Transfer of Unscheduled Records to Records Storage Center Facilities - FAQs
NARA's Federal Records Centers announces updated regulations for the transfer of unscheduled records to records storage center facilities, starting January 14, 2005
As of January 14, 2005, the regulations governing the transfer of Federal records to records storage facilities have been changed to simplify the process of transferring unscheduled records. NARA no longer requires that agencies have a pending SF 115 (Request for Records Disposition Authority) registered with NARA's Life Cycle Management Division (NWML) to transfer unscheduled records to a records storage facility. Agencies simply need to notify NWML in writing prior to the transfer.
The following list provides answers to questions that NARA's Federal Records Centers (FRC) customers may have about the new regulations. For further information on transferring unscheduled records to a NARA records center facility, please contact Kenny Ragland at kenneth.ragland@nara.gov or 301-837-1671.
Transfer of Unscheduled Records to Records Storage Center Facilities - FAQs
- What are unscheduled records?
Unscheduled records are Federal records whose final disposition has not been approved by NARA in a records schedule. - Where can I find the new citations in the CFR regarding unscheduled records?
The amended sections are 36 CFR 1228.152 and 154, available online.
- When does this policy change take effect?
January 14, 2005 - Why has this change to policy been made?
This change is intended to simplify the process for transferring unscheduled records and to allow agencies to transfer unscheduled records in a timely manner. Agencies no longer have to wait for approval of an SF 115 from NARA's Life Cycle Management Division (NWML) to transfer their unscheduled records to records centers.
- How do I transfer unscheduled records to a NARA records center, and
how does the procedure for transferring unscheduled records differ from transferring
scheduled records?
The process is similar; agencies must submit a SF 135 for approval prior to the shipment of boxes. However, there are four key differences that NARA would like to emphasize. Agencies must:
- Inform NARA's Life Cycle Management Division (NWML) in writing prior to the transfer. This can be done by sending NWML (a) a brief letter that encloses a copy of the SF 135 submitted for records center approval before transferring the unscheduled records to the records center; or (b) a letter that incorporates the information concerning the records contained on the SF 135 (see question #6). NARA Records Centers do not need a copy of this letter. Include on the SF 135 the date you notified NWML.
- Include the official series title (if applicable) or a general descriptive title for the records in ITEM 6(f): Series Description on the SF 135.
- Include a folder title list of the box contents or equivalent detailed records description. This description can be listed under ITEM 6(f): Series Description or included as an attachment.
- Under ITEM 6(i) Disposal Date on the SF 135, indicate "U"
for unscheduled records.
- What information is required in the written notification to NARA's Life
Cycle Management Division (NWML)?
The notification must provide the name and address of the records storage facility and the following information about the records:
- Creating Office;
- Series title (in the absence of an official title, a descriptive title of the records);
- Description (in the case of unscheduled records, the description must include a folder title list of the box contents or equivalent detailed records description);
- Date span;
- Physical form and medium of records (e.g., paper, motion picture file, sound recordings, photographs or digital images);
- Volume;
- Restrictions on access, if applicable; and
- Control number or identifier used to track records (if applicable).
Since all of the above information is collected on the SF 135, you may find it easiest to submit a copy of the SF 135 for your unscheduled records to NWML with a brief cover letter prior to transferring the records to the NARA records center. You may submit the SF 135 to the NARA records center for approval and to NWML at the same time.
- Do I need to submit a separate SF 135 for each transfer?
Yes
- In describing the unscheduled records, the regulation asks agencies
to provide a "folder title list of the box contents or equivalent detailed
records description". What information is considered an adequate "detailed
records description"?
NARA encourages agencies to practice good records management and recommends that agencies provide as much descriptive information as possible to facilitate both reference requests and appraisals. The folder title list or detailed description helps your agency identify box contents for business use for reference requests, and it also helps NARA appraise the records.
NARA records centers can, on a reimbursable basis, assist your agency in complying with the revised regulations. We can help your agency organize your records, put them into logical order, and help you prepare folder lists and other descriptions. Please contact your local records center for assistance with these tasks. - How do I retrieve unscheduled records from a NARA records center?
Unscheduled records are retrieved using the same reference procedure as is used for scheduled records. - Is it possible to have the storage and servicing of my unscheduled records
billed to a suboffice within my agency?
Yes. If you would like storage and servicing of your unscheduled records to be billed to a specific suboffice in your agency, you may elect to use stratified billing. Contact your Agency Records Officer to implement stratified billing. - Who is authorized to submit notifications?
Any official authorized to retire records may submit a notification to NARA's Life Cycle Management Division (NWML). We strongly recommend that you also provide a copy of the notification to your agency's records officer. - May unscheduled records be destroyed?
No. Federal records cannot be destroyed without being scheduled. - How do I get unscheduled records scheduled?
In order to get records scheduled, you must submit a SF 115 (Request for Records Disposition Authority) to NARA's Life Cycle Management Division (NWML). In accordance with 36 CFR 1228.26(a)(1) and (2), agencies must submit schedules to NARA for all records, other than those series included in the General Records Schedules.
NARA records center staff can help agencies organize unscheduled records in preparation for scheduling by NWML. These services are offered on a reimbursable basis, and include assistance with organizing files into logical order and in accordance with good records management principles, and conducting physical inventories of records. - Whom do I contact if I still have questions?
For further information on transferring unscheduled records to a NARA records center facility, please contact Laura McCarthy at laura.mccarthy@nara.gov or 301-837-3023.
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