
only for national security classified information.* Code
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N is used only for records such as court records that
are open to the public by law. Agency staff will be
retiring few, if any records of either type to the FRC.
If you have any questions about restriction codes, you
should contact the Headquarters Records Officer.
(h): Disposal Authority
This column is used to indicate the records control
schedule number under which you are retiring the records
to the FRC. This number is different for each type of
record you maintain. Entering the records schedule
information is a two step process.
For the first line, type in the word "Item:" and then
enter the records schedule item number for the records
you are retiring. The records schedule item number is
the number that appears in the left hand column marked
ITEM. Use the number to the left of the series
description title that you entered in Column (f). To
continue the example begun above, the item number for
the Program Management File is "1."
Note that if the item is divided into parts, such as
Item 2 in Sample 3, you would enter the item number plus
the letter corresponding to the appropriate disposition.
In this case the item number for Requests would be "2a"
and the number for Background Materials would be "2b."
Should you experience problems finding the appropriate
Item/Description for your records, contact the
Headquarters Records Officer.
To begin the second line of Column (h) type the word
"Ref:" followed by the number of the records disposition
schedule you are using. This number should be located
at the top of the records disposition schedule and
should begin NCI or Nl. The correct reference number
for this example is NC1-412-84-2. If no schedule number
appears on the copy of the schedule you have, contact
the Headquarters Records Officer.
(i): Disposal Date
This is the date after which the records become eligible
for destruction or transfer to the National Archives.
The disposal date is determined by adding the retention
period given in the records schedule to the end date
provided in Column (f) above. In this example the last
date of the records is 1989 and the retention period is
10 years so the disposal date is 1999.
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(j): Location
Leave this column blank. The location will be provided
by the FRC. Once processing is completed, a copy of the
SF 135 will be returned to you showing the location
assigned to your records.
(k-m): Shelf Plan, Cont. Type, Auto Disp.
Leave these columns blank. They are for FRC
administrative use.
Bring the completed SF 135 and the 5 copies of the box
list to the Headquarters Records Officer for signature. Once
the SF 135 has been signed, make four copies of the signed SF
135 and staple a copy of the box list to each SF 135. The
Headquarters Records Management Officer will send the forms
to the FRC for approval. This process normally takes from
one to two weeks.
Shipping the Records
Following approval by the FRC, an accession number
will be assigned to the SF 135 and it will be returned to
you. The accession number consists of three fields: the
number 412, the last two digits of the fiscal year (found in
Column (b)), and the number provided in Column (c). A sample
accession number is 412-90-0123. Write the accession number
in the upper left hand corner of each box in the accession
(See Sample 1) and place a copy of the SF 135 and the box
list in the first box. If you prefer, you may place copies
in each box, which may simplify retrieval of the records.
The records are now ready for shipment.
To send records to the FRC, fill out EPA Labor Services
Request (Standard Form 5100-8) to have the box(es) picked up
and transferred to the FRC. Type the following statement in
the center section titled "Description" filling in the
information requested in italics (See Sample 4).
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Request (give number of boxes) Federal Records Center
Retirement Boxes be picked-up from Room (give room
number), (give name of section) and delivered to EPA
Shipping and Receiving for further shipment to the
Federal Records Center. Please see (give name of person
responsible) prior to pick-up.
Normally boxes are not picked up until after
• An accession number has been provided by the
Headquarters Records Officer.
• The accession number has been put on the boxes.
• The SF 135s and box lists have been put in the first
box of the accession.
However, if it is necessary to move the boxes out of
office space before that time, call the Headquarters Records
Officer to obtain permission to have the boxes sent to the
loading dock.
ACCESSION NUMBER
412-91-
boxes
(QUANTITY)
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RETRIEVING RECORDS FROM THE FRC
Completing the Retrieval Forms
Boxes or files may be retrieved from the FRC using the
Federal Records Center Reference Request Form (Optional
Form-11). Retrieving folders is quicker than recalling
entire boxes, and the folders are easier to manage in the
office area. A sample OF 11 is provided as Sample 5. A
separate OF-11 must be filled out for each file or box
requested. Fill in the top portion of the form as follows:
Record Group Number
Type 412 in all cases.
Accession Number
Type the accession number from the appropriate SF 135. The
accession number consists of the information in Columns (b)
and (c) of the RECORDS DATA section of the SF 135. A typical
accession number might be 91-0123.
Aaencv Box Number
Type the number of the box containing the folder you wish to
retrieve before the word "of" and the number of the last box
in the accession after the word "of." The number of the last
box in an accession is given in Column (e) of the SF 135.
Records Center Location Number
Enter the numbers found in Column (j) of your completed SF
135. If your SF 135 .does not have a location number, the
Headquarters Records Officer can provide it.
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Description of Records or Information Requested
If a single file is being requested, give the exact title of
the file, as shown in Sample 5. If the entire box is being
requested, enter the box number and the titles of the first
and last folders in the box as follows:
Box 1 (folders Atlanta thru Fairfax)
Remarks
If you are requesting an individual folder, enter the
following in the section titled "Remarks:"
Do Not Send Entire Box
If you are requesting the entire box, enter the following in
the section titled "Remarks:"
Please Send Entire Box
Nature of Service
If you wish the records returned to you, mark the box
"Temporary Loan of Records" as in Sample 5. If you wish to
use the records at the FRC reading room, mark the box
"Review." Other services should be coordinated through the
Headquarters Records Officer.
Name of Requestor
Give the name of the Agency staff person requesting the
records.
Telephone No.
Give the telephone number of the person requesting the
records.
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Name and Address of Agency
Complete this section as follows:
ENVIRONMENTAL PROTECTION AGENCY
(Your program's name, mail code, and room number)
401 M Street SW
Washington, DC 20460
Always use the 401 M street address, even if your office is
not located there. The FRC returns records to the Agency
using UPS, and the only UPS drop off is through the 401 M
Street building. Once the records arrive at the main
building, you will be notified and given the choice of having
the records delivered by interoffice mail, or picking them up
yourself.
Retrieving the Records
To prevent unauthorized access to records, the FRC
maintains a list of Agency staff authorized to request
retrievals. Each OF 11 must be signed by an authorized
person before the FRC will honor the request. The
Headquarters Records Officer is one such authorized person,
and OF lis may be brought to the Information Management
Services Division Office for signature. If your program
retrieves records from the FRC frequently, authorization can
be delegated to a person in you program. Contact the
Headquarters Records Officer for details.
Once the form has been signed it must be delivered to
the FRC. This is done by mail, Fax, or hand delivery.
Normally, the FRC can have the records ready within 24 hours
of the time they receive the request. Records are normally
returned to the Agency via UPS delivery, but you can pick
them up at the Suitland facility or arrange for courier
pickup, or the requestor can use the records in the FRC's
modern reading room.
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Returning Records to the Federal Records Center
Returning boxes or files to the FRC is accomplished by
preparing an EPA Form 1320-3 (Mailing Label). To ensure
that each box or individually retrieved file is properly
refiled you should
• Enclose a copy of the OF 11 used to retrieve the
file or box, and
• Complete a Mailing Label (EPA Form 1320-3)
Mailing labels may be obtained from the Office Supplies
Store. Complete the Form 1320-3 as follows (See Sample 6).
Step 1:
Type the Mail Code for your particular program next to the
word "Agency" in the upper left return address section.
Step 2 :
Type the following address in the center of the form:
Washington Federal Records Center
4205 Suitland Road
Suitland, Maryland 20409
Step 3:
Type the following information about the records being
returned in the left of the form, using the information from
the OF-11 to fill in the blank lines:
RETURN FOR REFILE
Accession #
Location #
Box #
File Name and/or
Number (If Necessary)
Note: Only use "File Name and/or Number" on label if you
are returning individual files to the FRC.
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Step 4
If you are returning boxes, seal top of box with nylon
reinforced tape and paste mailing label on top of the box.
If you are returning individual files, paste label in center
of EPA mailing envelope, insert files, seal and mail. In
either case, always enclose a copy of the OF-11 used to
retrieve the records.
St.ftP 5:
If you are returning boxes of records to the FRC, fill
out EPA Labor Services Request (Standard Form 5100-8) to have
the box(es) picked up and transferred to the FRC. In
completing the SF 5100-8, type the following statement in the
center section titled "Description" filling in the
information requested in italics.
Request (give number of boxes) Federal Records Center
Retirement Boxes be picked-up from Room (give room
number), (give name of section) and delivered to EPA
Shipping and Receiving for further shipment to the
Federal Records Center for refile. Please see (give
name of person responsible) prior to pick-up.
ACCESSION N TIMBER BOXES
412-91-???? (QUANTITY)
St.ftP 6
Forward the form to the Agency Property Office, which
will pick up the records.
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DISPOSITION OF RECORDS
The FRCs provide temporary long or short term storage
for Agency records, but at some point the records stored
there are eligible for either destruction or transfer to the
National Archives for permanent retention. The date of one
of these two events is the Disposal Date, found in Column
(i) of the SF-135. Approximately 90 days before the
disposition is to take effect, the FRC will send the
Headquarters Records Officer a notification of pending
disposition.
If the records are eligible for destruction, the FRC
will send NA Form 13001, Notice of Intent to Destroy
Records. Upon receipt of the form, the Headquarters Records
Officer pulls a copy of the SF-135 for the records listed in
the NA Form 13001 and sends a copy of the SF 135 together
with a cover letter (See Sample 7) to the program director
(either the division director or office head) whose program
created the records. The program director then has 20
working days to either concur in the destruction or justify a
request for extension of retention. Responses are sent to
the Headquarters Records Officer, who will coordinate with
the FRC. All requests for extensions must be justified in
writing. If an extension is granted, the FRC will maintain
the records for at least 3 years and then submit another
Notice of Intent to Destroy Records. If you wish the records
to be retained longer than three years, you should propose a
disposal date in your reply.
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If the records are scheduled for transfer to the
National Archives, the FRC will send the Agency a Standard
Form 258, Request to Transfer, Approval, and Receipt of
Records to the National Archives to the National Archives of
the United States. The SF 258 is used to transfer legal
custody of the records to the National Archives. Upon
receipt of the SF 258, the Headquarters Records Officer will
notify the program director of the request for transfer. The
program director then has 20 working days to concur in the
transfer, or submit a written request to extend the period of
Agency custody.
In either case, the program director's concurrence will
be requested before any action is taken by the Headquarters
Records Officer or the FRC.
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cn
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412-91-1234
14-3/4
Accession
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Letter-ctce. documentation
412-91-1234 2/2
lapping 2 In.
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RECORDS TRANSMITTAL AND RECEIPT
Complete and send original and two copies of this form to the appropriate Federal Records Center for
approval prior to shipment of records. See specific instructions on reverse.
PAGE
1
OF
PAGES
1. TO (Complete addrei* for (At avpropriata record* center terv«i»0 four area)
Federal Archives end Records Center
General Services Administration
At ihown tn
FPMR JOt-JJ 4/0-1
ATTN: Accession Branch, Washington
Federal Records Center, Suitland, MD
2. AGENCY
TRANSFER
AUTHOR-
IZATION
TRANSFERRING AGENCY OFFICIAL (Signature and tttlt)
(202) 382-5912
Records Management Officer
DATE
3. AGENCY
CONTACT
TRANSFERRING AGENCY LIAISON OFFICIAL (Warns, office and telephone No )
Name, Title, Room Number, Phone Number and
Mail Code of Dir., Div., Br., or Sec. Chief
4. RECORDS
CENTER
RECEIPT
RECORDS RECEIVED BY (Signature and (file)
(LEAVE BLANK)
DATE
5. FROM (fitter Mm« and eomp/efa maiiinff
COMPLETED BY RECORDS CENTER
LOCATION
(J)
-
(0
«o
(m)
412
91
(SEE
RCDS.
MGT.}
10
1-10
Records created by organization
shown in Item 3 above. Inclusive
dates of records are: 19 ->19- .
These records consist of: (Use title
of records located on records
schedule)
SEE ATTACHMENT
PREPARE 5 COPIES OF THIS FORM AND
ATTACH COPY OF BOX LISTING TO EACH
FORM
3 copies go to Records Management
1 copy placed in Box 1
1 copy filed in Section
(SE2
BACK
3F
FOR}
Item:
Ref: (See
-1) records
schedule)
See
Records
Schedul
(LEAVE BLA£"K)
2)
135-106
Standard Form 135 {Rev 6-76)
Prescribed by GSA
FPMR (41 CFR> 101-11 <1
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED NO
title OF schedule
GENERAL
SCHEDULE A _ s t ^ . A
COUNSEL RECORDS N C t ~ I 0 /""
I TEM
NO
NAME ANO DESCRIPTION Or REC0H0/FILE
COVERAGE OF SCHEDULE
AGENCyWIDE
RETENTION period a no disposition
PROGRAM MANAGEMENT FILE
Contains documents relating to the management/ operation,
development, and guidance of the Office of General Counsel.
LEGAL INTERPRETATION AND OPINIONS
a. Requests for and responses to requests for legal inter-
pretations and opinions relative to the intent and applica-
tion of environmental laws and regulations.
b. Background material including letters, memos, laboratory
reports, Federal Register clippings, and excerpts from court
transcripts.
DEFENSIVE LITIGATION INVOLVING EPA
Clean Air Act, Clean Water Act, safe Drinking Water Act,
Federal Insecticide, Fungicide, and Rodenticide Act, Toxic
Substances Control Act, Resource Conservation and Recovery
Retention: Retain 10 years.
Disposition: Break file at the end of 1 year.
Keep in office 2 additional years, then send to
Federal Record Center (PRC). Keep in FRC for
B years.
Retention: Permanent.
Dlsposltion: Break fil
amendme-'- < ~ i
Keep 1
Nat iona
11ion: Break file upon the expiration,
lent, or revision of an act or regulatior
n office 15 years, then offer to the
al Archives in 15 year blocks.
Act, Comprehensive Environmental Response, Compensation
and Liability Act, Uranium Mill Tailings Radiation Control
Act, and Harlne Protection, Research and Sanctuaries Act:
Records consist of court pleadings and opinions.
Retention: Retain 10 years.
Pispos11ion: Break file at the end of 1 year.
Keep in office 2 additional years, then send to
the FRC. Keep in FRC for 8 years, then destroy.
Retention; Retain 10 years after completion or
termination of case.
Disposition: Break file upon completion of case.
Keep in office 1 additional year, then send to
FRC. Keep In FRC for 9 years, then destroy.
n
o
x
o
C*
~
Z
>
o
m
*
EPA Form 1340 7 (2 86)
-------
g— f~IAV r^cibimigiun, uv
Facilities Services Request
Name Of Requestor
FMSD Agency 1 D No
Office
Bui ding
Room
Program Transaction
Phone
Mai Icode
E Mail
Custodial Area
Q Building Modification 0 Labor Services Q Lock wort; 0 Secunty Systems 0 Sgnage
~ Bulletin Board /Directory Changes 0 Carpet Cteaning/Rem oval/Re pair ~ Drapery AlteraDons/Cleamng/Removal Installations
0 Other (Specify)
Description
Request (number) Federal Records Center Retirement
Boxes be picked—up from Room (room number) , (name of
section) and delivered to EPA Shipping and Receiving
for further shipment to the Federal Records Center.
Please see (person responsible) prior to pick-up.
ACCESSION NUMBER BOXES
412-00-0000 (QUANTITY)
Justification
Certification
1 certify that the statements 1 have made on this form and all attachments thereto are true, accurate, and complete 1 acknowledge
that any knowingly false or misleatfng statement may be punishable by fine or impnsonment or both under applicable law
/ certify that funds are available
Signature of Commitment Clerfc
Telephone No
Appropriation
DCN
Account No
Object Class
Dollar Amount
Action Taken
Action
Date
Time
Action
Date
Time
Laborers Dispatched
Arrived on Job
Laborers Returned
Job Completion
1 certify that the wortc was satisfactorily completed
Customer's Signature
SAMPLE 4
-------
REFERENCE REQUEST—FEDERAL RECORDS CENTERS I NOTE: Use a separate form for each request
SECTION I—TO BE COMPLETED BY REQUESTING AGENCY
RECORO GROUP NO
ACCESSION NO
AGENCY BOX NUMBER
RECOROS CENTER LOCATION NUMBER
412
91-1234
3 <* 10
00/00:00-0.0
DES X OF RECORDS) OR INFORMATION REQUESTED (Include file number and title )
File Titled: Environmental Impact Statement
REMARKS
Do Not Send Entire Box
NATURE OF SERVICE
—1 FURNISH COPY OF |—1 PERMANENT
| RECORCXS) ONLY I I WITHDRAWAL
[—1 TEMPORARY
XJ LOAN OF RECORCXS)
—I I—I OTHER
_l REVIEW 1 1 (Specify)
NAME OF REQUESTER
Marv U-f 1 snn
TELEPHONE NO [—| FTS
(202) 382-1234
OATE
Anr. 1. ic
RECEIPT OF RECORDS
91
1AME ANO
ENVIRONMENTAL PROTECTION AGENCY
k Information Mgmt & Svcs Div. (PM-211D) Rm. 2002
££? 401 M Street S.W.
ju**ng IBWashington, DC 20460
vom no
md ZIP
Code} r (tn Wssfwtgtoo, D C mJso rtctude STOP number)
Requester please sign, date and return this form, (or
file rtem(s) listed above. ONL Y if the block to right r—.
has been checked by the Records Center 1 1
SIGNATURE
DATE
SECTION II—FOR USE BY RECORDS CENTER
Z] R IS NOT IN CENTER CUSTOOY O RECOROS DESTROYED
Zl WRONG BOX NUMBER—PLEASE RECHECK
—I ADDITIONAL INFORMATION REQUIRED TO IDENTIFY RECORDS
—1 REQUESTED
—I MISSING (Neither record(s). information nor charge card found m
—> containers) specified)
RECOROS PREVIOUSLY CHARGED OUT TO (Name, agency and date)
REMARKS
OATE
SERVICE
TIME
REQUIRED
SEARCHER'S
INITIALS
SECTION III—TO BE COMPLETED BY REQUESTING AGENCY
General Services Administration
Federal Records Center NARS
k Reference Section
NOTE: In Washington, D.C. area
send to STOP 386
TO E
W Suitland, Md 20409
f (City) (State)
(Zip Code)
SAMPLE 5
-------
INSTRUCTIONS FOR RETURNING RECORDS TP THE FEDERAL RECORDS CENTER
1. Type One EPA Form 1320-3 (Mailing Label), as shown below
for each box being returned.
2. Place label on Top of box.
3. Fill-out EPA Form 5100-2 (Labor Services Request) to have
box(es) picked-up and transferred to Shipping and Receiving
for further shipment to the Federal Records Center in Suitland
Maryland.
SEPA
United States
Environmental Protection
Agency (Mail Code)
Washington, DC 20460
Official Business
Penalty for Private Use
$300
RETURN FOR REFILE
Accession #
Location #
Box #
EPA Form 1320-3 (Rev. 3-84)
WASHINGTON FEDERAL RECORDS CENTER
4205 Suitland Road
Suitland, Md 20409
SAMPLE 6
-------
\ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
o WASHINGTON, D.C. 20460
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Notice of Intent to Dispose of Records
FROM: Harold Webster
Agency Records Officer
Information Management and Services Division
TO:
We have received notification from the Washington
National Records Center that a group of
will be eligible for disposal on
. These files were transferred to the records
center on . We are attaching a copy of the
transmittal form showing a description of the file contents.
Under the approved Records Control Schedule ,
these records may be legally destroyed since their authorized
period of retention has expired. If you do not concur with
this disposal action, please advice us in writing by
. A recommendation for further retention must
include a proposed new disposal date and a statement of
justification indicating a specific need for the records.
Attachment: Records Transmittal and Receipt (SF-135)
ACCESSION NUMBER(S) BOX(ES>
SAMPLE 7
Printed on Recycled Paper
-------
issi
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Notice of Intent to Dispose of Records
FROM: Harold Webster
Agency Records Officer
Information Management and Services Division
TO:
We have received notification frpm the Washington
National Records Center that a group of
will be eligible for disposal on
. These files were transferred to the records
center on . We are attaching a copy of the
transmittal form showing a description of the file contents.
Under the approved Records Control Schedule ,
these records may be legally destroyed since their authorized
period of retention has expired. If you do not concur with
this disposal action, please advice us in writing by
. A recommendation for further retention must
include a proposed new disposal date and a statement of
justification indicating a specific need for the records.
Attachment: Records Transmittal and Receipt (SF-135)
ACCESSION NUMBERfS) BQX(ES)
Panted on Recycled Paper
-------
Il
&EPA
Of Requestor
United States Environmental Protecbon Agency
Washington, DC 20460
Facilities Services Request
Date
FMSD Agency I 0 No
Office
Bui ding
Room
Program Transaction
Phone
Mailcode
E Mail
Custodial Area
~ Building Modification ~ Labor Services ~ Lockwork
~ Bulletin Board /Directory Changes Q Carpet Cleaning/Removal/Re pair
[Z]Other (Specify)
| |Secunty Systems Q Signage
~ Drapery Alterabons/Cleaning/Remova) Installations
Descnptwn.
Request (number) Federal Records Center Retirement
Boxes be picked-up from Room (room number) , (name of
section) and delivered to EPA Shipping and Receiving
for further shipment to the Federal Records Center.
Please see (person responsible) prior to pick-up.
ACCESSION NUMBER
412-00-0000
BOXES
(QUANTITY)
Justification
Certification
I certify that the statements I have made on this form and all attachments thereto are true, accurate, and complete I acknowledge
that any knowingly false or misleading statement may be punishable by fine or impnsonment or both under applicable law
/ certify that funds are available
Signature of Commitment Clerk
Telephone No
Appropriation
DCN
Account No
Object Class
Dollar Amount
Action Taken
Action
Date
Time
Action
Date
Time
Laborers Dispatched
Amved on Job
borers Returned
Job Completion
/ certify that the work was satisfactorily completed
Customer's Signature
EPA Form 5100-8 (6-90) C°PY Distribution:
Replaoas EPA Form 5100-1 and EPA Form 5100-2 , both of Originator, submit four copies to Facllitle»;
wkM ... Ah.ni.i. retain last copy for your records.
-------
BOX LISTING
(Use Plain BOND PAPER and list each and every folder)
BOX 1 of BOXES
1. xxxxxxxxxxxxxxxxxxxxx
2. xxxxxxxxxxxxxxxxxxxxx
3. xxxxxxxxxxxxxxxxxxxxx
4. xxxxxxxxxxxxxxxxxxxxx
BOX ? of BOXES
1. XXXXXXXXXXXXXXXXXXXXX
2. XXXXXXXXXXXXXXXXXXXXX
3. XXXXXXXXXXXXXXXXXXXXX
4. XXXXXXXXXXXXXXXXXXXXX
BOX 3 of BOXES
1. XXXXXXXXXXXXXXXXXXXXX
2. XXXXXXXXXXXXXXXXXXXXX
3. XXXXXXXXXXXXXXXXXXXXX
4. XXXXXXXXXXXXXXXXXXXXX
BOX 4 of BOXES
1. XXXXXXXXXXXXXXXXXXXXX
2. XXXXXXXXXXXXXXXXXXXXX
3. XXXXXXXXXXXXXXXXXXXXX
4. XXXXXXXXXXXXXXXXXXXXX
-------
SEPA
Name Ol Requestor:
United States Environmental Protection Aoency
Washington. DC 20460
Facilities Services Request
Date
FMSD Agency I D No
lice.
Buidbig:
Room:
Program Transaction
Phone.
EMal:
Custodial Area
~ Building Modification Q Labor Services QLoctoworfc
~ Bulletin Board /Directory Changes { | Carpet Cisaning/RerrtovaVRepair
O Other (Specify)
J [ Security Systems Q Signage
~ Drapery A Iterations/Cleaning/Removal Installations
Description'
Request (number) Federal Records Center Retirement
Boxes be picked-up from Room (room number), (name of
section) and delivered to EPA Shipping and Receiving
for further shipment to the Federal Records Center for
refile. Please see (person responsible) prior to pick-
up .
ACCESSION NUMBER
412-00-0000
BOXES
(QUANTITY)
JustifiesHon-
Certification
I certify that the statements I have made on Ms farm and al attachments thereto are true, accurate, and complete I acknowledge
thai my knowingly false or misleading statement may be punishable by line or imprisonment or both under applicable law
1 certify that funds are available
Signature of Commitment CJerfc
Telephone No
Appropriation
DCN
Account No:
Object Class
Dollar Amount
Action Taken
Action
Date
Time
Action
Date
Time
Laborers Dispatched:
Amved on Job:
Laborers Returned:
Job Completion:
| / certify that the work was satisfactorily completed
Customer's S^j nature:
EPA Form 5100-8 (6-90) Copy Distribution:
Replaces EPA Form 5100-1 and EPA Form 5100-2, both of Originator, submit four copies to Facilities;
which are obsolete. retain last copy for your records.
-------
REFERENCE REQUEST—FEDERAL RECORDS CENTERS
NOTE: Use a separate form for each request.
SECTION I—TO BE COMPLETED BY REQUESTING AGENCY
RECORD GROUP NO
ACCESSION NO
AGENCY BOX NUMBER
RECORDS CENTER LOCATION NUMBER
412
91-1234
3 * 10
00/00:00-0.0
DESCRIPTION OF RECORDS) OR INFORMATION REQUESTED (Indude file number and title J
File Titled: Environmental Impact Statement
REMARKS
Do Not Send Enrirs Box
NATURE OF SERVICE
I—1 FURNISH COPY OF 1—1 PERMANENT
L J RECORDfS) ONLY 1 1 WITHDRAWAL
[—1 TEMPORARY
XJ LOAN OF RE0ORD(S)
[—1 (—1 OTHER
_1 REVIEW 1 1 (Spocdy)
NAME OF REQUESTER
Marv W-f 1 son
TELEPHONE NO |—| FTS
(202) 382-1234
DATE
A-or. 1. 1 <3
RECEIPT OF RECORDS
Q1
NAME AND
O^GENCY environmental protection agency
v Information Mgmt & Svcs Div. (PM-211D) Rm. 2003
401 M Street S.W.
KSS WBWashington, DC 20460
room no
Code) f (m Watfwtgton. DC tru alto mude STOPnmtm)
Requester please sign, date and return this form, tor
file item(s) listed above, ONLY it the block to ngm ¦—>
has been checked by the Records Center L_l
SIGNATURE
DATE
SECTION II—FOR USE BY RECORDS CENTER
~ RECORDS NOT IN CENTER CUSTODY ~ RECORDS DESTROYED
~ WRONG BOX NUMBER—PLEASE RECHECK
1—1 ADDITIONAL INFORMATION REQUIRED TO IDENTIFY RECORDS
I—J REQUESTED
|—| MISSING (Neither record(s). mformabon nor charge card found m
«—1 contained*) specified)
f~"l RECORDS PREVIOUSLY CHARQEO OUT TO (Name, agency and date)
REMARKS
DATE
SERVICE
TIME
REQUIRED
SEARCHER'S
INITIALS
SECTION III—TO BE COMPLETED BY REQUESTING AGENCY
J
General Services Administration
Federal Records Center MARS
Reference Section
NOTE: In Washington, D.C. »
send to STOP 386
TO 1
W Suitland, Md 20409
1
T (Cay) (Sua)
(Zip Coda)
5011-106 MSN 7540-00-662-6423 PREVIOUS EDITION USABLE OPTIONAL FORM 11 (Rev »-79|
Prescribed by GSA, FPMR (41 CFR) 101-1104
-------
Stapled
Accession
Number
Bo*
NurnJxr
£
14-3/4
LctteMlic documentation
412-91-1234 2/2
r»
tapping 2 In.
Lcgat-clxc documentation
-------
RECOk TRANSMITTAL AND RECEIPT
Complete and send original and t*
approval prior to shipment of recon.
« of this form to the appropriate Federal Records Center for
je specific Instructions on reverse.
PAGE
1
AGES
5. FROM (fitter tJu name and complete mailing addrntt of the office retiring the recorde The noned receipt
of Ihu form tm!l be lent to (Au address)
ENVIRONMENTAL PROTECTION AGENCY
Information Mgmt. & Services Div. (PM-211D).
ATTN: Records Management
401 M St., S.W., Wash., D.C. 20460
i. to
At tKoum in
FPMR 101-1X.
(Complete (A« addreea for tAi appropriate records center aerving pour area)
Federal Archives and Records Center
General Services Administration
ATTN: Accession Branch, Washington
vo-i w Federal Records Center, Suitland, MD
2. AGENCY
TRANSFER
AUTHOR-
IZATION
3. AGENCY
CONTACT
4. RECORDS
CENTER
RECEIPT
TRANSFERRING AGENCY OFFICIAL (Signature and title)
(202) 382-5912
Records Management Officer
DATE
TRANSFERRING AGENCY LIAISON OFFICIAL {Name, office and ttievhone No.)
Name, Title, Roan Number, Phone Number and
Mail Code of Dir., Div., Br., or Sec. Chief
RECORDS RECEIVED BY {Signature and title)
(LEAVE BLANK)
DATE
Fold Jiiu
RECORDS DATA
ACCESSION NUMBER
RG
(a)
FY
lb)
NUMBER
(«)
VOLUME
<«. it.)
id)
AGENCY
BOX
NUMBERS
<•>
SERIES DESCRIPTION
(Wil\ inclusive date* of recordsy
(/)
(0)
DISPOSAL AUTHORITY
(Schedule and
item number)
(*)
DISPOSAL
DATE
(t)
COMPLETED BY RECORDS CENTER
LOCATION
(it
2 5
XjH
1/3 a-
<*>
fcS
8t
a)
Og.
52
-------
INSTRUCTIONS FOR COM!
FOR COMPLETION BY THE TRANSFERRING AGENCY
Items 1, 2, 3 and 5 are self-explanatory. Specific instructions for item 6 are as
follows:
Col.
Accession Number. A separate accession number is required for each
series of records listed on the form. A series consists of records having
the same disposal authority and disposal date that are transferred
together to the records center. The accession number is entered in
three parts, consisting of:
(~) The NARS record group number assigned to the records of the agency
making the transfer;
(~) The last two digits of the current fiscal year; and
(c) A four digit sequential number obtained in advance from the records
center. (Arrangements may be made with the center to have these
numbers assigned by the agency records officer or other official.)
(d) Volume. Enter the volume in cubic feet of each series of records being
transferred.
(e) Agency Box Numbers. Show the inclusive box numbers for each series
of records being transferred. The agency shall number each carton
sequentially as follows: 1 of 25, 2 of 25, 3 of 25, etc. (Each new series
of records should begin with carton number 1.) To facilitate control
of the records and future reference service, the agency also shall mark
each container with the assigned accession number prior to shipment.
(/) Scries Description. Describe the records in sufficient detail to allow
the records center to check for proper application of the disposal
schedule. Inclusive dates of the records should be indicated. Show the
organizational component that created the records when it is other
than that shown in item 5.
ig) Restriction. Enter one of the following codes to show a restriction on
use of the records. Restrictions other than (or in addition to) security
classifications, such as limiting access to certain agency officials, are to
be specified by a statement in the Series Description column (f).
OF STANDARD FORM 135
Code
Restrictions
Q
Q security classification
T
Top Secret security classification
S
Secret security classification
c
Confidential security classification
R
Restricted use—witnessed disposal not required
(specify in column (f))
W
Restricted use—witnessed disposal required
(specify in column (f))
N
No restrictions
(h) Disposal Authority. For each series of records, cite the agency sched-
ule and specific item number authorizing disposal. Cite the NARS
disposal job and item number if it has not been incorporated into ail
updated agency schedule.
(i) Disposal Dale. Applying the disposal authority previously cited in
column (h), enter the month and year in which the records may be
destroyed.
FOR COMPLETION BY THE RECORDS CENTER
Item 4 is self-explanatory. Specific instructions for item 6 are as follows;
Col.
(/) Location. The records center annotates the shelf location of the first
carton for each series of records.
(k) Shelving Plan. The records center enters the appropriate code from
Chap. 7-10e, HB, Records Center Operations (NAR P 1864.1A), to
reflect the shelving system.
(I) Container Type. The records center enters the appropriate code from
Chap. 7-10h, NAR P 1864.1A, to reflect the type of container in which
the records are retired.
(m) Automatic Disposal. The records center enters either Y (yes) to
indicate automatic disposal applies or N (no) indicating that the
agency wishes to receive disposal concurrence notice prior to destruc-
tion of the records. Automatic disposal is applied only when pre-
viously agreed upon by the agency.
Use Standard Form 135—A, Records Transmittal and Receipt Continuation,
when additional space is required for listing records data.
Standard Form 135 Back (Rev 6-76)
u s n-ivu'-'Mj/r ppwrinn orncr issi o - 3ni-s?6 two)
-------
S(4>'
-------
RDS TRANSMITTAL AND RECEIPT
Complete and send origina'
approval prior to shipment
i copies of this form to the appropriate Federal Records Center for
Js. See specific instructions on reverse.
1. TO (Complete the address for tA« appropriate records center serving |»mr area)
Federal Archives and Records Center
General Services Administration
p/
OF
PAGES
At lAotcm in
FPUR 101-11.UO-1
2. AGENCY
TRANSFER
AUTHOR-
IZATION
3. AGENCY
CONTACT
4. RECORDS
CENTER
RECEIPT
TRANSFERRING AGENCY OFFICIAL (Signature and title)
DATE
TRANSFERRING AGENCY LIAISON OFFICIAL (No
and telephone No.)
RECORDS RECEIVED BY (Sfe«atiir« and title)
DATE
3. FROM (Enter the name and complete mailing address of the office retiring the records, i ne signed receipt
of thts form toitl be tent to (Ait address)
Fold line
RECORDS DATA
ACCESSION NUMBER
RQ
(a)
FY
<*>
NUMBER
(c)
VOLUME
(en. ft.)
(d)
AGENCY
BOX
NUMBERS
SERIES DESCRIPTION
(Wiffc inclusive dates of records)
if)
l3k
ae
(0)
DISPOSAL AUTHORITY
(Schedule and
item number)
(M
DISPOSAL
DATE
(O
COMPLETED BY RECORDS CENTER
LOCATION
0)
-------
INSTRUCTIONS FOR COMPLE
FOR COMPLETION BY THE TRANSFERRING AGENCY
Items 1, 2, 3 and 5 are self-explanatory. Specific instructions for item 6 are as
follows:
Col.
Accession Number. A separate accession number is required for each
series of records listed on the form. A series consists of records having
the same disposal authority and disposal date that are transferred
together to the records center. The accession number is entered in
three parts, consisting of:
(a) The NARS record group number assigned to the records of the agency
making the transfer;
(b) The last two digits of the current fiscal year; and
(c) A four digit sequential number obtained in advance from the records
center. (Arrangements may be made with the center to have these
numbers assigned by the agency records officer or other official.)
(d) Volume. Enter the volume in cubic feet of each series of records being
transferred.
(e) Agency Box Numbers. Show the inclusive box numbers for each series
of records being transferred. The agency shall number each carton
sequentially as follows: 1 of 25, 2 of 25, 3 of 25, etc. (Each new series
of records should begin with carton number 1.) To facilitate control
of the records and future reference service, the agency also shall mark
each container with the assigned accession number prior to shipment.
(/) Series Description. Describe the records in sufficient detail to allow
the records center to check for proper application of the disposal
schedule. Inclusive dates of the records should be indicated. Show the
organizational component that created the. records when it is other
than that shown in item 5.
(g) Restriction. Enter one of the following codes to show a restriction on
use of the records. Restrictions other than (or in addition to) security
classifications, such as limiting access to certain agency officials, are to
be specified by a statement in the Series Description column (f).
I OF STANDARD FORM 135
Code
Restrictions
Q
Q security classification
T
Top Secret security classification
S
Secret security classification
c
Confidential security classification
R
Restricted use—witnessed disposal not required
(specify in column (f))
W
Restricted use—witnessed disposal required
(specify in column (f))
N
No restrictions
(h) Disposal Authority. For each series of records, cite the agency sched-
ule and specific item number authorizing disposal. Cite the NARS
disposal job and item number if it has not been incorporated into an
updated agency schedule.
(t) Disposal Date. Applying the disposal authority previously cited in
column (h), enter the month and year in which the records may be
destroyed.
FOR COMPLETION BY THE RECORDS CENTER
Item 4 is self-explanatory. Specific instructions for item 6 are as follows:
Col.
(j) Location. The records center annotates the shelf location of the first
carton for each series of records.
(k) Shelving Plan. The records center enters the appropriate code from
Chap. 7-10e, HB, Records Center Operations (NAR P 1864.1A), to
reflect the shelving system.
(/) Container Type. The records center enters the appropriate code from
Chap. 7-10h, NAR P 1864.1A, to reflect the type of container in which
the records are retired.
(m) Automatic Disposal. The records center enters either Y (yes) to
indicate automatic disposal applies or N (no) indicating that the
agency wishes to receive disposal concurrence notice prior to destruc-
tion of the records. Automatic disposal is applied only when pre-
viously agreed upon by the agency.
Use Standard Form 135-A, Records Transmittal and Receipt Continuation,
when additional Bpace is required for listing records data.
Standard Form 135 Back (Rev. 6-76)
O U S GOVERKMDfT HUNTING 01TICE 1981 0 - 3U1-556 I6t69)
------- |