A21_Learning_Guide7_FRC_Transfer.pdf

Records Management Learning Guide # 7: Transferring hardcopy records to the Federal Records Center

April 2021

Purpose and Scope. This Learning Guide covers the high-level process for transferring hardcopy records to the Federal Records Centers (FRCs). NARA offers user manuals and video training on its FRC web page that cover this topic in much greater detail. It is strongly suggested that ARCIS account holders download and review pertinent sections of the Records Transfer Manual and view the Create a New Transfer video.

This Learning Guide, as well as Learning Guides 8 through 10, are companion pieces governing all procedures related to NARA FRCs and National Archives. They are posted on the NPS-WASO RM SharePoint site:

• Learning Guide #8 covers how to retrieve files and boxes from the FRC.

• Learning Guide #9 has instructions on transferring custody of hardcopy and electronic Permanent Records to the legal/physical custody of the National Archives.

• Learning Guide #10 details how to review and respond to NARA Disposal Notifications for NPS transfers at the FRC.

When do I need to send paper records to the FRC?

Start now, because by December 31, 2022, the National Archives and Records Administration's (NARA) will no longer accept paper records. NPS must therefore prioritize efforts to take disposition action any inactive paper file collections before the 2022 deadline occurs, including the transfer of records to local NARA Federal Records Centers (FRCs).

What is a “records storage area”?

A records storage area provides for long-term storage of records and is enclosed by four fire barrier walls, the floor, and the ceiling. A compliant records storage area is one that meets facility requirements stated in 36 CFR 1234. NPS should be phasing out all such areas within its facilities, including leased (non-compliant) commercial storage.

What is the “FRC”?

The Federal Records Centers (FRCs), operated by NARA, store, and service inactive Federal agency hardcopy records until they are eligible for destruction or, if permanent, until they are ready to be transferred to the National Archives. All FRCs are compliant with standards in 36 CFR 1234 and NPS management has determined that inactive records should be retired to FRCs. While NPS records reside in the FRC, they still belong to NPS.

What is the “Archives”?

The “National Archives” is also part of NARA, and its mission is to preserve and make available historically valuable Federal agency records in all formats. The National Archives accepts those records pre-designated as “permanent” in the retention schedules. They are to be transferred on a set schedule, usually 15-25 years after the records close, and once NPS has exhausted the use of the records for everyday business activities. Through a formal process, NPS records that have been legally transferred to the National Archives become the property of NARA.

Upon request, NARA makes copies available to public researchers (except for records that carry over NPS and other access restrictions) and is responsible for maintaining and preserving the records forever. As mentioned above, Learning Guide #9 describes the procedures for transferring permanent records to the National Archives.

Which FRC is closest to my location?

See the NARA Federal Records Center locations page for more information on facilities in your geographic area.

https://www.archives.gov/frc https://www.archives.gov/files/frc/arcis/materials/records-transfers-manual.pdf https://www.youtube.com/watch?v=qIy0oiXIjj0&list=PLugwVCjzrJsX7jEADMCpD3kEL1avVK6Su&index=5 https://www.ecfr.gov/cgi-bin/text-idx?SID=2cb32d56fb6af59e4b4ee022f092b321&mc=true&node=pt36.3.1234&rgn=div5#se36.3.1234_14 https://www.ecfr.gov/cgi-bin/text-idx?SID=2cb32d56fb6af59e4b4ee022f092b321&mc=true&node=pt36.3.1234&rgn=div5#se36.3.1234_14 https://www.archives.gov/frc/locations

Figure 1 NARA Facility with co-located FRC and National Archives operations.

How do I determine that I have records eligible for offsite storage?

Learning Guide #1 provides information on how to clean out legacy hardcopy records, but essentially you first need to determine what files you have and when they closed. Use your Division File Plan to locate the schedule category and retention period information. Ascertain when the files closed and add the retention period to the close date.

This will tell you if the records have retention remaining, or if they are ready for immediate destruction.

Example:

Office of Program Support, Facilities Management records, closed FY 2019:

NPS disposal authority 10C (N1-79-08-009, item 10C/DRS DAA-0048-2013-0001-0002): 7-year retention

9/30/2019 + 7 9/30/2026.

FRC disposes of records on a quarterly basis, so the final destruction date is 10/1/2026

Watch out for records that are permanently valuable (that go to the National Archives) or have long-term scientific value and need to be kept indefinitely.

Which retention schedules are used for preparing transfers?

The NPS Director’s Order 11D: Records and Electronic Information Management (REIM) Guide and any of the approved Departmental Records Schedules (DRS). For instance, DRSs for Administrative and Policy/Public Affairs records have already been approved by NARA and must be cited when preparing SF-135 transfers for those kinds of records. Learning Guide #6 covers how to use the NPS REIM Guide in conjunction with Departmental Records Schedules.

How do I prepare hardcopy files for transfer?

1. Pull together all closed folders for each record category.

2. Be sure they are properly labeled; affix new labels if necessary because the files must be searchable by others (FRC staff) if you ever need to request them back.

3. Arrange each collection in ascending order (low to high, A-Z, for alpha or numeric).

https://ir.sharepoint.nps.gov/PMSP/RM/Shared%20Documents/DO-11D%20RecStewardshipGuideJan%202017rev%20.pdf https://www.archives.gov/files/records-mgmt/rcs/schedules/departments/department-of-the-interior/rg-0048/daa-0048-2013-0001_sf115.pdf https://www.archives.gov/files/records-mgmt/rcs/schedules/departments/department-of-the-interior/rg-0048/daa-0048-2013-0008_sf115.pdf

4. Place folders facing the front (numbered side) of each box. Use only the white standard FRC Boxes (Records Retirement Boxes NSN# 8115-00-117-8249).

5. Fill each box leaving about 2 extra inches of space at the back – don’t overfill.

6. Pencil in the box number in the upper right corner space provided; later, you will write over this number with a black permanent marker once you have a final count of boxes.

What information does NARA require for new transfers? As follows:

1. Detailed file-by-file list. Create a folder list for any transfer, no matter the retention. The index/list is your means of intellectual control of records sent to offsite storage and is worth the time and effort. At a minimum, include folder title listed next to each box number. NOTE: The list need only provide enough information to allow NPS personnel to order files in the future and to enable the FRC staff to pull files in case needed. No need to be overly detailed for NARA, but you can add more detail if useful for searches.

2. Records Transfer Form (also known as the SF-135 Records Transmittal and Receipt). Create using the online NARA “ARCIS” system.

a. NPS staff who have ARCIS accounts can create and submit transfer request form. The online form is populated (in part) from the user’s profile but remaining fields need to be filled in (basically you are providing a high-level description of the records to be transferred).

b. NARA provides an ARCIS User Manual and training videos with more detailed information; all ARCIS account holders are required to view these resources. (See “How do I obtain an ARCIS account?”

below for more details).

c. Create one transfer form for each record category of record you are sending to the FRC. Do not mix different types of record categories in the same transfer.

d. ARCIS allows for the detailed list to be uploaded as an attachment to the transfer request form.

e. Once the Records Transfer Request Form is created, the ARCIS system automatically assigns the FRC

Transfer Number (e.g. “PT 079-2021-0012”) which becomes the permanent identifier for the records while they are in the FRC.

What are the basic fields in ARCIS that need to be completed?

Some fields will already be filled in for you, based on your profile Complete the remaining fields moving up-to-down, left-to-right Record Group – 079 for NPS Records Center – select the destination FRC from the pull-down list Security classification – pull down list (such as Unclassified—Standard Storage) Privacy Act – select if records have PII Disposition – (e.g. Temporary, Contingent upon indefinite event/action, Permanent) Vital (Essential) Disposition Authority (e.g. N1-79-08-001/1C, or DAA-0048-2013-0001-0002) Disposition Date (MM/DD/YYYY) – [use next disposal quarter for your disposal date calculation – Jan (1), April (4), July (7) or October (10)] Type of records – select from pull down. (Hardcopy records are TEXTUAL) Mixed Media – check if files include any non-paper Container type – most will be Standard (square white FRC) box, but if you select OTHER you get a pull-down to select other types Number of Containers Inclusive Start Date (MM/DD/YYYY) [Oldest dated record in the boxes] Inclusive End Date (MM/DD/YYYY) [Latest dated record in the boxes] https://arcis.archives.gov/arcis/start.swe?SWECmd=Start&SWEHo=arcis.archives.gov https://www.archives.gov/frc/training#manual

Description of Records. (First, use the title from the NPS REIM schedule item, such as (NPS-1C) “Less Significant Resource Management Records”, then add more specific information about the records, for instance “Permits for Public Gatherings at Yosemite NP.”

Agency Contact Last Name – name of the NPS person who can answer questions from the FRC about the transfer.

Agency Approver Last Name. Your name appears, unless you have not been granted “Approver” rights, you must select a name from the pull-down list, such as the current NPS Records Officer.

Agency Official Last Name. Same as above. You must select a name from the pull-down list, such as the current NPS Records Officer.

Lower Section:

• Shipment from Address

• Retiring Office if different from Shipment address (most of the time they are the same)

Continue or Save and Finish Later.

System will automatically populate the ARCIS Transfer (PT#). Write this number down for future reference.

Take a last look at the form and use EDIT to correct any errors.

Select ATTACHMENTS - add detailed box list via browse and select.

Forward directly, or, forward to approver (if you are not granted Approver rights). You must wait till the

Approver reviews and approves.

Message returned showing status – “Submitted”, “Approved”, “Received,” etc. Received status moves the form from the My Workspace to the FRC Workspace.

Go to Records Transfers to view the list of the transfers you have generated and their status.

TIP! Do not submit the Transfer Request Form in ARCIS until you have fully reviewed it and the detailed list attachment is “final”. Any further changes/corrections must be made by FRC staff upon request.

What does the “Transfer Number” mean, and what should I do after receiving it?

NARA assigns a unique Transfer Number to each set of boxes you retire to the FRC. PT=Physical Transfer; 079=the Record Group number assigned to NPS; XX-is the two-digit code for the fiscal year of the transfer (20=FY 2020);

and the last four digits are assigned by ARCIS as each transfer is approved (e.g. 0010 means the 10th transfer approved for all of NPS in the FY). Using a black magic marker, write the full transfer number in the space provided on each FRC box (upper left corner).

Using the same marker, re-write the final agency box number (over the penciling) in the upper right corner (e.g. 1 of 3, 2 of 3, 3 of 3, etc.)

How should I prepare the boxes for delivery to the FRC?

1. Print three copies of the forms/lists from ARCIS.

2. Put two copies on top of the inside of box #1 of each transfer that will go to the FRC. Keep the third copy for yourself pending completion of the transfer.

3. Maintain in box# order (within each transfer) while being loaded into the delivery vehicle so that the FRC receiving staff can account for all boxes when delivery is made to their loading dock.

4. NEVER use an open truck bed or similar vehicle if you deliver the boxes yourself. Boxes should be covered and protected within the vehicle while in transit. This is true whether NPS staff deliver boxes with their own or NPS vehicles, or by commercial delivery service.

5. It is always a good idea to call ahead and let the FRC know of the date of delivery especially for large (100+ box) transfers. See the FRC page for contact names, email addresses, and phone numbers.

What happens after the FRC receives the records?

1. FRC staff compare the Transfer Form/detailed list against a sampling of the boxes to be sure they are correctly prepared.

2. The boxes are then bar-coded, moved into secured stack areas, and placed on numbered steel shelves. The shelf locations become part of the electronic metadata for each NPS shipment.

3. Once the records are shelved, the FRC mails back the “Records Shelved” copy of each form for records included in the delivery. Signed forms are sent to the NPS address on transfer form.

What should I do with the completed transfer forms?

Once the records are shelved and NARA returns the paperwork to the sending office, scan and post a copy to the internal Records Management or other designated intranet page at your site location. The SF-135s should be considered as records themselves and are essential to NPS in case files or boxes need to be recalled from the FRC in the future. RIM Liaisons should preserve the forms for future reference.

How do I obtain an ARCIS account for transferring records?

Complete an account request and send to the NPS Records Officer at WASO. Once received, the NPS Records Officer (or other designated account administrator) will set up your account in ARCIS, giving you rights to transfer and order files and boxes. They will establish a temporary password and notify you to go in an open your new account and change the password. See https://www.archives.gov/frc/arcis/about for more information. Contact the ARCIS Help Desk: E-mail: arcishelp@nara.gov, Telephone: 314-801-9300. [See Learning Guide #8 for detailed procedures on using ARCIS to order files.]

Where can I obtain more detailed procedures about preparing my records for transfer to the FRC?

See the FRC Toolkit on the NARA website. The website also lists the NARA Account Representative for NPS.

Questions about preparing transfer forms (SF 135 and detailed list) can be forwarded to your local FRC or the NARA Account Representative for NPS (see the FRC page for contact names, email addresses, and phone numbers).

https://www.archives.gov/frc/arcis/about mailto:arcishelp@nara.gov https://www.archives.gov/frc/toolkit https://www.archives.gov/frc/acct-reps

Figure 2 Sample SF-135 for NPS

Figure 3 Sample Detailed Listing

Figure 4 SF-135 with DRS citation (disposal authority). Use when DRS supersedes NPS schedule items

Figure 5 ARCIS System main page showing Create tool for online SF-135

Figure 6 ARCIS Records Transfer online form screen

What about transferring electronic records?

The transfer of electronic records maintained in electronic information systems, shared drives, and MS 365 spaces, is not within the scope of this learning guide. NARA FRCs do not accept electronic records except those stored on physical media (see below).

Unstructured electronic records on networked servers will eventually be captured from NPS virtual spaces and stored in the Department’s electronic records and document management system (eERDMS), electronic content system (ECS).

Electronic records created within databases and system applications will be retained within those applications and disposed of according to the NPS and DRS schedules, including transferring permanent data to NARA (see Learning Guide 9).

All NPS email messages are being automatically captured in eERDMS and associated with appropriate retention schedules via artificial intelligence.

Physical media (CD, DVD, digital tape, etc.) containing electronic records can be retired to the FRC using much the same process as for paper records. NARA operates a dedicated media storage facility in Fort Worth, Texas. For more information, contact: Transfer and Disposition—Physical Media (electronic): 817 551-2022, (ftworth.transfer@nara.gov).

Version Issue Date By (name) Description of Revision(s) 1 August 20, 2020 Mark Ferguson (CNB Contractor) Initial publication 2 April 28, 2021 Mark Ferguson (CNB Contractor) Extensive updates to clarify instructions, include data entry fields for the ARCIS Transfer, section re: e-records, and revision table 3 July 18, 2021 Christie M. King (ARO) Adjustments to clarify content, grammar corrections, and reformatted