Reviewing Transfer Requests in ERA 2.0 for the Annual Move
An Annual Move Transfer is a transfer of permanent records from temporary storage in a Federal Records Center (FRC) to the physical and legal custody of the National Archives. In general, the National Archives will generate the Transfer Request (TR) in the Electronic Records Archives (ERA) for permanent records stored at an FRC. These are for records that are eligible for accessioning into the National Archives. The TR will be drafted by NARA for agencies in October of the year prior to eligibility. To submit an Annual Move transfer, you must review, and update if needed, then submit the drafted TR in ERA.
ERA 2.0 system requirements are further explained in the ERA User Manual. Please note that ERA 2.0 is an unclassified system.
Once a TR is submitted an Archival unit will review it for approval, and a member of our staff will contact you if needed. If you have questions about the Annual Move process, please contact your accessioning archivist or Annual.Move@nara.gov.
The Annual Move Cycle
The figure below depicts the workflow for Annual Move Transfer Requests within ERA 2.0. It shows the business process step-by-step from start to finish with key activities and responsible end users. For more information, please contact Annual.Move@nara.gov.
Note: * The Approving Official may reassign the Transfer Request to the Transferring Official
Note: ** This process happens outside of ERA 2.0
The figure above shows the workflow for an Annual Move Transfer Request. Prior to this point in the process agencies will receive a list of transfers eligible for the next Fiscal Year’s Annual Move called the candidate list. See Agencies guide to candidate list for further information.
Step 1. The National Archives creates Draft Transfers Requests of each eligible transfer.
Step 2. The Approving Official reviews and proposes the Draft Transfer Request (The Approving Official may reassign the Transfer Request to the Transferring Official).
Step 3. The Transferring Official reviews and submits the Draft Transfer Request.
Step 4. The Archival Unit makes an approval or return to Approving Official decision.
Step 5. If approved, the NARA staff can physically send the records to the Archives (This process happens outside of ERA 2.0).
Step 6. The Archival Unit will accept final custody and the Transfer Request is completed.
The National Archives generates the Transfer Request for eligible records on or around October, 1st.
“Eligible Transfers” include records permanent and eligible by date, according to ARCIS, the Federal Records Center information system. Additionally, transfers that are overdue from past moves are automatically included in 5-year increments (e.g. 2017, 2012, 2007, 2002, etc. for the FY 2017 Annual Move). This process is known as the “five-year sweeps” which includes records twenty years past disposition.
Agencies should take action on the Transfer Request generated by the National Archives within the year they are generated.
Transfer Requests which are submitted late are reviewed for approval on a rolling basis. The precise timing of approval and communications for shipping late Transfer Requests are subject to available resources.
If agencies do not take action on Transfer Requests in the status of “draft” or “submitted for agency approval” they will be deleted in 15 months. See NARA Bulletin 2014-05 for more information.
For more guidance on updating the Transfer Request, see the ERA 2.0 job aid “Create a Transfer Request” or Part II Section B the ERA 2.0 Agency User Manual.
Annual Move Transfer Request Tips:
Agencies should review all fields on the Transfer Request forms to confirm that the information is correct. However, there are a few specific fields relevant to the Annual Move Transfer Request forms that agencies should be reviewing and editing before proposing NARA-created TRs.
*Please note that information in ERA 2.0 for Annual Move Transfer Request forms is derived from information in ARCIS. If information in ERA 2.0 is incorrect, it is likely that the ARCIS information is also incorrect. If you note any substantive errors in ERA 2.0, particularly relating to the Disposition Authority, Inclusive End Date, or Classification, please notify your Accessioning Archivist or Annual.Move@nara.gov.
General Information Tab:
| ERA Transfer Request Section | ERA Transfer Request Field(s) | Agency Action |
|---|---|---|
| General Information |
Agency or Establishment |
This data populates from the agency associated with the records. Please verify the data is correct. |
| General Information |
Creating Office |
This field should contain information about the office which created the records. The field should not be used to capture information about the transferring records management office. |
| General Information | Inclusive Dates | Ensure that dates apply to records being transferred, if not, please edit and notify your NARA representative. If the updated inclusive dates impact the record’s eligibility for transfer, do not propose the Transfer Request to NARA. |
|
Series |
Date Span of Records - From / To |
Ensure that dates apply to records being transferred, if not, please edit and notify your NARA representative. If the updated inclusive dates impact the record’s eligibility for transfer, do not propose the Transfer Request to NARA. |
|
Series |
Disposition Authority List |
Ensure that this is correct and applies to the records being transferred. If the schedule item is incorrect and the records are covered by a different permanent schedule item, please update the Transfer Request to the correct schedule item. If the schedule item is incorrect and the records are covered by a temporary schedule item, please notify your NARA representative before taking any further action. |
|
Series |
General Records Type |
Only one selection will be derived from ARCIS data, but if additional records types are known, they should be added. If you select anything other than Unrestricted, the Use Restriction Note field is required. This section of the Transfer Request refers to copyright, donor, trademark, or other restrictions on how researchers may reproduce the records. Use restrictions do not impact researcher access to the records. |
|
Access Restriction |
All fields under the section |
Review this section very carefully. The data in these fields is derived from ARCIS but may be incomplete or require updating. It is essential that this information is correct. Do not change the Security Classification level until you notify your NARA representative. Note: It is the responsibility of the agency to ensure that all access restriction information is complete and accurate, including the Privacy Act and all FOIA exemptions. If the records contain information that cannot be released to the public, please apply the appropriate FOIA Restriction, and choose from FOIA (b)(2) through FOIA (b)(9). Note: If the records are classified or have been declassified in full, please attach the NA-14130. Note: Additional fields may appear depending on the answers provided to the visible fields. Please complete all fields. For more information see the ERA 2.0 Access Restrictions Sub-Section job aid. |
|
Access Restriction |
Are these Records Subject to the Privacy Act? |
If records are subject to the Privacy Act, the Privacy Act Citation field will appear. Use this field to provide the following information for the System of Record Notice (SORN): the agency system number, volume number of the Federal Register where the SORN was published, and Federal Register page number where the SORN was published. You do not need to attach a copy of the System of Records Notice (SORN) to the Transfer Request. When records are part of a Privacy Act System of Records, Access Restriction is “Restricted-Fully” and Specific Access Restriction includes “FOIA (b)(6) Personal Information.” |
|
Access Restriction |
Are the Records Subject to Controlled Unclassified Information Controls (CUI) |
If records are subject to CUI controls, the Safeguarding and/or Dissemination Authority field will appear. Use this field to provide the statute or CFR citation that acts as the underlying authority for the CUI. Safeguarding and/or Dissemination Authorities are listed on each category page in the CUI Registry. For more information see the ERA 2.0 Access Restrictions Sub-Section job aid. |
|
Access Restriction |
Are these records national security classified, declassified, or unclassified? |
This field is required and must be filled in prior to Transfer Request submission. |
|
Location |
If you believe this information is incorrect, do not change it. Do not Submit/Propose to NARA. Please notify your NARA representative. Do not use the Permanent Records Capture team as a location. |
|
|
Transfer Details |
Number of Containers & Container Type |
Ensure that the Number of Containers & Container Type field data is correct. |
|
Contact Information |
Contact Information |
Contacts (Agency/NARA): Do not delete information from these fields. |
|
Attachments |
Attachments |
In general, additional attachments are not required for unclassified records proposed for inclusion in the Annual Move. However, if you have a finding aid or other documentation that you believe would facilitate researcher access to the records, we ask that you upload it as an Attachment.
For classified or declassified records, the NA-14130 is required and should be uploaded to the "Attachments" tab. Analog records -- NA-14130.pdf Electronic and special media digital records -- NA-14130 (b) |
Review and Physical Transfer:
Second Quarter Annual Move:
Agencies generally have until December 1 to review the Transfer Request forms and propose them to the National Archives for inclusion in the second quarter of the Annual Move.
The National Archives regularly searches for newly submitted Transfer Requests in ERA 2.0. An accessioning archivist reviews each Transfer Request and finding aid and will contact you with any questions. If necessary, the National Archives may return the Transfer Request form to the Approving Official or “returned” status for additional agency action.
Once any questions are resolved, the National Archives will approve the transfer by updating the status of the Transfer Request to Approve and to Accession Approved in ARCIS.
Records approved for inclusion in the second quarter Annual Move will be physically moved or in-place accessioned by the end of the second quarter.
Fourth Quarter Annual Move:
Agencies that miss the December 1 deadline will have until June 1 to propose records for review and potential inclusion in the fourth quarter of the Annual Move.
Records approved for the fourth quarter transfer are generally moved or accessioned in place in August or September.
If you propose a Transfer Request after June 1, or if we do not complete the review for the fourth quarter of the Annual Move, the Transfer Request will roll forward into the next year’s move (e.g., 2026 TRs proposed after June 1 would roll forward into the 2027 review queue).
If you have questions about the Annual Move cycle, please contact your accessioning archivist or Annual.Move@nara.gov
Post-Transfer Actions:
After physically receiving the records, the National Archives will conduct a quality assurance review to confirm that we have received all records approved for transfer. If any records approved for transfer are not received, we may contact you for additional information.
After we complete the quality assurance review and discuss any outstanding issues with the agency, the National Archives will change the ERA 2.0 status to Custody Accepted and the ARICS status will change to Accessioned or In place Accessioned. ERA 2.0 captures updates to the transfer documentation and completes the accessioning process. This Transfer Request status indicates that the National Archives has accepted physical custody of the records – this is the terminal status for the Transfer Request.
Updated: September 24, 2024