Records Transfer
Records centers are authorized to store records of a Federal agency that are properly covered by a NARA-approved records disposition schedule or the General Records Schedule (GRS).
Before transferring records to a records center, separate the records into series. A series is defined as a "block of records having the same disposition authority and same disposition date." Each item or subordinate item in your record schedule represents a series. Identify and separate your records into blocks (series) by records schedule item number and cutoff date. Transfer each series as a separate transfer. Each transfer must consist of at least one box and normally only one closing year date for a series of temporary records. There will no longer be a records center imposed limit on the number of boxes in a transfer. In most cases, agency offices send only completed or closed case files, contracts, and so forth.
Agencies can send unscheduled, contingent, frozen, mixed, permanent and non-paper based records to the records center under certain conditions. However, there must be a pending SF-115 for unscheduled records before the center will accept them. (See 36 CFR 1228.154(b).) The SF-135 must contain the pending SF-115 number in block 6h, with the corresponding item from the schedule and the word " Pending " in parenthesis. Also, because these are unscheduled records, the agency will be required to provide a detailed folder listing for each transfer when the SF-135 is submitted.
Records centers may now accept records that have less than a one-year retention period before disposition. 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.
Records centers cannot routinely accept mixed records series (those records that have different disposition authorities) without an approved exception. Non-paper based records (tape recordings, videotapes, records on magnetic media, etc.) should not be mixed with paper records because of temperature and humidity vulnerabilities. Agencies may discuss retiring these records by contacting the local records center (See Federal Records Centers Directors.)
Contact the Director, Archival Operations, at the nearest records center for advice on where to send permanent microfilm records.
The Records Transmittal and Receipt, SF-135s, for permanent records must be accompanied by a detailed folder title list. These lists may be made on the SF-135 itself or on plain paper included as an attachment.
Agency offices may choose to transmit the SF-135 (and box listings) electronically using e-mail. You may obtain an electronic version of the SF-135 by visiting www.archives.gov/frc/forms/sf_135_intro.html.
Preparing Standard Form 135, Records Transmittal and Receipt
Item 1: A completed SF-135 must be sent to your records center for approval before shipping records. This form is used for control purposes. One SF-135 is suggested for each transfer of temporary records (See a sample of the SF-135). A separate SF-135 is required for each series of permanent or unscheduled records. For instructions on completing the SF-135, see the reverse side of the form and note the following:
Item 2: Sign and date the form. To improve the transfer process for our customer agencies, SF-135s will be accepted without original signatures.
Item 3: Provide the name and commercial telephone number, including area code (not DSN), of the person to contact about the records. An e-mail address provided here may help us communicate more effectively with you, particularly if you are in a distant (or overseas) location.
Item 4: Completed by the records center.
Item 5: Provide the complete address of the transferring office.
Item 6: (a) The NARA record group number assigned to the records of the agency making the transfer and (b) the last two digits of the current fiscal year.
Item 6: (c) In most records centers, staff assigns 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.
Item 6: (e) The agency box numbers column is used to indicate the inclusive range of numbers (e.g,1-30).
Item 6: (f) Series Description: describe the records in sufficient detail to allow records center personnel to verify compliance with your records schedule. A complete series description includes the closing date (or inclusive dates) of the records. Include the organizational component that created the records when it is other than that shown in item 5. Item 6(f) should include a detailed folder listing for each box, if the records are scheduled for permanent retention,unscheduled, or if disposition instructions indicate sampling or screening records is necessary. You must indicate if the series of records is subject to the Privacy Act. Since SF-135s are public records, information included on SF-135s should not be subject to the Privacy Act.
Special description requirements apply for certain records and should be stated in item 6f:
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 General Accounting Office, and indicate whether the site audit records do or do not pertain to Native Americans.
Non-paper based Records: These can include records such as microfilm, engineering drawings (because of the special format), etc. The format should be included in 6(f).
Item 6: (g) Restriction: complete this section using one of the codes listed on the back of the SF-135. Code 'W'should be used for unclassified Privacy Act System records. Explain any special restrictions at the bottom of the page, if needed.
Add "E" to designate Restricted Data (RD) or Formerly Restricted Data (FRD) records. In addition to the "E," you must include the appropriate classification (Top Secret, Secret, Confidential) set forth in EO 12958 and later amended by EO 13292. These restriction codes are only to apply to documents pertaining to National Security Information rather than information of a proprietary nature.
Item 6: (h) 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. Also, use the General Records Schedules (36 CFR 1228.40-46) when dealing with records common to most offices such as contracts, civilian personnel records, travel and transportation records and similar records. Contact center staff for additional information.
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. Permanent records are offered to NARA on an annual basis; no month is shown in the disposition date field. Place "P" after the offer year.
Approving the Standard Form 135
The records center staff will review your SF-135 for completeness and accuracy. If acceptable, the center will assign the transfer number and return one copy of the SF-135 within ten working days authorizing shipment of the boxes. If you submitted a SF-135 electronically, the "original" SF-135 can be placed in the first box as the "shipment" copy. If the boxes or other containers are tightly sealed, place this shipment copy in an envelope taped to the outside of the first container.
All transfers must include a copy of the SF-135 in box number one of each transfer. Agencies should always retain a copy of the detailed box listing in your office so that you may provide agency box numbers when requesting reference service.
Center staff will return a signed copy of the SF-135 to you, after the records have been shelved and issued a records center location number, as an official receipt. This receipted copy is your official record of the transfer and should be retained in your files.
Packing the Records
It is wise to leave a 1-2 inch space in each box to allow ease of reference. Never put additional material on the bottom, side, or top of the records in the box. Do not include mixed media (e.g., computer diskettes, microfilm, or videocassettes) in the same transfer with paper records without prior approval from the records center. Do not overpack the boxes.
Numbering Boxes for Shipment
After you receive the approved SF-135 from the records center, write the transfer number and the box number in the designated printed blocks on each box. Use a black felt tip marker and make the numbers at least 1.5" high. Do not write on sealing tape. Do not 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 supply additional identifying information. No standard method of affixing labels is effective for long-term storage. The sides of the boxes may be used to write any information concerning box content. Also see Box Assembly Instructions.
Shipping of 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, promptly advise center staff. Unexplained delays of more than 90 days may result in the records center canceling the transfernumber and returning your SF-135.
In most instances, especially commercial transportation or shipment via the U.S. Postal Service, the boxes must be sealed with tape. Do not tape over the transfer number or the agency box number. For questions regarding shipping methods and costs, contact GSA's regional Traffic and Travel Service offices.
Agencies may send their records by mail, FedEx, United Parcel Service (UPS), or common carrier on pallets. Some centers will pick up agency records. Check with your local center for scheduling and fees. For shipments of less than 20 boxes, agencies will find it most economical to mail them to the records center or ship them via UPS. UPS shipment has the advantage of automatic registration and tracing.
For shipments over 20 boxes, make all the necessary arrangements to ensure that the boxes arrive at the records center in numerical order so that Box 1, with a copy of the SF-135 included, is the first box unloaded. If shipments of 20 boxes or more must be mailed, they may be sent in a postal container or by bulk mail.
Agencies shipping their boxes on pallets using a commercial carrier should complete a Transportation Services Order (TSO). (See a sample of a Transportation Service Order (TSO).)
See a Diagram of a Properly Stacked Pallet for recommended stacking order of boxes on pallets. For shipments of 100 or more boxes, call the records center to schedule a shipping date, and instruct commercial carriers to contact the records center 24 hours before delivery.
Shipments arriving at the center out of order, in oversize boxes, improperly taped, or improperly marked, may require extensive remedial effort and increased costs. These costs are the responsibility of the shipping agency.
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