**Department of Health and Human Services**

**Records Management Handbook**

**APPENDIX E -- NARA PROCESSES AND TOOLS**

**TABLE OF CONTENTS**

[Transfer Records Process, Including Emergency Retrieval
3](#transfer-records-process-including-emergency-retrieval)

[Introduction 3](#introduction)

[Authority 3](#authority)

[Federal Records Center Staff 3](#federal-records-center-staff)

[Transferring Records To a Federal Records Center
6](#transferring-records-to-a-federal-records-center)

[Organizing Your Records 6](#organizing-your-records)

[Transfer vs. Accession 6](#__RefHeading___Toc216158818)

[Reference Services 18](#reference-services)

[Requests Using Centers Information Processing System (CIPS)
19](#requests-using-centers-information-processing-system-cips)

[Urgent/Special Requests 21](#urgentspecial-requests)

[Records Disposition 23](#records-disposition)

[Disposition Notifications 23](#disposition-notifications)

[Storage and Servicing of Active Records
25](#storage-and-servicing-of-active-records)

[NARA Electronic Records Questions
33](#nara-electronic-records-questions)

[Technical Review of Potentially Permanent Web Content Records
38](#technical-review-of-potentially-permanent-web-content-records)

[Technical Review of Potentially Permanent Email Records
40](#technical-review-of-potentially-permanent-email-records)

[Technical Review of Potentially Permanent Digital Geospatial Data
42](#technical-review-of-potentially-permanent-digital-geospatial-data)

[Technical Evaluation of Potentially Permanent PDF Records
45](#technical-evaluation-of-potentially-permanent-pdf-records)

[Technical Review of Potentially Permanent Scanned Images
48](#technical-review-of-potentially-permanent-scanned-images)

[Technical Review of Potentially Permanent Digital Photographic Records
51](#technical-review-of-potentially-permanent-digital-photographic-records)

[NARA Sample Transactional Billing Rates
56](#nara-sample-transactional-billing-rates)

# Transfer Records Process, Including Emergency Retrieval

 

 

 

## Introduction

 

For more than 50 years the National Archives and Records Administration
(NARA) and its predecessor agencies have provided comprehensive records
management services to the Federal Government. The first Federal Records
Center (FRC) opened in 1950. Since then, the NARA Federal Records Center
system has grown into a national network of 17 regional facilities,
storing and providing access to over 25 million cubic feet of records.
In 1999, the FRC system converted to a reimbursable program that has
provided the Federal community with exceptional records center services
on a fully fee-for-service basis.

This *FRC Toolkit* is intended to serve as a resource for Federal
employees with records management responsibilities. It provides
step-by-step instructions for transferring, retrieving, and returning
records to a Federal Records Center as well as information on records
disposition and accession of records into the National Archives at the
end of their retention schedule. It also provides definitions of key
terms, which are highlighted throughout the document.

## Authority

NARA is authorized to establish, maintain, and operate records centers
for Federal agencies under 44 U.S.C. 2907 and to approve a records
center that is maintained and operated by an agency under 44 U.S.C.
3103. NARA is also authorized to promulgate\
standards, procedures, and guidelines to Federal agencies with respect
to the storage of their records in commercial records storage facilities
under 44 U.S.C. 2104(a), 2904, and 3102. NARA is authorized to determine
the disposition of Federal records under 44 U.S.C. 2904. (The U.S. Code
is available
[[online]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://www.gpoaccess.gov/uscode.htm)
( http://www.gpoaccess.gov/us code.htm.)

## Federal Records Center Staff

NARA\'s Federal Records Center staff is a dedicated team of
professionals with expertise in all aspects of records management. This
team includes agency-specific account representatives at NARA
headquarters in College Park, MD, and local Federal Records Center
Directors and their staffs in the regional facilities. These staff
members will work with you to identify and meet your agency\'s unique
needs.

Your agency\'s invoice is now available in electronic format via PDF.
Avoid mail delays-contact your account representative to receive your
invoice electronically.

**ACCOUNT REPRESENTATIVES** serve as your agency records officer\'s
point of contact with NARA. Account representatives can also provide
information on billing and special services. In addition, account
representatives facilitate preparation of Interagency Agreements for
agency customers. See [[Account
Representatives]{.underline}](http://www.archives.gov/frc/acct-reps.html)
(www.archives.gov/frc/acct-reps.html).

**FEDERAL RECORDS CENTER DIRECTORS** and their staff members provide
reference, transfer, and disposition information and answer operational
questions from Federal offices within their service areas, including the
availability of special services. See
[[Directors]{.underline}](http://www.archives.gov/frc/directors.html)
([www.archives.gov/frc/directors.html](http://www.archives.gov/frc/directors.html)).

**FRC on the Web**

Information on the FRC is available
[[online]{.underline}](http://www.archives.gov/frc/)
(www.archives.gov/frc). The web site links to forms, web sites of local
FRCs, Federal regulations, staff contacts, and other key information.

**Materials and Supplies**

The FRCs require agencies to use specific types of materials for
preparing records transfers. These supplies and forms are available on
the [[GSA web
site]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://www.gsaadvantage.gov)
(www.gsaadvantage.gov). In FY 2008, standard-size record boxes can be
ordered directly from the FRC. Please visit the [[FRC web
site]{.underline}](http://www.archives.gov/frc/) (www.archives.gov/frc)
for updates.

**BOXES**

-   **Standard-size record box (**14¾\" x 12\" x9½\") for legal- or
    letter-size files (NSN 8115-00-1178249).\
    Please note: Boxes exceeding these dimensions will not fit on FRC
    shelving. If your records do not fit into a standard box with these
    measurements,\
    please call your local FRC to discuss alternatives before choosing a
    different size box.

-   **Special-purpose boxes**

    -   **Half-size box** (14¾\" x9½\" x4¾\")\
        NSN 8115-00-117-8338

    -   **X-ray box** (18\" x 15\" x5½\")\
        NSN 8115-00-290-3386

        **OTHER USEFUL MATERIALS**

You may also wish to purchase the following supplies to prepare your
records for shipment to the FRC:

-   Clear packing tape (does not obscure numbers)

-   Black felt-tip markers

# Transferring Records To a Federal Records Center

This section provides information on organizing your records for
transfer; completing, submitting, and receiving approval for the
Standard Form 135; packing and labeling your boxes and pallets; sending
your shipment to the FRC; and retaining appropriate documentation. If
you have questions on any step of the transfer process, please call the
staff at your local FRC for guidance.

Please note that the National Personnel Records Center (NPRC) in St.
Louis, MO, has special procedures for transferring records. If you are
transferring records to NPRC, please see the [[Transfers
section]{.underline}](http://www.archives.gov/frc/toolkit.html#transfer%23transfer)
of this Guide.

## Organizing Your Records

Before transferring records to the FRC, separate the record series
having the same disposition authority records into series. Each item or
subordinate item in your records schedule represents a *series*.
Identify and separate your records into series by records schedule item
number and cutoff date. Each series will be handled as a separate
*transfer*. Each transfer must consist of at least one box and normally
only one closing year date for a series of records. FRCs may accept more
than one year of records in a transfer.

A **series** is a block of records having the same disposition authority
and same disposition date.

## Transfer vs. Accession

Transferring refers to moving records into the physical custody of a
NARA Federal Records Center. The transferring agency retains the legal
custody of transferred records until final disposition. When permanent
records are **accessioned** into the National Archives NARA takes legal
custody of the records, and in most cases takes physical custody of the
records as well. Accessioned records become the property of NARA.

**TIPS FOR PACKING THE RECORDS**

*(See Figures 1 and 2)*

-   Please do not over pack the boxes. Leave a 1 - to 2 - inch space in
    each box to allow ease of reference.

-   Do not put additional material on the bottom, side, or top of the
    records in the box.

-   Mixed media (e.g., computer diskettes, microfilm, or videocassettes)
    cannot be stored in the same environment as paper records. Please do
    not include these media in the same transfer with paper records
    without prior approval from the FRC.

![](media/image1.jpeg){width="2.8958333333333335in"
height="5.208333333333333in"}

**PACKING PALLETS**

Local FRCs differ slightly regarding the stacking of pallets and the
preferred order of boxes on pallets. Please contact the transfer office
at your local FRC to confirm proper box order for your FRC (e-mail
addresses are available on the [[FRC Directors\'
page]{.underline}](http://www.archives.gov/frc/directors.html)
(www.archives.gov/frc/directors.html). Pallets should be securely banded
with shrink-wrap, steel, plastic, or cord strapping before shipping.

**Preparing and Submitting the Standard Form 135, Transmittal and
Receipt Form**

The SF 135 contains important information about your transfer that
enables the FRC to properly document, store, and service your records. A
completed SF 135 must be sent to your records center for approval before
shipping records. A separate SF 135 is required for each individual
record series having the same disposition authority and disposition
date. The current version of the form is available
[[online]{.underline}](http://www.archives.gov/frc/)
(www.archives.gov/frc).

***Did you know*?**\
NARA no longer requires original signatures on the SF 135. Save time and
submit your SF 135 electronically.

**FILLING OUT THE SF 135**

-   **Item 1:** Enter the name and address of the FRC to which you are
    submitting records. See [FRC
    Directors](http://www.archives.gov/frc/directors.html)
    (www.archives.gov/frc/directors.html) for the most current address
    information.

-   **Item 2:** Enter the name of the transferring agency official. To
    expedite and improve the transfer process for our customer agencies,
    FRCs will accept SF 135s without original signatures. Please note
    that your agency may have internal procedures that require
    signatures. If you are in doubt, please contact your agency\'s
    records officer.

-   **Item 3:** Provide the name, office, business telephone number
    (including area code), and e-mail address of the person to contact
    about the records.

-   **Item 4:** Completed by the FRC.

-   **Item 5:** Provide the complete address of the transferring office.
    If records come from one office, but the SF 135 should be sent to a
    different office, please include BOTH addresses. Specify where the
    approved SF 135 should be sent, and where the final SF 135 should be
    sent.

-   **Item 6:** This three-part number comprises the accession number
    (also called the transfer number).

-   **Item 6(a):** Enter the NARA record group number assigned to the
    records of the agency making the transfer.

-   **Item 6(b):** Enter the last two digits of the current fiscal year.

-   **Item 6(c):** Unless NARA has granted authorization to your agency
    to pre-assign numbers, FRC staff will assign 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. Enter the total number of boxes included
    in this transfer. If the records do not fit in a standard records
    center box, leave this column blank, add the dimensions of the
    container to item 6(f), and contact the FRC staff to verify
    acceptance.

-   **Item 6(e):** Enter the inclusive range of numbers (e.g., 1-30).

-   **Item 6(f):** Describe the records in sufficient detail to allow
    FRC personnel to verify compliance with your records schedule. You
    may wish to use the series description provided in your Records
    Control Schedule, or the General Records Schedule. A complete series
    description includes the series title and closing date (or inclusive
    dates) of the records.

-   Include the organizational component that created the records if the
    component is other than that described in item 5.

-   Indicate in this section if the series of records is subject to the
    Privacy Act. Since SF 135s are public records, information included
    on SF 135s (including folder title lists) should not contain
    National Security Classified information or information restricted
    by exemption B6, the Freedom of Information Act.

-   **If the records are scheduled for permanent retention, are
    unscheduled, or if disposition instructions indicate sampling
    records is necessary, you must include a detailed folder listing for
    each box in item 6(f) (if space permits) or as an attachment. If you
    are submitting the SF 135 electronically, you may send the listing
    as a separate e-mail attachment.**

-   Special description requirements apply for certain records and
    should be stated in item 6(f):

-   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 Government Accountability Office, and
    indicate whether the site audit records pertain to Native Americans

-   Non-paper-based and special format records: These can include
    records such as microfilm, engineering drawings (because of their
    special format), electronic media, etc. Include the format type in
    6(f) (see www.archives.gov/frc/codes.html for [information on
    specific codes for non-textual record
    types](http://www.archives.gov/frc/codes.html)).

-   **Item 6(g):** Restrictions

-   If your records pertain to National Security Information, you must
    complete this section using one of the three National Security
    Classification codes (**C**=Confidential, **S**=Secret or **T**=Top
    Secret). Please note that the codes **Q**, **R**, or **W** (listed
    on the back of the SF 135) should no longer be used. If you
    designate a National Security Classification, you MUST also indicate
    whether the records are designated\
    as Code E (Restricted Data or Formerly Restricted Data). For further
    information, please see [EO
    12356](http://www.archives.gov/federal-register/codification/executive-order/12356.html)
    (http://www.archives.gov/federal-register/codification/executive-order/12356.html),
    later amended by [EO
    13292](http://www.archives.gov/isoo/faqs/eo-12958.html)
    (http://www.archives.gov/isoo/faqs/eo-12958.html).

-   At agency request, FRCs can store non-National Security Classified
    records in vault storage for an additional fee. To request vault
    storage, please use code A in item 6(g). If you are unsure whether
    your agency has authorized funding for vault storage for your
    records, please contact your agency\'s records officer

-   If there are no special restrictions on your records, you may
    designate code N or leave this section blank. In this case the
    default restriction (restricted to authorized agency users and
    researchers) will apply.

-   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. You may also use the [General Records
    Schedules](http://www.archives.gov/about/regulations/part-1228/c.html)
    (36 CFR Subpart C 1228.40-46) when dealing with records common to
    most offices such as contracts, travel and transportation records,
    and similar records. If you need further assistance, contact your
    agency\'s records officer. Also indicate in this section if the
    records are subject to extended retention, commonly known as a
    \"freeze\" on destruction. The \"freeze code\" is a three-letter
    designation created by FRC staff to identify the freeze pertinent to
    the records.

-   **Item 6(i):** Follow the instructions on your 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. For example, if the ending date of your records is
    September 2006, and the retention period is three years, then the
    disposal date will be October 2009. Permanent records are offered to
    the National Archives on an annual basis; no month is shown in the
    disposition date field. Place \"P\" after the offer year. If records
    are unscheduled, please indicate \"U\" in this section.

-   **Item 6(i), 6(k), 6(l), and 6(m)** are completed by FRC personnel.

**Stratified Report Invoicing** refers to billing that is broken out by
different functions and/or geographical locations within the same
agency. If you are unsure whether your agency participates in Stratified
Report Invoicing, contact your agency\'s records officer, or your [[NARA
FRC account
representative]{.underline}](http://www.archives.gov/frc/acct-reps.html)
(www.archives.gov/frc/acct-reps.html).

**Submitting the SF 135**

Agencies may transmit the SF 135 to FRCs either in hard copy or
electronically. Submitting the form electronically reduces mail time, is
more secure, and allows revisions to be made in a timely manner. You may
obtain an electronic version of the [[SF 135
online]{.underline}](http://www.archives.gov/frc/forms/sf-135-intro.html)
in Word or PDF format (www.archives.gov/frc/sf-135-intro.html).

Before shipping records, you must send a completed SF 135 to your local
FRC and receive approval of the form from the center. The \"transfers\"
e-mail address for each FRC is available
[[online]{.underline}](http://www.archives.gov/frc/directors.html)
(www.archives.gov/frc/directors.html). A separate SF 135 is required for
each individual record series having the same disposition authority and
disposition date. For instructions on completing the SF 135, please see
the \"Filling out the SF 135\" section of this guide or page 2 of the SF
135.

Each individual record series being transferred requires a separate SF
135. See 36 CFR 1228.160 (e) for more details.

**Approval of the Standard Form 135 and Preparation for Transfer**

After you submit the SF 135, the FRC staff will review it to ensure that
it is complete and accurate. FRC staff will then assign the transfer
number and will return one copy of the SF 135 to you within 10 working
days, authorizing shipment of the boxes. You must include a copy of the
approved SF 135 in box #1 of each transfer. If you submitted a SF 135
electronically, print out the approved copy of the SF 135 that was
e-mailed back to you by the FRC and place it in the first box as the
\"shipment\" copy. If the boxes or other containers are sealed and must
not be opened by NARA staff, place this shipment copy in an envelope
securely taped to the outside of box #1.

Always retain a copy of the detailed box content listing so that you may
provide agency box numbers when requesting reference service. We also
strongly recommend that you include a copy of the box content listing in
box #1.

FRC staff can prepare detailed folder indexing for your transfers on a
fee for- service basis. Please see the \"Special Services\" chapter of
this guide for more details.

After the FRC staff shelve the records, they will issue a records center
location number and will return a completed, signed copy of the SF 135
to you as an official receipt. FRC staff will add the location of the
records to the receipt copy of the SF 135. Your agency staff will use
this location information when requesting records. This receipt copy is
your official record of the transfer and should be retained in your
files.

**Freeze**\--In records disposition, those temporary records that cannot
be destroyed on schedule because of special circumstances, such as a
court order or investigation, require a temporary extension of the
approved retention period.\
\
**Unscheduled records** are Federal records whose final disposition has
not been approved by NARA in a\
records schedule.\
An **active record** is a record necessary to conduct the current
business of an office.\
\
Transfers typically contain one series\--the records all have one
subject, function, or activity in common.\
\
**Mixed series** are records grouped together into a transfer that do
not have any relationship with each other, aside from being from the
same agency or office. Mixed-series records may have different
disposition authorities but must have the same disposition date.\
\
**Permanent records** are records that warrant preservation by the
Federal Government beyond the time they are needed for administrative,
fiscal, or legal purposes because of their historical or other value.
The National Archives makes the final determination on permanent records
(see 44 USC 29).

**NOTES ON SPECIAL TRANSFERS**

The majority of transfers to FRCs are paper-based, long-term, scheduled,
temporary, non-classified records. If your transfer does NOT fall into
these categories, please note the following:

-   **Unscheduled Records**\
    In order to transfer unscheduled records to an FRC, agencies must:

    -   Inform NARA\'s Life Cycle Management Division (NWML) in writing
        prior to the transfer. This can be done by sending NWML a copy
        of the SF 135 submitted for FRC approval before transferring the
        unscheduled records to the FRC. Be sure to include on the SF 135
        the date you notified NWML, or include the number of a pending
        SF 115, Request for Disposition Authority. NWML\'s address is:
        8601 Adelphi Road, Room 2200, College Park, MD 20740.

    -   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.

    -   Indicate \"U\" for unscheduled records under item 6(i) disposal
        date on the SF 135.

    -   See 36 CFR 1228.152 and 154, [Code of Federal
        Regulations](http://www.archives.gov/about/regulations/part-1228/i.html)
        (www.archives.gov/about/regulations/part-1228/i.html) or
        [Unscheduled Records
        FAQs](http://www.archives.gov/frc/unscheduled-records-faqs.html)
        (www.archives.gov/frc/unscheduled-records_faqs.html) for more
        information on transferring unscheduled records.

-   **Active Records**\
    Agencies may transfer active records to an FRC by using local NARA
    agreements. Usually, these records stay on-site in the agency
    office. However, some active records may be suitable for off-site
    storage. Contact your local FRC for details.

-   **Records with Short Retention Periods**\
    FRCs will accept records that have less than a one-year retention
    period before disposition, but 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.

-   **Mixed**\
    Series FRCs, by prior agreement with some agencies, will accept
    mixed-series transfers. These transfers must consist of only one
    box. Contact your agency\'s records officer to determine if such an
    agreement exists for your agency.

-   **Mixed-media Records Several**\
    FRCs will accept for storage mixed-media records (e.g. videos,
    cassettes, CDs, diskettes, etc.) Please contact your local FRC
    before transferring mixed-media records. Describe the non-paper
    media in item 6(f). Because mixed-media records cannot be recycled
    without screening, the records center will apply additional charges
    at the time of disposal.

-   **Permanent Records**\
    The SF 135 for permanent records must be accompanied by a detailed
    folder title list. Agencies may include these lists on the SF 135
    (if space permits) or as an electronic or hard-copy attachment.

-   **Permanent Microfilm Records**\
    Permanent microfilm records may be stored at the Washington National
    Records Center in Suitland, MD, prior to their accessioning to the
    National Archives.

-   **Storage and Servicing of Classified Records**\
    Several FRCs are cleared to accept records containing classified
    National Security Information. These facilities are cleared for
    Confidential, Secret, Top Secret, Sensitive Compartmentalized
    Information, Restricted Data, and Formerly Restricted Data. In
    addition, most centers can store, for an additional fee, sensitive
    but unclassified records in a separate vault. Contact the records
    center in your region for more information about availability of
    these services.

    **SHIPPING RECORDS TO THE FRC**

```{=html}
<!-- -->
```
-   **Numbering Boxes for Shipment**\
    After you receive the approved SF 135 back from your local FRC,
    write the transfer number and the box number (if not already
    indicated) in the designated printed blocks on the front of each
    box. Use a black permanent felt-tip marker and make the numbers at
    least 1.5½ high. Be sure not to write on sealing tape or 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 cover old box
    markings or to supply additional identifying information. This is
    especially important for transfer and box numbers. No standard
    method of affixing labels is effective for long-term storage. You
    may use the sides of the boxes to write any information concerning
    box content. Be sure to seal your boxes securely with packing tape.
    For further information on box assembly and notation, please see
    [figures 1 and
    2](http://www.archives.gov/frc/toolkit.html#boxes%23boxes).

-   **Shipping 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, please
    advise FRC staff. Unexplained delays of more than 90 days may result
    in the FRC canceling the transfer and returning your SF 135.\
    \
    Agencies are responsible for covering costs of shipping their
    records to FRCs. You may send your agency\'s records via the U.S.
    Postal Service, commercial carrier, common carrier (on pallets), or
    by agency courier. In addition, some FRCs will pick up agency
    records through NARA\'s Metro Courier service at very competitive
    rates (see the \"[Special Services\" section of this
    guide](http://www.archives.gov/frc/toolkit.html#services%23services)
    ). Check with your local FRC for scheduling and fees. If you are
    mailing a shipment of 20 boxes or more, you may send it in a postal
    container or by bulk mail. Agencies shipping their boxes on pallets
    using a commercial carrier should complete a [Transportation
    Services
    Order](http://www.archives.gov/frc/forms/transportation-services-order.pdf)
    (www.archives.gov/frc/forms/transportation-services-order.pdf).\
    \
    For large shipments, please call your local FRC to schedule a
    delivery date, and instruct commercial carriers to contact the
    records center 24 hours before delivery.\
    \
    FRCs will make every effort to assist and advise agencies during the
    transfer process. However, shipments that arrive at the center out
    of order, in oversize boxes, damaged, improperly taped, improperly
    marked, without an SF 135 approved for transfer, or with an SF 135
    that does not match the shipment, may require extensive remedial
    effort and increased costs. These costs are the responsibility of
    the shipping agency.

# Reference Services

This section outlines the process for requesting, receiving, and
returning your agency\'s records. You may access your agency\'s records
by removing them on temporary loan, reviewing them on-site at the FRC,
requesting photocopies or electronic scans of the records, or
permanently withdrawing the records.

Please note that the National Personnel Records Center (NPRC) in St.
Louis, MO, has special procedures for requesting records. If you are
requesting records from the NPRC, please see [[the Civilian Personnel
Record
section]{.underline}](http://www.archives.gov/frc/toolkit.html#metro%23metro)
of this Guide.

**Requesting Records**

Most reference requests are for **temporary withdrawal** (loan) of
agency records. Temporary withdrawals are returned after agency use to
the records center for refiling in the FRC.\
**Permanent withdrawals** are removed and retained by the agency. The
agency may only return permanently withdrawn whole boxes by submitting a
new SF 135. These records must be submitted in new boxes with a new
transfer number.

Agencies may submit reference requests using one of four methods:

1.  CIPS- [The Centers Information Processing
    System](http://www.archives.gov/frc/cips/)
    (www.archives.gov/frc/cips/)

2.  The Federal Records Centers Reference Request [Optional Form 11 (OF
    11)](http://www.archives.gov/frc/forms/index.html#reference_request)

3.  Electronic OF 11 (www.archives.gov/frc/forms/of-11.pdf)

4.  Other formats (including agency request forms)

Specific instructions for each method of requesting records are included
in this chapter.

**In all cases, include the following information in the reference
request:**

1.  Transfer number (formerly accession number);

2.  Agency box number;

3.  Folder name/number (if applicable);

4.  Beginning location of transfer at the records center;

5.  The type of request (temporary loan, review, permanent withdrawal,
    photocopies, SmartScan, etc.);

6.  Date;

7.  Complete name, address, telephone number, and e-mail address of
    requestor; and

8.  For any records requested under the provisions of the Freedom of
    Information Act (FOIA), the Privacy Act, or due to congressional
    interest, note the applicable reason in the \"Remark\" section of
    the OF 11.

**Be sure to complete a separate request form or CIPS submission for
each folder or box requested.** Please note that the FRC will bill your
agency separately\
for each item, folder, or carton requested (as specified in your
agency\'s agreement with NARA) regardless of the type of reference
service requested.

Agencies participating in Stratified Report Invoicing ([[see
definition]{.underline}](http://www.archives.gov/frc/toolkit.html#strat%23strat))
must include a caret (\^) followed by a valid, legible two-character
charge code encircled on the top right front of every request. Agencies
that use CIPS may request to have their charge code included as part of
their shipping address. Contact your agency\'s account representative
for more information.

## Requests Using Centers Information Processing System (CIPS)

CIPS allows you to request your agency\'s records right from your
desktop computer. Requesting your records via CIPS is the fastest and
most cost-effective method, because it minimizes mail delays and allows
the FRC to more efficiently process your request. CIPS provides all
copies needed by FRC staff to process the request.

To apply for access to CIPS, complete both the Department of Veterans
Affairs VA Form 9957, [[Timesharing User Access
Request]{.underline}](http://www.archives.gov/frc/forms/va-form-9957.pdf)
(www.archives.gov/frc/forms/va-form-9957.pdf), and the NA Form 13166,
[[CIPS Registration
Form]{.underline}](http://www.archives.gov/frc/cips/cips-reg-form.pdf)
(www.archives.gov/frc/cips/cips-reg-form.pdf). Send the completed forms
to the CIPS Systems Administrator at the FRC in your area. Information
about CIPS, including forms and a list of administrators, is available
[[online]{.underline}](http://www.archives.gov/frc/cips/)
(www.archives.gov/frc/cips/). Requests for a CIPS account must be
authorized by your agency.

Please note that the Department of Veterans Affairs (DVA) is the FRC\'s
contractor for CIPS. The DVA will issue a user ID and password to each
user when the completed forms are received. You will need to specify
your agency\'s record group numbers, the records center(s) for which you
will need access, and any charge codes for stratified billing. Contact
the CIPS Systems Administrator at the FRC in your area for further
information.

**Requests Using The Centers Reference Request Form**

FRCs can work with your agency to make reference requests easy and
cost-effective. FRCs can provide copies of the necessary paperwork for
reference requests on a reimbursable basis\--contact your FRC Director
for details.

If your agency does not use CIPS for reference requests, you may request
records by submitting the Federal Records Centers Reference Request,
Optional Form 11 (OF 11).

The OF 11 is a three-part form. The records center uses the first part
(white) of the OF 11 to service the request. This part remains with the
file until it is returned for refiling. The requesting agency retains
the second part (pink) for tracking and control purposes. The records
center uses the last part (tan) as a charge out for the file/box until
it is returned from the agency for refiling.

Submit requests using the OF 11 through the U.S. Postal Service or
commercial couriers whenever time permits. Agencies also may fax
requests to the designated numbers listed for each FRC. Agencies may
telephone FRCs with emergency requests. Please note that these emergency
requests are billed at a higher rate than regular requests.

**Requests Using The Electronic Of 11**

You may also e-mail reference requests by completing the PDF version of
the [[OF 11]{.underline}](http://www.archives.gov/frc/forms/of-11.pdf)
(www.archives.gov/forms/pdf/of-11.pdf) and sending it to your [[local
FRC]{.underline}](http://www.archives.gov/frc/directors.html) at the
designated e-mail address listed for each center
(www.archives.gov/frc/directors.html).

**Requests In Other Formats (Including Agency Forms)**

You may request records via letter, e-mail, memo, or by using an
appropriate form from your agency. Please check with your agency\'s
records officer to determine if you should use an agency-specific form.

**Delivery of Requested Files to Agencies**

In most cases, properly submitted and complete reference requests will
be ready for mailing, pickup, or delivery to the agency one business day
after receipt by the FRC.

**Standard Requests**

The U.S. Postal Service or commercial carriers are the standard methods
of delivering requested files to agencies.

## Urgent/Special Requests

FRC customers have several options for delivery of urgent/special
reference requests (requests requiring same-day or overnight delivery):

-   Overnight express courier: Please provide the name of the overnight
    express courier (along with a billing account number) in the
    \"Remarks\" section.

-   Delivery by agency\'s messenger: Please provide the approximate time
    of pick-up in the \"Remarks\" section of the OF 11. Messengers will
    be required to provide photo ID and agency affiliation when arriving
    at the FRC to pick up requested files. The agency messenger must
    also be on the approved agency authorization list.

-   FRC Metro Courier and SmartScan services: Select Federal Records
    Centers provide next-day delivery of reference requests via Metro
    Courier and same-day electronic delivery of requested files with
    SmartScan. Please see the [Special
    Services](http://www.archives.gov/frc/toolkit.html#services) section
    of this guide for more information.

    **Refiles**

You should return your agency\'s files to the Federal Records Center
when they are no longer needed. Write the word \"REFILE\" on the white
copy of the OF 11 or CIPS request form that accompanied the requested
file, and return it to the records center. If the OF 11 is no longer
attached, provide a brief note or cover memo annotated \"REFILE\"and
attach it to the file being returned. The memo must also include the
same information that was contained on the original OF 11:

-   transfer number;

-   box number;

-   records center location number; and

-   charge code (if the agency is participating in Stratified Report
    Invoicing\--[see
    definition](http://www.archives.gov/frc/toolkit.html#strat%23strat)
    ).

Do not refolder or rebox records requested from the records center.
Unless you have made some prior arrangement with the center, return the
records in the original folders or boxes to allow accurate refiling. If
the box or folder is unusable for shipment, copy the transfer number,
location, box number and any other information on the outside of the
container onto the front of the replacement box or folder. FRCs will
contact agency customers when expanded refiles are too large for their
original location.

**Interfiles**

Agencies may send documents or folders that were not included in the
original transfer to be interfiled into that transfer at the center. The
agency must provide the transfer number, charge code (if participating
in Stratified Report Invoicing\--[[see
definition]{.underline}](http://www.archives.gov/frc/toolkit.html#strat%23strat)),
box number, records center location number, and correct file designation
where the interfile should be filed. The FRC will contact agency
customers if the new material will not fit into the original box.

Please note that the National Personnel Records Center (NPRC) in St.
Louis, MO, has special procedures for interfiles. If you have records
for interfile at NPRC, please see the [[Interfiles
section]{.underline}](http://www.archives.gov/frc/toolkit.html#interfiles%23interfiles)
of this Guide.

**Relocation of Records**

Occasionally, it becomes necessary to move records within a Federal
Records Center. When this happens, NARA will notify agencies of the
relocation. A Notice of Transfer Location Change, [[NA Form
13016]{.underline}](http://www.archives.gov/frc/forms/na-13016.pdf)
(www.archives.gov/frc/forms/na-13016.pdf), is mailed to the agency after
the relocation. Following a relocation, you should update your agency\'s
file copies of SF 135s to show new location numbers for use in
requesting these files in the future. For further information concerning
the relocation of records, contact the FRC staff.\
**Note: *If you are using CIPS, the system automatically connects your
transfer number with the current location number. ***

# Records Disposition

In addition to storing your records and making them accessible when
needed, Federal Records Centers actively manage their disposition. This
section gives an overview of the processes for disposing of records at
the end of their retention schedule, accessioning ( [[see
definition]{.underline}](http://www.archives.gov/frc/toolkit.html#accession%23accession)
) records into the National Archives, and updating disposal authorities.

## Disposition Notifications

When the disposition date of your agency\'s records is approaching, the
FRC will send you the appropriate notice as described below.

**Disposition Of Temporary Records**

Contingent records are records scheduled for final disposition at some
unspecified future time after the occurrence of a specific event.
Examples of such events include the decommissioning of a vessel, the
sale of property, or the destruction of a building.

FRCs will send the Notice of Eligibility for Disposal, [[NA Form
13001]{.underline}](http://www.archives.gov/frc/forms/na-13001.pdf)
(www.archives.gov/frc/forms/na-13001.pdf), to you 90 days before
scheduled destruction of your agency\'s records. Please contact the
Transfer and Disposition staff from the FRC that sent you the notice if
you have any questions.

When you return the signed disposal notice (**NA Form 13001**) the FRC
will destroy the records as scheduled. Since your agency still owns the
records stored at the FRC, the center will not destroy any of your
records without your agency\'s written approval.

Adherence to retention schedules is good records management, saves your
agency money in storage costs, and conforms with Federal regulations.
Therefore, the FRC strongly recommends that you review each disposal
notice carefully and in a timely manner. If your agency does not concur
with the disposal, you must provide a justification for non-concurrence,
sign and date the form, and return it to the appropriate FRC.

**DISPOSITION OF CONTINGENT RECORDS**

The FRC staff is expert on disposal and can work with you to ensure that
your agency\'s most sensitive records are disposed of properly. Records
are maintained in secure environments until properly destroyed.
Certificates of destruction are sent to the FRC following disposal.

Each October, FRCs mail the Agency Review for Contingent Disposal, [[NA
Form 13000]{.underline}](http://www.archives.gov/frc/forms/na-13000.pdf)
(www.archives.gov/frc/forms/na-13000.pdf), to agency customers. At this
time you should review the status of your agency\'s contingent records
to determine if a particular action or event (upon which the destruction
of the records is contingent) has occurred. If this is the case, sign
and return the form to your local FRC, indicating approval of disposal
and disposal date. If the contingent records should not be destroyed,
sign, date, and return the form, and indicate a new review date.

**ACCESSIONING OF PERMANENT RECORDS**

When permanent records stored at the records center are scheduled for
accessioning into the National Archives, you will receive an Agreement
to Transfer Records to the National Archives of the United States,
[[Standard Form
258]{.underline}](http://www.archives.gov/frc/forms/sf-258.pdf),
(www.archives.gov/ frc/forms/sf-258.pdf). The SF 258 is used to document
the change in legal custody of the records from your agency to the
National Archives and to state terms of the accession. The Transfer and
Disposition staff at your local FRC can provide more information on the
process for accessioning records into the National Archives.

**Updating Disposal Authorities**

Over time, records schedules are subject to change, and this can affect
how long your records should be kept. When this happens, FRC archives
specialists review and promptly update the holdings database so your
records remain correctly scheduled. The most current disposal authority
is reflected for each transfer.

**Special Services**

In addition to traditional records center services, the FRCs offer a
portfolio of customer-focused solutions to just about any records
management challenge. Many of these services were offered in response to
requests from customer agencies and have resulted in significant savings
of money and staff time for these agencies.

The following is a partial listing of special services. For more
information, or to find out if a particular service is available in your
area, please contact your account representative or your local Federal
Records Center Director.

# Storage and Servicing of Active Records 

For years, FRCs have accepted agencies\' inactive records for storage
and servicing. Recently, a number of agencies have entrusted their
active records to their local FRCs as well. This service helps agencies
to free up both precious office space as well as agency staff. In
storing and servicing your agency\'s active files, the FRC serves as an
off-site \"back office.\" Reference requests for these active files can
(in many cases) be serviced on a same-day basis.

**Electronic Records**

FRCs now offer a comprehensive suite of e-records services for Federal
electronic records. For more information, see [[Electronic Records
Services]{.underline}](http://www.archives.gov/frc/electronic-records.html)
(www.archives.gov//frc/electronic-records.html).

-   **E-records storage:** Select FRCs offer secure storage of
    electronic records saved on or copied to optical or magnetic media
    objects such as CDs, DVDs, and magnetic tapes. Storage can be
    provided in climate-controlled space within the FRCs or in
    specialized Electronic Records Vaults (ERVs) . FRCs can securely
    store e-records such as temporary records saved on e-media, backup
    tapes, and vital e-records.

-   **E-media shredding:** Select FRCs now have industrial
    disintegrators to securely shred your e-media. All shredding
    services are conducted at an FRC by Federal employees, so you can
    rest assured that your records are safe from unauthorized disclosure
    throughout the disposal process. For your agency\'s most sensitive
    records, FRCs can also accommodate witnessed disposal of e-media by
    your agency representatives.

-   **Digital imaging:** FRCs can convert your agency\'s paper records
    into electronic images on high-speed scanners. FRCs can undertake
    digitizing projects of all sizes, will scan to your agency\'s
    specifications, and can provide you with scanned copies in a number
    of different outputs.

    **Storage and Servicing of Classified Records**

Several FRCs are cleared to accept records containing classified
National Security Information. These facilities are cleared for
Confidential, Secret, Top Secret, Sensitive Compartmentalized
Information, Restricted Data, and Formerly Restricted Data. In addition,
most centers can store, for an additional fee, sensitive but
unclassified records in a separate vault. Contact the records center in
your region for more information about availability of these services.

**24/7 Access to Records**

Several FRCs can offer around-the-clock access to critical agency
records. Please contact your local FRC Director for availability and
details.

**Fast Pack Service**

As agencies face downsizing and budget cuts, their employees may not
have the time or training to prepare records for transfer to the FRC.
Many FRCs offer reimbursable staff time to help agencies organize,
document, and pack shipments. Fast Pack service covers preparation of
the SF 135, packing of boxes, and preparation of a boxed file inventory,
and may also include transportation to the records center. Free,
no-obligation cost estimates are available.

**Folder Indexing Services**

FRC staff can assist your agency in completing detailed folder lists,
documentation that is mandated by the Code of Federal Regulations for
transfers of permanent records and unscheduled records. Such lists are
also useful for future reference requests, since this level of detail
helps your agency\'s staff more easily identify the records to be
recalled. Please contact your local FRC for more details.

**Metro Courier Service**

FRCs provide courier service for pickup and delivery of transfers and
requested files in select metropolitan areas. Metro Courier service can
be provided to your agency each business day or on an as-needed basis.
This service is offered on a reimbursable basis. A number of FRCs also
offer a trucking service for large transfers at rates competitive with
commercial carriers. Contact your local FRC for more information.

**SmartScan**

A number of FRCs can provide same-day electronic delivery of requested
files through SmartScan. FRC staff members research your request,
convert it to a high-quality scan, and e-mail it to your desktop
computer the same business day in Adobe Portable Document Format (PDF).
SmartScan eliminates outbound and return shipping costs and is ideal for
both small jobs and urgent requests.

**Holdings Information (INFORM)**

FRCs offer customer holdings information in electronic format through
the INFORM service. Customers can receive INFORM holdings data in
several formats (Access, Excel, or text file via e-mail or on CD-ROM).
INFORM allows customers to easily run queries and reports on their
holdings and set their own criteria for filtering and scrolling through
information. INFORM can also sort by disposal authority, disposal code,
storage location, or other options. Please contact your local FRC or
your agency\'s account representative for more information about this
service.

**Micrographics Services**

The FRC offers comprehensive micrographics services at three of its
centers (San Bruno, CA; Kansas City, MO; and Ft. Worth, TX). Services
include roll film and microfiche, as well as document preparation,
processing, and duplication. Please contact the [[Federal Records Center
Director]{.underline}](http://www.archives.gov/frc/directors.html) at
any of the facilities that offer micrographics services for further
information (see www.archives.gov/frc/directors.html).

**Custom Solutions**

Each records center can undertake, on a reimbursable basis, a number of
records-related special projects, such as screenings, inventories, data
entry, etc. The FRC staff is experienced in all aspects of records
management and can offer customized assistance to agency customers.
Examples of projects that FRCs have successfully undertaken for agency
clients include:

-   Data-entry services, including remote or on-site input into agency
    databases;

-   Barcoding services for large agency holdings;

-   Consolidation of agency records (including records of a similar
    type, records being held under disposal \"freezes,\" - see
    definition, in the \"[Transfer and Disposition\"
    section](http://www.archives.gov/frc/toolkit.html#freeze%23freeze) -
    or records from a certain location or office);

-   Preparation of inventories of agency holdings (including box
    listings); and

-   Provision of on-site space at FRCs for agencies to conduct research
    on large collections.

    **Records Management Training**

NARA establishes policies and procedures for managing Federal records
and assists Federal agencies in documenting their activities,
administering records management programs, scheduling records, and
retiring records to records centers. An important part of this role is
records management training. NARA provides a full range of training both
in Washington, DC, and through its regional facilities nationwide. The
courses are offered primarily for Federal employees but are also open to
Federal contractors, and employees of state and local governments,
tribal governments, and international organizations. Please see
[[Records
Management]{.underline}](http://www.archives.gov/records-mgmt/)
(www.archives.gov/records-mgmt/) for more information on NARA records
management training.

**TRANSACTIONS WITH THE NATIONAL PERSONNEL RECORDS CENTER (NPRC ), ST.
LOUIS, MO**

NPRC is one of the National Archives and Records Administration\'s
largest operations. It is a central repository of personnel-related
records, both military and civil service. Some of these collections have
procedures for transfers and reference requests that differ from the
procedures at other FRCs. This section provides information on these
special procedures, including forms, instructions, and points of contact
for further information. For more information, please visit [[NPRC\'s
web site]{.underline}](http://www.archives.gov/st-louis/)
(www.archives.gov/st-louis/).

**Transfers**

The forms referenced in this chapter can be obtained from the following
sources:\
[[GSA]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://w3.gsa.gov)
(http://w3.gsa.gov) (SF 66C, SF 66D, SF 127, SF 184);\
[[GSA
Advantage]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://www.gsaadvantage.gov)
(www.gsaadvantage.gov) (SF 66); and\
[[DTIC]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://www.dtic.mil/whs/directives/infomgt/forms/formsprogram.htmm)
(www.dtic.mil/whs/directives/infomgt/forms/formsprogram.htm) (DD 877-1).

**CIVILIAN PERSONNEL RECORDS**

The personnel and medical records of separated Federal employees are
transferred to the NPRC, Civilian Personnel Records facility (111
Winnebago Street, St. Louis, MO 63118-4126). An SF 135 is not used for
the transfer process for Civilian Personnel Records. Retirement of
individual folders is based on the date of separation and should occur
within 90 to 120 days after the employee separates from Federal service.
Civilian personnel records must be retired in Standard Form 66, Official
Personnel Folder, or Standard Form 66C, Merged Records Personnel Folder,
as appropriate. Civilian medical folders must be retired in the Standard
Form 66D, Employee Medical Folder, or for Postal Service employees, the
PSIN 067 Employee Medical Folder. All folders must have the name (last,
first, middle initial), date of birth, and social security number on the
upper right tab. For additional information consult the\
[[OPM Operating Manual *Guide to Personnel
RecordKeeping*]{.underline}](http://www.archives.gov/global-pages/exit.html?link=http://www.opm.gov/feddata/recguide2006.pdf)
(http://www.opm.gov/feddata/recguide2006.pdf).

**MILITARY MEDICAL TREATMENT RECORDS**

The following types of medical treatment records are transferred to the
NPRC:

1.  Clinical (hospital inpatient) records created for all categories of
    patients receiving inpatient treatment and extended ambulatory
    procedures (active duty military personnel, retirees, and
    dependents);

2.  Medical treatment records (outpatient) for military retirees,
    dependents, and others created at military health care facilities.

Air Force medical treatment facilities transfer records to the Civilian
Personnel Records (CPR) facility (111 Winnebago Street, St. Louis, MO
63118-4126). Army and Navy medical treatment facilities transfer records
to the Military Personnel Records (MPR) facility (9700 Page Avenue, St.
Louis, MO 63132-5100).

An SF 135 is required, but the information is provided electronically in
two related files. The Shipment Data File (SDF) contains a general
description of the shipment and the Record Index File (RI) contains an
itemized listing of all records in the shipment. These files are
generated by military medical treatment facility users via the DoD\'s
Composite Health Care System (CHCS). The records must be boxed in the
same order they appear on the Records Index File. These records are
added to NPRC\'s Medical Registry System (MRS) which serves as an
electronic index to facilitate records identification and retrieval.
Additional information on transferring medical records is available
[[online]{.underline}](http://www.archives.gov/global-pages/exit.html?link=https://kx.afms.mil/pad/mrtr2)
(https://kx.afms.mil/pad/mrtr2).

**Reference Requests**

Authorized representatives of Federal and DoD agencies may request
civilian and military records from NPRC.

**OFFICIAL PERSONNEL FOLDERS (OPFs):**

When requesting an OPF, submit Standard Form 127, Request for Official
Personnel Folder, in duplicate. A separate SF 127 is required for each
requested folder.

**EMPLOYEE MEDICAL FOLDERS (EMFs):**

When requesting an EMF, submit Standard Form 184, Request for Employee
Medical Folder, in duplicate. A separate SF 184 is required for each
requested folder.

To request OPFs or EMFs, specify the following information on the SF 127
or SF 184:

-   Current and former name of employee;

-   Name of the agency (or agencies);

-   Dates of employment for which the records are desired;

-   Social security number (for United States citizens);

-   Foreign National Overseas (FNO) in place of a social security number
    (for foreign nationals); and

-   Date of birth.

You may also submit your request via fax to 314-801-9271 or e-mail at
[[cpr.center@nara.gov]{.underline}](mailto:cpr.center@nara.gov).
Additional instructions on requesting OPFs and EMFs are available
[[online]{.underline}](http://www.archives.gov/st-louis/civilian-personnel/federal-agencies.html)
( www.archives.gov/st-louis/civilian-personnel/federal-agencies.html).

**OFFICIAL MILITARY PERSONNEL FILES (OMPFs)**

The NPRC provides access to the Military Personnel Registry (MPR) File
Index to authorized users through a web interface. The MPR is a locator
index for OMPFs that have been transferred to NPRC custody and that are
under automated controls. Users who have registered with NPRC and have a
user ID may submit inquiries and record orders from their Government
worksite. Security registration is required for all users who will be
accessing the MPR Registry File Index. Remote users who wish to order
Army and/or Air Force records for delivery to their worksite must obtain
authorization from the Army or Air Force, and be placed on an official
access list. The Navy, Marine Corps, and Coast Guard restrict review of
records to NPRC premises for approved users unless otherwise authorized.
To register for online access and a user ID, all authorized users must
submit VA Form 9957, ACRS Time Sharing Request Form.

**MILITARY MEDICAL TREATMENT RECORDS**

Original medical treatment records are returned to military hospitals
and clinics upon request. NPRC offers three options (MRS, DD 877-1, and
CIPS) for routine record requests. Select the option that pertains to
the record that you want to order.

-   MRS (Medical Registry System) Record Orders With few exceptions,
    inpatient and outpatient records transferred to NPRC since 2003 are
    electronically indexed on NPRC\'s MRS. Users may query the MRS
    database by patient\'s name or sponsor\'s/patient\'s social security
    number. All records matching the query will be displayed, and users
    may electronically order those needed. MRS registration, access, and
    user instructions are available
    [online](http://www.archives.gov/st-louis/military-personnel/agencies/medical-registry-system.html)(www.archives.gov/st-louis/military-personnel/agencies/medical-registry-system.html).

-   CIPS or DD 877-1 Record Orders All other medical treatment records
    that are not indexed on the MRS are stored and identified by the
    shipment in which they were retired. Facilities that recall records
    transferred to NPRC must provide information regarding the shipment
    containing the desired record to facilitate retrieval. This shipment
    information includes the transfer number, box number, and shelf
    location number, as well as patient identifiers.

-   To use CIPS to order records, see the \" [Reference
    Service](http://www.archives.gov/frc/toolkit.html#retrieval%23retrieval)\"
    section of this guide.

-   DD Form 877-1, Request for Medical/Dental Records from NPRC, is
    authorized for use by U.S. military medical facilities only. It
    should not be distributed for personal use to former patients. The
    form can be ordered through supply channels. Please check to make
    sure that records have been transferred to NPRC before preparing the
    form. (For records retired during or after 2003, check MRS first.)
    Most inactive records are held at the military treatment facility
    one to five years after the end of the treatment year before being
    transferred to NPRC. Contact the records management officer of the
    related facility to find out if records have been transferred, if
    they are in a records holding area, or are still at the facility.
    Instructions for completing the form are available
    [online](http://www.archives.gov/st-louis/military-personnel/agencies/clinical-and-treatment-records.html)
    (www.archives.gov/stlouis/military-personnel/agencies/clinical-and-treatment-records.html).

    **Interfiles**

Agencies may send Federal employee documents to NPRC\'s Civilian
Personnel Records Center (CPR) for interfile in the OPF. The complete
name of employee, social security number, and date of birth is required
to place these documents in the appropriate record.

Military medical treatment facilities may send records to NPRC for
interfile. The patient\'s name and social security number, sponsor\'s
name and social security number (if dependent), transfer number, box
number, and shelf location are required to process the interfile.

# NARA Electronic Records Questions

11/19/08

**I. DESCRIPTIVE INFORMATION**

*(Use to evaluate whether the records have permanent or temporary
value.)*

1\. What is the name (and acronym, if any) of the system/application in
which the electronic records reside?

2\. For what purpose are these electronic records created?

3\. Describe the content of these electronic records. What information
does the system/application collect and maintain in these records? Why
is the information being collected? What fields make up each record?

4\. What is the primary key/unit of analysis for each file (one record
created for each . . .)?

5\. If the description on the SF 115 is not sufficient to determine
whether the proposed disposition is appropriate, the following
documentation may be helpful to understand more about the content,
purpose and use of these electronic records:

-   a copy of the Privacy Impact Assessment (PIA) if one exists;

-   a copy of the Statement of Records Notice (SORN) if one exists;

-   screenshots;

-   user guides or manuals; and

-   record layout and codes for the files in the system/application.

6\. What is the legal authority and/or program area under which these
electronic records are/were created?

7\. What is the date span of the records contained within the
system/application? ***(This question applies only to permanent records.
Please provide this information on the SF 115.)***

Answer is a four-digit calendar year.

These are the date ranges covered by the system content.

8\. What is the estimated current volume of these electronic records?
***(This question applies only to permanent records. Please provide this
information on the SF 115.)***

9\. What is the estimated annual accumulation of these electronic
records? ***(This question applies only to permanent records. Please
provide this information on the SF 115.)***

**II. CONTEXTUAL INFORMATION: Where does it fit into the business
process?**

*(Use to determine how to group systems into big/bigger buckets for
scheduling.)*

10\. Which functional area do these electronic records support?

-   The answer to this question will come from the Federal Enterprise
    Architecture (FEA) Business Reference Model (BRM). Select just one
    among the choices.

**III. CONTEXTUAL INFORMATION: How does it relate to other records?**

*(Use to determine whether any of the inputs or outputs of the
system/application should be scheduled via an SF 115.)*

11\. What are the sources of input to this electronic information
system/application?

> Describe the primary data input sources (if any). Include form numbers
> of any agency forms used as input sources. Also give the names of any
> other systems/applications, either inside or outside the agency, from
> which this electronic information system/application receives data.

12\. Are the inputs scheduled? If so, identify the associated agency
file code and/or NARA authority number. (If providing a NARA authority
number, please provide this down to the item number on the SF 115, e.g.,
N1-468-95-3 Item 4.)

13\. If inputs aren't scheduled, do they need to be scheduled via an SF
115?

> This depends on the answer to this question: Is there a one-to-one
> relationship between the content of the inputs to the
> system/application and the electronic records within the
> system/application? In other words, is there unique information in the
> system/application inputs that is not entered into the
> system/application's records or is ALL of the information in the
> system/application inputs entered into the system/application's
> records? If ALL information is entered, the inputs are covered by the
> General Records Schedule (GRS 20 Item 2a4). If inputs contain unique
> information, they need to be scheduled via an SF 115.

14\. What are the outputs from this system/application? (e.g., list
names and types of records, documents or data.)

> "Outputs" are those things that are directly printed from or produced
> by the system/application.

15\. Are the outputs scheduled?

> This depends in part on the answer to this question: Does the
> system/application create any outputs that are not generated ad hoc?
> Some types of system/application outputs are covered by the General
> Records Schedule. GRS 20 Item 16 covers hard copy printouts created to
> meet ad hoc business needs. GRS 20 Items 4, 5, 6, 7, and 12 also cover
> various data/electronic files extracted from electronic information
> system/applications. If a system/application creates any other
> outputs, they must be scheduled via an SF 115.

16\. Does this system/application contain records that are duplicated in
another system/application elsewhere? If yes, please explain.

**IV. DISPOSITION INFORMATION**

*(Use to craft a disposition instruction.)*

17\. Recommend a temporary or permanent disposition.

18\. Is the information in the records of this system/application ever
overwritten? If yes, please explain. ***(This question applies only to
permanent records.)***

> The answer to this question may affect the transfer instructions. If
> the system/application overwrites data in records and therefore only
> contains current information, NARA may request a periodic snapshot of
> the system/application. If the system/application only adds data to
> records (and it does not overwrite or delete data), NARA would likely
> request transfers of closed records.

19\. Do the records close-out? If so, what event causes them to
close-out?

20\. If records close-out, should the retention period be based on a
calendar year or a fiscal year?

> In other words, does the agency expect to conduct its annual
> destruction action for these records at the end of a calendar year or
> a fiscal year? This will affect how the cutoff instruction is written.
> Cutoff instructions should include both an event and a timeframe
> (e.g., Cut off at the end of the calendar year in which case closed.
> Destroy 5 years after cutoff).

21\. How long do the records need to be retained prior to destruction
(for temporary records) or transfer to the National Archives (for
permanent records)?

22\. What is the rationale behind the retention period of temporary
records? Is it based solely on a business need, or is there also a legal
need? If there is a legal rationale behind the retention period, please
provide the citation(s) to the applicable law, regulation or guidance.
***(This question applies only to temporary records.)***

23\. If the proposed transfer period for permanent records is more than
five years, can these records be pre-accessioned by the National
Archives so the National Archives receives them physically within five
years and then receives legal custody sometime after that? ***(This
question applies only to permanent records.)***

> Pre-accessioning means the National Archives is given physical custody
> but not legal custody of these records for a certain period of time.
> (The National Archives does not provide access to records to which
> they do not have legal custody -- access is therefore controlled by
> the agency until legal custody is transferred.) Pre-accessioning may
> be appropriate if there is a financial, access or legal need on the
> part of the agency to retain legal custody for longer than five years.
> If considering pre-accessioning and these needs exist, please
> describe. If these needs do not exist, pre-accessioning is not
> appropriate. (See NARA Bulletin 2006-05.)

24\. If records are pre-accessioned, when should physical custody be
transferred to the National Archives and when should legal custody be
transferred to the National Archives? ***(This question applies only to
permanent records.)***

25\. If the proposed transfer period for permanent records is more than
five years and the records cannot be pre-accessioned, what is the
rationale behind the agency's proposal to maintain physical and legal
custody of these records for more than five years? ***(This question
applies only to permanent records.)***

26\. What is the estimated year the records will first be transferred to
the National Archives? ***(This question applies only to permanent
records. Please provide this information on the SF 115.)***

> If records are being pre-accessioned, this is the year the records
> will first be physically transferred to the National Archives.

27\. Have these electronic records been scheduled before (perhaps under
a different system/application name)? If so, what is the superseded NARA
disposition authority number? (Please provide this down to the item
number on the SF 115, e.g., N1-468-95-3 Item 4.)

**V. PRESERVATION-RELATED INFORMATION**

***(Use to determine whether answers to additional technical questions
are needed. These questions only apply to permanent records.)***

28\. What format(s)/version(s) are the system/application's records in?

29\. If the system/application contains any of the following formats or
electronic record types, please complete the appropriate technical
questionnaire:

> If PDF, please complete NARA's "Technical Evaluation of Potentially
> Permanent PDF Records" questionnaire.
>
> If scanned images, please complete NARA's "Technical Review of
> Potentially Permanent Scanned Images" questionnaire. (Please complete
> this in addition to the PDF questionnaire if the records are scanned
> into PDF.)
>
> If digital photos, please complete NARA's "Technical Review of
> Potentially Permanent Digital Photographic Records" questionnaire.
>
> If digital geospatial data or geographic information system (GIS),
> please complete NARA's "Technical Review of Potentially Permanent
> Digital Geospatial Data" questionnaire.
>
> If email, please complete NARA's "Technical Review of Potentially
> Permanent Email Records" questionnaire.
>
> If web content records (e.g., websites, and not the administrative
> records associated with web content), please complete NARA's
> "Technical Review of Potentially Permanent Web Content Records."

30\. Can the files (i.e., the electronic records) be transferred to the
National Archives in a way that is hardware and software independent? In
other words, would portions of the data be lost or distorted upon
conversion to flat file format? (e.g., ASCII or EBCDIC)

31\. If the records are to be transferred to NARA, can they be
transferred in a format that is compliant with NARA standards?

> See 36 CFR 1228.270 and additional expanded transfer guidance
> products.

**VIII. OWNERSHIP INFORMATION**

***(Use to identify POCs.)***

32\. Who is the lead agency, if not your own?

33\. Who is technically responsible for the system/application and what
is their contact information?

> These are the people who can provide technical information about the
> records in the system/application.

34\. Who is/are the content owner(s)/manager(s), what office are they
in, and what is their contact information?

> These are the people who can provide additional information about the
> program and the content of the records, if needed.

# Technical Review of Potentially Permanent Web Content Records

**General Information**

  -------- ---------------------------------- ---------------------------------
  **\#**   **Question**                       **Response**

  1        What is the name and URL of the    
           website being scheduled?           

  2        What is the filename of the first  
           page (or "home page") in the URL?  

  3        What is the web platform and       
           specific software application used 
           to support the website?            

  4        Approximately how many files have  
           been identified in the domain and  
           can they be rendered by a browser? 

  5        Is a "site map" available?         

  6        How frequently is the content      
           updated? Based on this frequency,  
           does the proposed schedule contain 
           adequate cut off instructions?     
  -------- ---------------------------------- ---------------------------------

**Website Construction**

  -------- --------------------------------- ---------------------------------
  **\#**   **Question**                      **Response**

  7        Do all the files on the proposed  
           web schedule reside in the same   
           domain?                           

  8        Are any of the external links     
           significant to the appraised      
           value of the web content?         

  9        Does the web content use anything 
           (e.g. cookies, robot.txt files)   
           that could cause differences      
           between the content that is       
           viewed during the appraisal       
           process and the content that is   
           ultimately transferred to NARA?   

  10       Are portions of the website       
           maintained separately in other    
           formats? If yes, have they been   
           scheduled?                        
  -------- --------------------------------- ---------------------------------

**Transfer of Web Content Records**

  -------- --------------------------------- ---------------------------------
  **\#**   **Question**                      **Response**

  11       Describe the method(s) used to    
           collect the web content (i.e.     
           automated harvest, PDF Capture,   
           or manual capture).               

  12       If the PDF Capture method is      
           used, does the resultant PDF meet 
           the requirements of NARA's        
           transfer instructions for         
           permanent records in PDF?         

  13       Have all links within the web     
           content been redirected for       
           transfer to NARA and have the     
           external links been disabled?     

  14       Are the significant links either  
           commented or described in the     
           transfer documentation?           

  15       Are there procedures in place to  
           validate that the collection of   
           web content matches the scheduled 
           web content? If yes, are reports  
           of these procedures available for 
           transfer to NARA as part of the   
           transfer documentation?           
  -------- --------------------------------- ---------------------------------

**Contact Information**

  ---------------- ------------------------------------------------------------
  **Name/Title**   

  **Telephone**    

  **Email**        
  ---------------- ------------------------------------------------------------

# Technical Review of Potentially Permanent Email Records

NOVEMBER 2002

**System Basics**

1.  What are the names and versions of all email applications used to
    support the records in the proposed transfer (e.g., Microsoft
    Exchange 5.5)?

2.  What are the names and versions of all the operating systems used to
    support the records in the proposed transfer (e.g., Microsoft
    Windows NT 4.0)?

3.  Is there a Records Management Application (RMA) linked to the email
    system for recordkeeping?

4.  What are the names and versions of the RMAs used (if applicable)?

5.  Are the records exported using a consistent and uniform methodology
    for all records in the proposed transfer?

**System Establishment**

6.  Are there existing agency policies and procedures for the creation
    and management of email? (if so, obtain samples)

7.  Are there existing agency policies and procedures for the
    disposition of email, such as determining the recordkeeping copy and
    the recordkeeping medium)?

8.  Is there technical documentation on the specifications of the email
    system (i.e., descriptions of the hardware, software, and storage
    media used)?

9.  What file formats (and versions) does the email system support?

10. What export formats (and versions) does the RMA support (if
    applicable)?

**System Operations**

11. Does the email system capture the intelligent (i.e., identifiable,
    plain-English) names of senders and recipients? (If no, complete 12
    and 13)

12. Are nicknames, group lists, or other codes cross-referenced to
    intelligent names?

13. Will appropriate documentation translating these nicknames, group
    lists, and codes be available at the time of transfer? Is there a
    master directory of all the intelligent names of agency users?

14. How does the email system software define the structure of email
    messages (i.e., to, from, date, body of message, etc.)?

15. What transmission and receipt data are captured by the system (i.e.,
    are the properties (or metadata) automatically captured and
    associated with the message content)?

16. How does the agency handle security-classified or sensitive email
    messages? Are there separate email systems or separate access
    controls? Are there additional metadata elements defined?

**System Administration**

17. What is the total volume (i.e., number of messages, number of
    attachments, and total bytes) of the email records proposed for
    transfer to NARA?

18. How are individual email messages managed (i.e., arranged) at the
    system level? How are they aggregated and backed up?

19. Are there tools for searching aggregates of email at the system
    level for retrieval of individual messages (if so, specify)?

20. What media are used for storing aggregates of email (i.e., file
    backups)?

21. Are aggregates of email maintained in different formats from the
    original message?

**Attachments**

22. Are email attachments stored with the related messages in the email
    system? (If no, complete 23). How are these linkages established?

23. Can attachments that are not stored with their related email
    messages (i.e., linked) be transferred to NARA as a physical unit
    (i.e., the attachment is physically linked to the related email
    message)?

  --------------------------- ------------------- ------------------------
  **Person to contact         **Telephone**       **Email**
  regarding information on                        
  this form**                                     

                                                  
  --------------------------- ------------------- ------------------------

# Technical Review of Potentially Permanent Digital Geospatial Data

**System Information**

  -------- ------------------------------------- -----------------------------
  **\#**   **Question**                          **Response**

  1        What is the name of the GIS system(s) 
           being appraised?                      

  2        What is the name(s) and version(s) of 
           the GIS software application (s) used 
           to create and maintain the GIS        
           records?                              

  3        What is the name(s) and version(s) of 
           the operating system used to support  
           the GIS system?                       

  4        Are any of the GIS platforms or data  
           files proprietary? What software is   
           required to open, view, or manipulate 
           data files?                           

  5        Can the GIS data be open, viewed, or  
           modified by any third party           
           applications? If so, please list.     

  6        Can the GIS data be exported from the 
           GIS system and transferred to NARA in 
           the formats specified by the transfer 
           guidance?                             

  7        Has any of the GIS data been migrated 
           to the current system from a legacy   
           system?                               

  8        Is there an in-house GIS "library" or 
           centralized data store maintained by  
           the Agency?                           

  9        Is there a migration strategy for the 
           GIS system with appropriate           
           documentation?                        

  10       Are GIS records maintained in an RMA? 
           If so, what name and version? Obtain  
           samples of RMA records and metadata   
           captured for GIS records.             
  -------- ------------------------------------- -----------------------------

**Data Construction**

  -------- ------------------------------------- -----------------------------
  **\#**   **Question**                          **Response**

  11       Identify the electronic formats (such 
           as SDTS or ESRI shapefiles) that are  
           incorporated in the GIS system as it  
           is used by the Agency.                

  12       Can the data be transferred in        
           formats acceptable to NARA (SDTS or   
           any other recognized open standard    
           formats) as opposed to fixed views or 
           formats?                              

  13       Does the set of GIS records proposed  
           for transfer include all data layers  
           comprising the GIS as used by the     
           agency? If not, identify the data     
           layers not included in the proposed   
           transfer.                             

  14       Are any of the data layers created by 
           other agencies or non-Federal         
           sources? If so, what restrictions     
           exist that might prevent their        
           transfer to, or use by, NARA (e.g.,   
           legal, copyright)?                    

  15       Do any of the data layers consist of  
           static or general information which   
           is not updated by the Agency?         

  16       Are any components of the GIS system  
           compressed for storage? Please        
           describe the method of compression.   
  -------- ------------------------------------- -----------------------------

**Data Description**

  -------- ------------------------------------- -----------------------------
  **\#**   **Question**                          **Response**

  17       Identify all existing finding aids    
           for the GIS records, including their  
           format(s).                            

  18       Do the finding aids conform to the    
           approved standards, such as profiles  
           listed in the standards? If           
           agency-specific profiles are used,    
           does adequate documentation exist     
           that can be transferred to NARA with  
           the records?                          
  -------- ------------------------------------- -----------------------------

**Technical Documentation**

  -------- ------------------------------------- -----------------------------
  **\#**   **Question**                          **Response**

  19       Is documentation describing the       
           structure and content of the GIS      
           records available from either the     
           agency or a standards body?           

  20       Is the metadata self-documenting or   
           referenced to an external standard?   

  21       Is there documentation of how the     
           metadata elements are assigned? If    
           so, can this documentation be         
           scheduled?                            

  22       Does documentation of operational     
           processes exist such as guidelines,   
           workflow manuals, and/or procedures   
           for creating and maintaining the GIS  
           records?                              
  -------- ------------------------------------- -----------------------------

**Quality Control**

+---+-------------------------------------+-----------------------------+
| * | **Question**                        | **Response**                |
| * |                                     |                             |
| \ |                                     |                             |
| # |                                     |                             |
| * |                                     |                             |
| * |                                     |                             |
+---+-------------------------------------+-----------------------------+
| 2 | Are there procedures that describe  |                             |
| 3 | the quality control inspection      |                             |
|   | process and how the results are     |                             |
|   | reported? If so, do the procedures  |                             |
|   | require verification of:            |                             |
|   |                                     |                             |
|   | -   the quality of the GIS records  |                             |
|   |     created,                        |                             |
|   |                                     |                             |
|   | -   the accuracy and consistency of |                             |
|   |     the metadata, and               |                             |
|   |                                     |                             |
|   | -   the integrity of the metadata?  |                             |
+---+-------------------------------------+-----------------------------+

**Contact Information**

  -------------- --------------------------------------------------------
  Name/Title     

  Telephone      

  Email          
  -------------- --------------------------------------------------------

# Technical Evaluation of Potentially Permanent PDF Records

**Basic Descriptive Information**

1.  Title of records:

2.  Organization unit responsible for creating the records:

3.  Legal authority which specifically authorizes or requires the
    creation or maintenance of the records:

4.  Are there restrictions on access? If yes, please describe. Can the
    agency make a public use version of the records? Is the agency aware
    of the security implications associated with PDF files?

5.  Arrangement:

6.  What is the content of the records and which agency programs does it
    support?

7.  Unit of analysis: (one record is created for each...) What is the
    unique identifier for each record (e.g., case file number, etc)?

8.  Inclusive dates of records:

9.  Number of records:

10. File size of proposed transfer in megabytes or gigabytes:

11. Volume (annual accumulation):

12. Are all the records in PDF or are the records in mixed formats? What
    are the other formats? How are the records related and how are they
    linked?

> 13\. When are the records eligible for transfer to NARA?

**PDF Specific Questions**

14. PDF file specification: version 1.0 1.1 1.2 1.3 1.4 or other
    \_\_\_\_\_\_\_.

15. Are links to external information included in the PDF records? If
    yes, is the linked information considered a necessary part of the
    permanent record? If yes, the linked information will have to be
    transferred with the records. (See Section 3.2.2.1 of the NARA PDF
    transfer instructions)

16. Are there any comments or annotations on the records? Do they
    enhance the value and affect the appraisal of the records? If yes,
    the comments or annotations will have to be transferred with the
    records. (Section 3.2.2.1)

17. Are there objects that are attached to the PDF document (e.g., MS
    Word files, MS Excel files, etc.)? If yes, please describe formats,
    volume. (Section 3.3)

18. Are keyed form data contained within the PDF records? If so, is it
    part of the PDF file or is it in a corresponding database, or both?
    \[Note: form data can be exported from a PDF document and stored as
    a .FDF file. These data could be imported into a database\].

##### 

**PDF Guidance Requirements**

> 19\. Do the PDF records comply with the following sections of NARA's
> PDF transfer instructions? If not, please explain the deficiencies.
> Could these issues be corrected by the agency before transfer?

a.  Do the PDF records contain any security settings? If yes, please
    describe. (Section 3.2.1)

b.  Can the agency deactivate all security settings for documents
    created after April 1, 2004? (Section 3.2.1.)

c.  If the links were determined to be part of the permanent record
    during the appraisal, how will the agency transfer the linked
    documents, files or sites? (Section 3.2.2)

d.  Are keyed form data records being transferred as part of the PDF
    file or in a separate database or information system? (Section
    3.2.2)

e.  Do the PDF records contain embedded fonts? If yes, has the agency
    embedded all fonts, including the "base 14"? If not, can the agency
    embed the required fonts prior to transfer? (Section 3.3.1)

f.  Do scanned images of textual paper records converted to PDF adhere
    to the requirements in NWM 02.2003, MEMORANDUM TO AGENCY RECORDS
    OFFICERS: Expanding Acceptable Transfer Formats: Transfer
    Instructions for Scanned Images of Textual Records, dated December
    23, 2002? (Section 3.4.1)

g.  Did the OCR process use compression to reduce file size? If yes,
    what process was used? Was the compression method lossless (i.e., no
    loss of data) or lossy (i.e., involves some data loss)? (Section
    3.4.2)

h.  Have the PDF records been compressed or aggregated for transfer?
    (Section 4.2)

**Finding Aids and/or Related Records**

20. Are there any finding aids, indexes, or metadata for the PDF
    records? What is the format? Are they scheduled?

21. Do the scanned or image records contain embedded searchable text
    based on Optical Character Recognition (OCR)? If yes, are there
    finding aids created from the OCR'd text? If yes, was there any
    "clean up" performed on the OCR'd text?

22. Are there any external applications or executable programs used to
    navigate either within large PDF records or between multiple PDF
    records maintained as a collection? If yes, describe the application
    and how it is used. Can the records be viewed independent of the
    application? If not, can the application be transferred with the
    records in an approved format?

  ------------------------------- -------------------- ------------------
  **Person(s) to contact          **Telephone**        **Email**
  regarding information on these                       
  questions**                                          

                                                       

                                                       

                                                       
  ------------------------------- -------------------- ------------------

# Technical Review of Potentially Permanent Scanned Images

**System Basics**

24. What are the names and versions of the imaging systems used to
    support the records in the proposed transfer (i.e., application
    software and storage system)?

25. What are the names and versions of all the operating systems used to
    support the records in the proposed transfer (e.g., Microsoft
    Windows NT 4.0)?

26. Is there a Records Management Application (RMA) linked to the
    imaging system for recordkeeping? \_\_\_\_Yes \_\_\_\_No. If yes,
    then list the name and version(s) used.

27. What is the total number of documents in the transfer?
    \_\_\_\_\_\_\_

28. What is the total number of images in the transfer?\_\_\_\_\_\_\_

**System Establishment**

29. Do operational guidelines, workflow manuals, and other documentation
    for the imaging and indexing process exist? \_\_\_\_Yes \_\_\_\_No.
    Are they scheduled for transfer in conjunction with the images?
    \_\_\_\_Yes \_\_\_\_No

30. Are there written system specifications (software, hardware,
    recording media)? \_\_\_\_Yes \_\_\_\_No. Are system upgrades and
    other changes documented? \_\_\_\_Yes \_\_\_\_No. Is this
    documentation being scheduled in conjunction with the images?
    \_\_\_\_Yes \_\_\_\_No

31. Does the imaging system use open systems architecture? \_\_\_\_Yes
    \_\_\_\_No. If not, can the images and indexes be exported to an
    open system? \_\_\_\_Yes \_\_\_\_No

32. Has the agency migrated any data from an older to a newer system?
    \_\_\_\_Yes \_\_\_\_No Is there a strategy to migrate data in the
    future? \_\_\_\_Yes \_\_\_\_No. If yes, is there migration
    documentation? \_\_\_\_Yes \_\_\_\_No

**Image Construction**

33. Do the image formats comply with the guidelines noted in the
    12/23/02 "as is" guidance? \_\_\_\_Yes \_\_\_\_No

34. What is the image file format (e.g., TIFF, GIF, BIIF, PNG)?
    \_\_\_\_\_\_\_\_\_\_ What is the image version (e.g., TIFF 6, GIF
    87, etc.)? \_\_\_\_\_\_\_\_\_

35. What is the image quality in terms of pixels per inch (ppi)?
    \_\_\_\_\_\_\_\_ Bit depth? \_\_\_\_\_\_\_\_\_
    Color/tonal?\_\_\_\_\_\_\_\_\_

36. What image enhancements are routinely used (e.g., contrast
    adjustment, despeckling)?

37. What is the structure of the file header (e.g., standard TIFF,
    proprietary)?\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Is there documentation
    for the structure and content of the file header? \_\_\_\_Yes
    \_\_\_\_No

If yes, can this documentation be scheduled in conjunction with the
images? \_\_\_\_Yes \_\_\_\_No

38. Does the image file contain metadata blocks or fields apart from the
    file header? \_\_\_\_Yes \_\_\_\_No. If yes, is there documentation
    for its structure and content? \_\_\_\_Yes \_\_\_\_No Can this
    documentation be scheduled in conjunction with the images?
    \_\_\_\_Yes \_\_\_\_No

39. Are the image files compressed? \_\_\_\_Yes \_\_\_\_No. If yes, what
    is the compression scheme (e.g., LZW, ITU Group
    4)?\_\_\_\_\_\_\_\_\_\_\_

**Image Description**

40. At what level are metadata (index terms) assigned? \_\_\_\_Image
    \_\_\_Document (set of images) \_\_\_File (set of documents)
    \_\_\_Series (set of files) \_\_\_\_Other (describe).

41. What specific data elements (fields) are routinely indexed at each
    level checked on the previous question?
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Are these elements
    agency-specific or are they tied to a wider standard (e.g., DIG35,
    Dublin Core)? \_\_\_\_Yes \_\_\_\_No

42. Is there documentation for assigning metadata? \_\_\_\_Yes
    \_\_\_\_No. Can this documentation be scheduled in conjunction with
    the images? \_\_\_\_Yes \_\_\_\_No

43. What metadata is kept with the image file, and what resides in a
    separate database?

44. Is Optical Character Recognition (OCR) used to generate full text
    for documents?\_\_\_\_Yes \_\_\_\_No. If yes, how is the OCR text
    linked to the
    images?\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

45. If one or more databases are linked to the images, what software is
    used? \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Is there documentation for its
    structure and content? \_\_\_\_Yes \_\_\_\_No Can this documentation
    be scheduled along with the images? \_\_\_\_Yes \_\_\_\_No

46. Can the database be exported to an open system without loss of
    significant search and retrieval functionality? \_\_\_\_Yes
    \_\_\_\_No

**Quality Control**

47. Are there procedures in place to verify:

-   The quality of the images? \_\_\_\_Yes \_\_\_\_No

-   Accuracy and consistency of the metadata? \_\_\_\_Yes \_\_\_\_No

-   Integrity of the data? \_\_\_\_Yes \_\_\_\_No

-   Adherence to collection procedures for selection and creation?
    \_\_\_\_Yes \_\_\_\_No

48. How often are images sampled? \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

49. Are there provisions for maintaining the collection's security
    (i.e., system access, back ups, and recovery)? \_\_\_\_Yes
    \_\_\_\_No

50. Are there provisions for maintaining the collection's
    trustworthiness, that is, its reliability, authenticity, integrity
    and usability? \_\_\_\_Yes \_\_\_\_No

51. Are plans and procedures in place to keep the collection under
    adequate quality control prior to its transfer to NARA? \_\_\_\_Yes
    \_\_\_\_No

  --------------------------- ------------------- ------------------------
  **Person to contact         **Telephone**       **Email**
  regarding information on                        
  this form**                                     

                                                  
  --------------------------- ------------------- ------------------------

# Technical Review of Potentially Permanent Digital Photographic Records

**System Information**

+---+-------------------------------------+----------------------------+
| * | **Question**                        | **Response**               |
| * |                                     |                            |
| \ |                                     |                            |
| # |                                     |                            |
| * |                                     |                            |
| * |                                     |                            |
+---+-------------------------------------+----------------------------+
| 1 | What are the names and versions of  |                            |
|   | all the operating systems in the    |                            |
|   | agency used to support the records  |                            |
|   | (e.g., Microsoft Windows NT 4.0)?   |                            |
+---+-------------------------------------+----------------------------+
| 2 | -   **For photographs produced from | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     a digital camera**, what is the | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     manufacturer and model of       | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     camera used?                    |                            |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_     |
|   | -   **For scanned images of         | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     photographs**, what are the     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     names and versions, if          |                            |
|   |     applicable, of the imaging      |                            |
|   |     systems used to support the     |                            |
|   |     records in the proposed         |                            |
|   |     transfer (i.e., application     |                            |
|   |     software and storage system)?   |                            |
+---+-------------------------------------+----------------------------+
| 3 | -   Can the digital photographic    | \_\_\_\_Yes \_\_\_\_No     |
|   |     records and indexes be exported | (records)                  |
|   |     to standard format from the     |                            |
|   |     existing application or storage | \_\_\_\_Yes \_\_\_\_No     |
|   |     system (i.e., delimited ASCII   | (indexes)                  |
|   |     text and standard image         |                            |
|   |     formats)?                       |                            |
+---+-------------------------------------+----------------------------+
| 4 | -   Has the agency migrated any     | \_\_\_\_Yes \_\_\_\_No     |
|   |     data from an older to a newer   |                            |
|   |     system?                         | \_\_\_\_Yes \_\_\_\_No     |
|   |                                     |                            |
|   | -   Is there a strategy to migrate  | \_\_\_\_Yes \_\_\_\_No     |
|   |     data in the future?             |                            |
|   |                                     |                            |
|   | -   If yes, is there migration      |                            |
|   |     documentation?                  |                            |
+---+-------------------------------------+----------------------------+
| 5 | -   Are these digital photographic  | \_\_\_\_Yes \_\_\_\_No     |
|   |     records managed within a        |                            |
|   |     Records Management Application  | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     (RMA) for recordkeeping?        | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | -   If yes, then identify the       |                            |
|   |     software and version(s) used.   |                            |
+---+-------------------------------------+----------------------------+

**Technical Documentation**

+---+-------------------------------------+----------------------------+
| * | **Question**                        | **Response**               |
| * |                                     |                            |
| \ |                                     |                            |
| # |                                     |                            |
| * |                                     |                            |
| * |                                     |                            |
+===+=====================================+============================+
| 6 | **System Documentation:**           | \_\_\_\_Yes \_\_\_\_No     |
|   |                                     |                            |
|   | -   Are there written               | \_\_\_\_Yes \_\_\_\_No     |
|   |     system/equipment specifications |                            |
|   |     (software, hardware, and/or     | \_\_\_\_Yes \_\_\_\_No     |
|   |     recording media)?               |                            |
|   |                                     |                            |
|   | -   Are system/equipment upgrades   |                            |
|   |     and other changes documented?   |                            |
|   |                                     |                            |
|   | -   Is this documentation being     |                            |
|   |     scheduled in conjunction with   |                            |
|   |     the digital photographic        |                            |
|   |     records?                        |                            |
+---+-------------------------------------+----------------------------+
| 7 | **Operational Documentation:**      | \_\_\_\_Yes \_\_\_\_No.    |
|   |                                     |                            |
|   | -   Does documentation of           | \_\_\_\_Yes \_\_\_\_No     |
|   |     operational processes exist     |                            |
|   |     such as guidelines, workflow    |                            |
|   |     manuals, and/or procedures for  |                            |
|   |     photography, scanning and/or    |                            |
|   |     indexing?                       |                            |
|   |                                     |                            |
|   | -   Is this documentation scheduled |                            |
|   |     for transfer in conjunction     |                            |
|   |     with the digital photographic   |                            |
|   |     records?                        |                            |
+---+-------------------------------------+----------------------------+
| 8 | **Embedded Metadata:**              | \_\_\_\_Yes \_\_\_\_No     |
|   |                                     |                            |
|   | -   Is there documentation of the   | \_\_\_\_Yes \_\_\_\_No     |
|   |     structure and content of        |                            |
|   |     embedded metadata?              |                            |
|   |                                     |                            |
|   | -   If yes, can this documentation  |                            |
|   |     be scheduled in conjunction     |                            |
|   |     with the digital photographic   |                            |
|   |     records?                        |                            |
+---+-------------------------------------+----------------------------+
| 9 | **External Metadata (outside the    | \_\_\_\_Yes \_\_\_\_No     |
|   | file):**                            |                            |
|   |                                     | \_\_\_\_Yes \_\_\_\_No     |
|   | -   Is there documentation          |                            |
|   |     describing the structure and    | \_\_\_\_Yes \_\_\_\_No     |
|   |     content of metadata captured    |                            |
|   |     outside of the image file?      |                            |
|   |                                     |                            |
|   | ```{=html}                          |                            |
|   | <!-- -->                            |                            |
|   | ```                                 |                            |
|   | -   Is there documentation for      |                            |
|   |     assigning external metadata?    |                            |
|   |                                     |                            |
|   | ```{=html}                          |                            |
|   | <!-- -->                            |                            |
|   | ```                                 |                            |
|   | -   If yes, can this documentation  |                            |
|   |     be scheduled in conjunction     |                            |
|   |     with the digital photographic   |                            |
|   |     records?                        |                            |
+---+-------------------------------------+----------------------------+

Image Construction

+---+-------------------------------------+----------------------------+
| \ | **Question**                        | **Response**               |
| # |                                     |                            |
+---+-------------------------------------+----------------------------+
| 1 | Are the images either               | \_\_\_\_Yes \_\_\_\_No (8  |
| 0 | continuous-tone gray scale (8-bit)  | bit)                       |
|   | or color (24-bit raster images)?    |                            |
|   |                                     | \_\_\_\_Yes \_\_\_\_No (24 |
|   |                                     | bit)                       |
+---+-------------------------------------+----------------------------+
| 1 | -   Do the image file formats       | \_\_\_\_Yes \_\_\_\_No     |
| 1 |     comply with the guidelines      |                            |
|   |     noted in the Digital            | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     Photography Transfer Guidance?  | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | -   What is the file format (e.g.,  |                            |
|   |     TIFF, JPEG)                     | \_\_\_\_\_\_\_\_\_\_\_     |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | -   If TIFF, what is the file       | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     format version (e.g., TIFF 6)?  |                            |
+---+-------------------------------------+----------------------------+
| 1 | What is the image quality in terms  | \_\_\_\_\_\_\_\_\_\_\_\_   |
| 2 | of megapixels and/or dpi?           | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     | digital camera             |
|   | Examples:                           |                            |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_     |
|   | **Records created from digital      | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | cameras:**                          | scanned images             |
|   |                                     |                            |
|   | 2 Megapixels with pixel array of    |                            |
|   | 1,600 by 1,200 pixels.              |                            |
|   |                                     |                            |
|   | **Scanned Images:**                 |                            |
|   |                                     |                            |
|   | 8 X 10 at 200 dpi = 1,600 X 2,000   |                            |
|   | megapixels                          |                            |
|   |                                     |                            |
|   | 4 X 5 at 400 dpi = 1,600 X 2,000    |                            |
|   | megapixels                          |                            |
|   |                                     |                            |
|   | 35mm neg at 1,400 dpi = 1,300 X     |                            |
|   | 2,000 megapixels                    |                            |
+---+-------------------------------------+----------------------------+
| 1 | -   Are the image files compressed? | \_\_\_\_Yes \_\_\_\_No     |
| 3 |                                     |                            |
|   | ```{=html}                          | \_\_\_\_\_\_\_\_\_\_\_     |
|   | <!-- -->                            | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | ```                                 | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | -   If yes, what is the compression |                            |
|   |     scheme (e.g., LZW, ITU          | \_\_\_\_\_\_\_\_\_\_\_     |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | > Group 4)?                         | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     |                            |
|   | -   For JPEG files, what is the     |                            |
|   |     compression level used (i.e.,   |                            |
|   |     low, medium, high)?             |                            |
+---+-------------------------------------+----------------------------+
| 1 | What image enhancements/camera      |                            |
| 4 | settings are routinely used (e.g.,  |                            |
|   | contrast adjustment, noise          |                            |
|   | reduction)?                         |                            |
+---+-------------------------------------+----------------------------+
| 1 | What is the structure of the file   |                            |
| 5 | header (e.g., standard TIFF,        |                            |
|   | proprietary)?                       |                            |
+---+-------------------------------------+----------------------------+

Image Description

+---+-------------------------------------+----------------------------+
| \ | **Question**                        | **Response**               |
| # |                                     |                            |
+===+=====================================+============================+
| 1 | Do the electronic digital           | \_\_\_\_\_Yes \_\_\_\_No   |
| 6 | photographic records use file       |                            |
|   | naming conventions that use the     |                            |
|   | default file extension for the      |                            |
|   | appropriate format?                 |                            |
+---+-------------------------------------+----------------------------+
| 1 | Are the records named according to  | \_\_\_\_Yes \_\_\_\_No     |
| 7 | agency-specific naming conventions  |                            |
|   | (e.g., Photographer's Initials +    | \_\_\_\_Yes \_\_\_\_No     |
|   | Date + Sequential number)?          |                            |
|   |                                     |                            |
|   | If yes, is there documentation      |                            |
|   | describing this naming convention?  |                            |
+---+-------------------------------------+----------------------------+
| 1 | -   Does the metadata provide the   | \_\_\_\_\_ Yes \_\_\_\_\_  |
| 8 |     minimum required descriptive    | No                         |
|   |     information about the records   |                            |
|   |     (i.e., unique photograph        | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     identification number, caption, | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     photographer)? If no, what is   | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     missing?                        |                            |
|   |                                     | \_\_\_\_\_ Yes \_\_\_\_\_  |
|   | -   Does the metadata provide the   | No                         |
|   |     minimum required technical      |                            |
|   |     information about the records   | \_\_\_\_\_\_\_             |
|   |     (i.e., file format, bit depth,  | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     image size)? If no, what is     |                            |
|   |     missing?                        |                            |
+---+-------------------------------------+----------------------------+
| 1 | -   Are captions applied to digital | \_\_\_\_\_ Yes \_\_\_\_\_  |
| 9 |     photographic records?           | No                         |
|   |                                     |                            |
|   | -   If yes, describe how the        | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     captions are associated with    | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     the file(s) (e.g., finding aid, | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     header)                         |                            |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_     |
|   | -   Describe the information        | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     captured in the caption (e.g.,  | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     who, what, why, where and       |                            |
|   |     when).                          |                            |
+---+-------------------------------------+----------------------------+
| 2 | At what level are metadata (index   | \_\_\_ Image               |
| 0 | terms) assigned?                    |                            |
|   |                                     | \_\_\_ Document (set of    |
|   |                                     | images)                    |
|   |                                     |                            |
|   |                                     | \_\_\_ File (set of        |
|   |                                     | documents)                 |
|   |                                     |                            |
|   |                                     | \_\_\_ Series (set of      |
|   |                                     | files)                     |
|   |                                     |                            |
|   |                                     | \_\_\_ Other (describe)    |
|   |                                     |                            |
|   |                                     | \_\_\_ Not applicable      |
+---+-------------------------------------+----------------------------+
| 2 | -   Identify all available finding  | \_\_\_\_\_\_\_\_\_\_\_     |
| 1 |     aids for these digital          | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     photographic records. (e.g.,    | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     database files, thumbnail       |                            |
|   |     indexes, shelf lists, caption   | \_\_\_\_\_\_\_\_\_\_\_     |
|   |     cards)                          | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | ```{=html}                          |                            |
|   | <!-- -->                            |                            |
|   | ```                                 |                            |
|   | -   What other specific data        |                            |
|   |     elements (fields) are routinely |                            |
|   |     indexed at each level checked   |                            |
|   |     on the previous question?       |                            |
+---+-------------------------------------+----------------------------+
| 2 | Are these elements agency-specific  | \_\_\_\_Yes \_\_\_\_No     |
| 2 | or are they tied to a wider         |                            |
|   | standard (e.g., DIG35, Dublin       |                            |
|   | Core)?                              |                            |
+---+-------------------------------------+----------------------------+
| 2 | -   What metadata is kept with the  | \_\_\_\_\_\_\_\_\_\_\_     |
| 3 |     image file, and what resides in | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |     a separate database?            | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   |                                     |                            |
|   | ```{=html}                          | \_\_\_\_\_\_\_\_\_\_\_     |
|   | <!-- -->                            | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | ```                                 | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
|   | -   If one or more databases are    |                            |
|   |     linked to the digital           | \_\_\_\_Yes \_\_\_\_No     |
|   |     photographic records, what      |                            |
|   |     software is used?               |                            |
|   |                                     |                            |
|   | -   Can the database be exported to |                            |
|   |     a comma delimited system        |                            |
|   |     without loss of significant     |                            |
|   |     search and retrieval            |                            |
|   |     functionality?                  |                            |
+---+-------------------------------------+----------------------------+

Quality Control

+---+-------------------------------------+----------------------------+
| \ | **Question**                        | **Response**               |
| # |                                     |                            |
+---+-------------------------------------+----------------------------+
| 2 | Are there procedures in place that  | \_\_\_\_Yes \_\_\_\_No     |
| 4 | describe the quality control        |                            |
|   | inspection process and how the      | \_\_\_\_Yes \_\_\_\_No     |
|   | results are reported?               |                            |
|   |                                     | \_\_\_\_Yes \_\_\_\_No     |
|   | Are there procedures in place to    |                            |
|   | verify:                             | \_\_\_\_Yes \_\_\_\_No     |
|   |                                     |                            |
|   | -   The quality of the digital      | \_\_\_\_Yes \_\_\_\_No     |
|   |     photographic records?           |                            |
|   |                                     |                            |
|   | -   Accuracy and consistency of the |                            |
|   |     metadata?                       |                            |
|   |                                     |                            |
|   | -   Integrity of the data?          |                            |
|   |                                     |                            |
|   | -   Adherence to collection         |                            |
|   |     procedures for selection and    |                            |
|   |     creation?                       |                            |
+---+-------------------------------------+----------------------------+

  -------------------------- --------------------- -----------------------
  **Person to contact        **Telephone**         **E-mail**
  regarding information on                         
  this form**                                      

                                                   
  -------------------------- --------------------- -----------------------

# NARA Sample Transactional Billing Rates

  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- ---------
  **NATIONAL                                                                                                         
  ARCHIVES AND                                                                                                       
  RECORDS                                                                                                            
  ADMINISTRATION**                                                                                                   

  **OFFICE OF                                                                                                        
  REGIONAL RECORDS                                                                                                   
  SERVICES**                                                                                                         

  **RECORDS CENTER                                                                                                   
  PROGRAM**                                                                                                          

  **TRANSACTIONAL                                                                                                    
  BILLING RATES**                                                                                                    

  **(STANDARD                                                                                                        
  STORAGE AND                                                                                                        
  SERVICES)**                                                                                                        

  **FISCAL YEAR                                                                                                      
  2009**                                                                                                             

                                                                                                                     

  **Category**       ** **   **Service   ** **   **Service     ** **   **Description**   ** **   **Unit of   ** **   **FY 2009
                             Code**              Type**                                          Measure**           Unit
                                                                                                                     Rate**

                                                                                                                     

  Standard                   A0                  Transfer              Processing Fee            per                 \$ 42.00
                                                                                                 transfer            

  Standard                   A1                  Transfer              Standard                  per cubic           \$ 3.45
                                                                                                 foot                

  Standard                   D1                  Disposition           Standard                  per cubic           \$ 5.25
                                                                                                 foot                

  Standard                   DA                  Disposition           Archival                  per cubic           \$ 5.25
                                                                                                 foot                

  Standard                   DW                  Disposition           Permanent                 per cubic           \$ 4.20
                                                                       Withdrawal                foot                

  Standard                   F1                  Refile                Standard Box              per box             \$ 4.00

  Standard                   F2                  Refile                Standard File             per file            \$ 4.10

  Standard                   N1                  Interfile             Standard                  per file            \$ 4.00

  Standard                   P1                  Photocopy             Standard                  per page            \$ 0.65

  Standard                   R1                  Reference             Standard Box              per box             \$ 3.75

  Standard                   R2                  Reference             Standard File             per file            \$ 4.25

  Standard                   S1                  Storage               Standard                  cf / month          \$ 0.20
  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- ---------

  ------------------ ------- ----------- ------- ------------- ------- --------------------- ------- ----------- ------- ---------
  **NATIONAL                                                                                                             
  ARCHIVES AND                                                                                                           
  RECORDS                                                                                                                
  ADMINISTRATION**                                                                                                       

  **OFFICE OF                                                                                                            
  REGIONAL RECORDS                                                                                                       
  SERVICES**                                                                                                             

  **RECORDS CENTER                                                                                                       
  PROGRAM**                                                                                                              

  **TRANSACTIONAL                                                                                                        
  BILLING RATES**                                                                                                        

  **(CLASSIFIED                                                                                                          
  STORAGE AND                                                                                                            
  SERVICES)**                                                                                                            

  **FISCAL YEAR                                                                                                          
  2009**                                                                                                                 

                                                                                                                         

  **Category**       ** **   **Service   ** **   **Service     ** **   **Description**       ** **   **Unit of   ** **   **FY 2009
                             Code**              Type**                                              Measure**           Unit
                                                                                                                         Rate**

                                                                                                                         

  Classified                 A3                  Transfer              Classified                    per cubic           \$ 5.20
                                                                                                     foot                

  Classified                 D3                  Disposition           Classified                    per cubic           \$ 7.50
                                                                                                     foot                

  Classified                 DC                  Disposition           Archival-Classified           per cubic           \$ 7.50
                                                                                                     foot                

  Classified                 F3                  Refile                Classified Box                per box             \$ 8.00

  Classified                 F4                  Refile                Classified File               per file            \$ 9.00

  Classified                 N3                  Interfile             Classified                    per file            \$ 8.00

  Classified                 R3                  Reference             Classified Box                per box             \$ 8.00

  Classified                 R4                  Reference             Classified File               per file            \$ 9.00

  Classified                 S3                  Storage               Classified                    cf / month          \$ 0.60
  ------------------ ------- ----------- ------- ------------- ------- --------------------- ------- ----------- ------- ---------

  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                         
  ARCHIVES AND                                                                                                       
  RECORDS                                                                                                            
  ADMINISTRATION**                                                                                                   

  **OFFICE OF                                                                                                        
  REGIONAL RECORDS                                                                                                   
  SERVICES**                                                                                                         

  **RECORDS CENTER                                                                                                   
  PROGRAM**                                                                                                          

  **TRANSACTIONAL                                                                                                    
  BILLING RATES**                                                                                                    

  **ELECTRONIC                                                                                                       
  RECORDS VAULT**                                                                                                    

  **FISCAL YEAR                                                                                                      
  2009**                                                                                                             

                                                                                                                     

  **Category**       ** **   **Service   ** **   **Service     ** **   **Description**   ** **   **Unit of   ** **   **FY
                             Code**              Type**                                          Measure**           2009
                                                                                                                     Unit
                                                                                                                     Rate**

                                                                                                                     

  Standard                   A0                  Transfer              Processing Fee            per                 \$ 42.00
                                                                                                 transfer            

  Electronic Records         AV                  Transfer              Standard (ERV)            per item            \$ 0.15
  Vault                                                                                                              

                                                                                                                     

  Electronic Records         D9                  Disposition           Standard (ERV)            per item            \$ 0.50
  Vault                                                                                                              

  Electronic Records         DV                  Disposition           Permanent                 per item            \$ 4.00
  Vault                                                                Withdrawl (ERV)                               

                                                                                                                     

  Electronic Records         RV                  Reference             Slotted Tape or           per item            \$ 3.75
  Vault                                                                Storage Box                                   

  Electronic Records         FV                  Refile                Slotted Tape or           per item            \$ 3.75
  Vault                                                                Storage Box                                   

                                                                                                                     

  Electronic Records         SD                  Storage               Tape Slotting -           month               \$ 0.25
  Vault                                                                Standard (e.g.,                               
                                                                       DLT, CD, 3480)                                

  Electronic Records         SE                  Storage               Tape Slotting -           month               \$ 0.50
  Vault                                                                Large Format                                  
                                                                       (e.g., tape                                   
                                                                       reels)                                        

  Electronic Records         SF                  Storage               Small Box                 month               \$ 4.00
  Vault                                                                (capacity of 20                               
                                                                       tapes)                                        

  Electronic Records         SG                  Storage               Medium Box                month               \$ 8.00
  Vault                                                                (capacity of 40                               
                                                                       tapes)                                        

  Electronic Records         SH                  Storage               Large Box                 month               \$ 12.00
  Vault                                                                (capacity of 60                               
                                                                       tapes)                                        

  Electronic Records         SJ                  Storage               NARA Supplied             box / month         \$ 7.00
  Vault                                                                Storage Box                                   

  Electronic Records         SK                  Storage               Transport Cart            cart /              \$ 90.00
  Vault                                                                Storage                   month               

                                                                                                                     

  Standard                   H5                  Shipping &            Level I                   per package         \$ 3.75
                                                 Handling                                                            

  Standard                   H6                  Shipping &            Level II                  per package         \$ 6.50
                                                 Handling                                                            

  Standard                   H7                  Shipping &            Level III                 per package         \$ 12.25
                                                 Handling                                                            

  Standard                   H8                  Shipping &            Level IV                  per package         \$ 17.50
                                                 Handling                                                            

  Standard                   H9                  Shipping &            Registered                per package         \$ 15.00
                                                 Handling                                                            

  Electronic Records         HC                  Shipping &            Metro Courier             per trip            \$ 40.00
  Vault                                          Handling              Trip (Electronic                              
                                                                       Records)                                      

  Standard                   HR                  Shipping &            Rush                      per request         \$ 4.25
                                                 Handling                                                            

  Electronic Records         HS                  Shipping &            Emergency                 per trip            \$ 85.00
  Vault                                          Handling              Delivery (8                                   
                                                                       hours)                                        

  Electronic Records         HT                  Shipping &            Critical Delivery         per trip            \$
  Vault                                          Handling              (same day)                                    140.00
  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- --------

  ------------------ ----------- ------- ------------ ------- -------------------- ------- ----------- ------- ----------
  **NATIONAL                                                                                                   
  ARCHIVES AND                                                                                                 
  RECORDS                                                                                                      
  ADMINISTRATION**                                                                                             

  **OFFICE OF                                                                                                  
  REGIONAL RECORDS                                                                                             
  SERVICES**                                                                                                   

  **RECORDS CENTER                                                                                             
  PROGRAM**                                                                                                    

  **TRANSACTIONAL                                                                                              
  BILLING RATES**                                                                                              

  **(MISCELLANEOUS                                                                                             
  SERVICES)**                                                                                                  

  **FISCAL YEAR                                                                                                
  2009**                                                                                                       

                                                                                                               

  **Category**       **Service   ** **   **Service    ** **   **Description**      ** **   **Unit of   ** **   **FY 2009
                     Code**              Type**                                            Measure**           Unit
                                                                                                               Rate**

                                                                                                               

  Miscellaneous      C1                  Cost                 Miscellaneous Costs          expense             (COST)

  Miscellaneous      C2                  Cost                 WNRC Truck Service           expense             (COST)
                                                              Allocated Cost                                   

  Miscellaneous      C3                  Cost                 Miscellaneous                expense             (COST)
                                                              Shipping Costs                                   

                                                                                                               

  Miscellaneous      H1                  Shipping &           WNRC Truck Service           per visit           \$ 325.00
                                         Handling             Zone 1                                           

  Miscellaneous      H2                  Shipping &           WNRC Truck Service           per visit           \$ 850.00
                                         Handling             Zone 2                                           

  Miscellaneous      H3                  Shipping &           WNRC Truck Service           per visit           \$
                                         Handling             Classified                                       1,250.00

  Miscellaneous      H4                  Shipping &           WNRC Additional              per visit           \$ 105.00
                                         Handling             Truck Services                                   

                                                                                                               

  Miscellaneous      H5                  Shipping &           Level I                      Per pkg.            \$ 3.75
                                         Handling                                                              

  Miscellaneous      H6                  Shipping &           Level II                     Per pkg.            \$ 6.50
                                         Handling                                                              

  Miscellaneous      H7                  Shipping &           Level III                    Per pkg.            \$ 12.25
                                         Handling                                                              

  Miscellaneous      H8                  Shipping &           Level IV                     Per pkg.            \$ 17.50
                                         Handling                                                              

  Miscellaneous      H9                  Shipping &           Registered                   Per pkg.            \$ 15.00
                                         Handling                                                              

                                                                                                               

  Miscellaneous      HA                  Shipping &           Metro Courier Trip           per trip            \$ 30.00
                                         Handling                                                              

  Miscellaneous      HB                  Shipping &           Metro Courier Box            per package         \$ 1.50
                                         Handling                                                              

                                                                                                               

  Miscellaneous      HD                  Shipping &           Look Up Fee                  per action          \$ 2.50
                                         Handling                                                              

  Miscellaneous      HE                  Shipping &           Scanning                     per page            \$ 0.65
                                         Handling                                                              

  Miscellaneous      HF                  Shipping &           Fax                          per page            \$ 1.00
                                         Handling                                                              

  Miscellaneous      HH                  Shipping &           HUDHOC Project               per box             \$ 15.75
                                         Handling                                                              

  Miscellaneous      HP                  Shipping &           Telephone                    per request         \$ 3.50
                                         Handling                                                              

  Miscellaneous      HR                  Shipping &           Rush                         per request         \$ 4.25
                                         Handling                                                              

                                                                                                               

  Miscellaneous      L0                  Labor                Aide - Level 1               per hour            \$ 41.25

  Miscellaneous      L1                  Labor                Aide - Level 2               per hour            \$ 50.00

  Miscellaneous      L2                  Labor                Technician                   per hour            \$ 62.50

  Miscellaneous      L3                  Labor                Supervisor                   per hour            \$ 86.75
  ------------------ ----------- ------- ------------ ------- -------------------- ------- ----------- ------- ----------

  ------------------ ------- ----------- ------- -------------- ------- ----------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                          
  ARCHIVES AND                                                                                                        
  RECORDS                                                                                                             
  ADMINISTRATION**                                                                                                    

  **OFFICE OF                                                                                                         
  REGIONAL RECORDS                                                                                                    
  SERVICES**                                                                                                          

  **RECORDS CENTER                                                                                                    
  PROGRAM**                                                                                                           

  **TRANSACTIONAL                                                                                                     
  BILLING RATES**                                                                                                     

  **(SPECIALIZED                                                                                                      
  STORAGE AND                                                                                                         
  SERVICES)**                                                                                                         

  **FISCAL YEAR                                                                                                       
  2009**                                                                                                              

                                                                                                                      

  **Category**       ** **   **Service   ** **   **Service      ** **   **Description**   ** **   **Unit of   ** **   **FY
                             Code**              Type**                                           Measure**           2009
                                                                                                                      Unit
                                                                                                                      Rate**

                                                                                                                      

  Special                    DX                  Disposition            X-ray                     per cubic           \$ 5.00
                                                                                                  foot                

  Special                    HN                  Shipping and           Compaction                per cubic           \$ 4.00
                                                 Handling                                         foot                

  Special                    RG                  Reference              Treasury Checks           per file            \$ 6.00

  Special                    RH                  Reference              Extensive Search          per file            \$ 5.50

  Special                    RJ                  Reference              Selective Service         per file            \$ 10.55

  Special                    RK                  Reference              Passports                 per file            \$ 3.50

  Special                    RM                  Reference              SSA Post                  per file            \$ 1.50
                                                                        Entitlements                                  

  Special                    RN                  Reference              SSA Title II              per file            \$ 4.25

  Special                    RR                  Reference              USPS Money Orders         per file            \$ 1.25

  Special                    SA                  Storage                Archival                  cf / month          \$ 0.27

  Special                    SN                  Storage                Non-Textual Env           cf / month          \$ 0.50
                                                                        Control                                       

  Special                    ST                  Storage                Textual Env               cf / month          \$ 0.20
                                                                        Control                                       
  ------------------ ------- ----------- ------- -------------- ------- ----------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- ------------- ------- ------------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                           
  ARCHIVES AND                                                                                                         
  RECORDS                                                                                                              
  ADMINISTRATION**                                                                                                     

  **OFFICE OF                                                                                                          
  REGIONAL RECORDS                                                                                                     
  SERVICES**                                                                                                           

  **RECORDS CENTER                                                                                                     
  PROGRAM**                                                                                                            

  **TRANSACTIONAL                                                                                                      
  BILLING RATES**                                                                                                      

  **(TAX RETURN                                                                                                        
  SERVICES)**                                                                                                          

  **FISCAL YEAR                                                                                                        
  2009**                                                                                                               

                                                                                                                       

  **Category**       ** **   **Service   ** **   **Service     ** **   **Description**     ** **   **Unit of   ** **   **FY
                             Code**              Type**                                            Measure**           2009
                                                                                                                       Unit
                                                                                                                       Rate**

                                                                                                                       

  IRS                        A5                  Transfer              Tax Returns                 per cubic           \$ 0.90
                                                                                                   foot                

  IRS                        D5                  Disposition           Tax Returns                 per cubic           \$ 2.80
                                                                                                   foot                

  IRS                        F5                  Refile                Tax Returns                 per file            \$ 1.05

  IRS                        F6                  Refile                Tax Returns                 per file            \$ 1.15
                                                                       (Special)                                       

  IRS                        N5                  Interfile             Tax Returns                 per file            \$ 1.30
                                                                       (Attachments)                                   

  IRS                        P5                  Photocopy             Tax Returns                 per page            \$ 0.45

  IRS                        R5                  Reference             Tax Returns                 per file            \$ 1.35

  IRS                        C5                  Cost                  Dayton Bldg #3              expense             (COST)
  ------------------ ------- ----------- ------- ------------- ------- ------------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- ----------- ------- ----------------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                             
  ARCHIVES AND                                                                                                           
  RECORDS                                                                                                                
  ADMINISTRATION**                                                                                                       

  **OFFICE OF                                                                                                            
  REGIONAL RECORDS                                                                                                       
  SERVICES**                                                                                                             

  **RECORDS CENTER                                                                                                       
  PROGRAM**                                                                                                              

  **TRANSACTIONAL                                                                                                        
  BILLING RATES**                                                                                                        

  **(DOD PERSONNEL                                                                                                       
  RELATED RECORDS                                                                                                        
  SERVICES)**                                                                                                            

  **FISCAL YEAR                                                                                                          
  2009**                                                                                                                 

                                                                                                                         

  **Category**       ** **   **Service   ** **   **Service   ** **   **Description**         ** **   **Unit of   ** **   **FY
                             Code**              Type**                                              Measure**           2009
                                                                                                                         Unit
                                                                                                                         Rate**

                                                                                                                         

  DOD Personnel              AA                  Transfer            NPRC DOD Related                per cubic           \$ 35.00
                                                                                                     foot                

  DOD Personnel              FA                  Refile              NPRC DOD Related                per file            \$ 2.15

  DOD Personnel              NA                  Interfile           NPRC DOD Related (Known         per file            \$ 2.35
                                                                     Location)                                           

  DOD Personnel              NF                  Interfile           NPRC DOD Related                per file            \$ 2.90
                                                                     (Unknown Location)                                  

  DOD Personnel              MP                  Reference           NPRC DOD Related                per                 \$ 5.55
                                                                     Priority Retrieval              retrieval           

  DOD Personnel              MA                  Reference           NPRC DOD Related                per                 \$ 2.85
                                                                     Retrieval                       retrieval           

  DOD Personnel              MB                  Reference           NPRC DOD Related                per case            \$ 31.70
                                                                     Correspondence                                      

  DOD Personnel              MC                  Reference           NPRC Army DPRIS                 per case            \$ 22.20
                                                                     Separation                                          
                                                                     Correspondence                                      

  DOD Personnel              MD                  Reference           NPRC DOD Related                per case            \$ 40.15
                                                                     Priority Correspondence                             

  DOD Personnel              ME                  Reference           NPRC DOD Related                per                 \$ 0.50
                                                                     Mailroom Referrals              referral            

  DOD Personnel              MF                  Reference           NPRC DOD Related Autmtd         per case            \$ 1.45
                                                                     Corresp. Referrals                                  

  DOD Personnel              MG                  Reference           NPRC ARMY DPRIS                 per case            \$ 31.70
                                                                     Correspondence                                      
  ------------------ ------- ----------- ------- ----------- ------- ----------------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- ----------- ------- ----------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                       
  ARCHIVES AND                                                                                                     
  RECORDS                                                                                                          
  ADMINISTRATION**                                                                                                 

  **OFFICE OF                                                                                                      
  REGIONAL RECORDS                                                                                                 
  SERVICES**                                                                                                       

  **RECORDS CENTER                                                                                                 
  PROGRAM**                                                                                                        

  **TRANSACTIONAL                                                                                                  
  BILLING RATES**                                                                                                  

  **(PERSONNEL                                                                                                     
  RELATED RECORDS                                                                                                  
  SERVICES)**                                                                                                      

  **FISCAL YEAR                                                                                                    
  2009**                                                                                                           

                                                                                                                   

  **Category**       ** **   **Service   ** **   **Service   ** **   **Description**   ** **   **Unit of   ** **   **FY
                             Code**              Type**                                        Measure**           2009
                                                                                                                   Unit
                                                                                                                   Rate**

                                                                                                                   

  Personnel                  AC                  Transfer            OPF/EMF                   per cubic           \$ 90.00
                                                                                               foot                

  Personnel                  AX                  Transfer            Ent & Sep X-rays          per cubic           \$ 50.00
                                                                                               foot                

  Personnel                  NC                  Interfile           OPF/EMF                   per file            \$ 2.05

  Personnel                  M1                  Reference           OPF/EMF L & T             per file            \$ 5.35

  Personnel                  M2                  Reference           OPF/EMF Corr              per case            \$ 13.50
                                                                     Level 1                                       

  Personnel                  M3                  Reference           OPF/EMF Corr              per case            \$ 44.00
                                                                     Level 2                                       

  Personnel                  M4                  Reference           OPF/EMF Corr              per case            \$ 78.00
                                                                     Level 3                                       

  Personnel                  M5                  Reference           Payroll Level 1           per case            \$ 65.00

  Personnel                  M6                  Reference           Payroll Level 2           per case            \$ 75.00

  Personnel                  M7                  Reference           Payroll Level 3           per case            \$ 85.00
  ------------------ ------- ----------- ------- ----------- ------- ----------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                         
  ARCHIVES AND                                                                                                       
  RECORDS                                                                                                            
  ADMINISTRATION**                                                                                                   

  **OFFICE OF                                                                                                        
  REGIONAL RECORDS                                                                                                   
  SERVICES**                                                                                                         

  **RECORDS CENTER                                                                                                   
  PROGRAM**                                                                                                          

  **TRANSACTIONAL                                                                                                    
  BILLING RATES**                                                                                                    

  **(CONGRESSIONAL                                                                                                   
  STORAGE AND                                                                                                        
  SERVICES)**                                                                                                        

  **FISCAL YEAR                                                                                                      
  2009**                                                                                                             

                                                                                                                     

  **Category**       ** **   **Service   ** **   **Service     ** **   **Description**   ** **   **Unit of   ** **   **FY
                             Code**              Type**                                          Measure**           2009
                                                                                                                     Unit
                                                                                                                     Rate**

                                                                                                                     

  Congressional              A7                  Transfer              Congressional             per cubic           \$ 3.45
                                                                                                 foot                

  Congressional              D7                  Disposition           Congressional             per cubic           \$ 5.25
                                                                                                 foot                

  Congressional              F7                  Refile                Congressional Box         per box             \$ 4.00

  Congressional              F8                  Refile                Congressional             per file            \$ 4.10
                                                                       File                                          

  Congressional              N7                  Interfile             Congressional             per file            \$ 4.15

  Congressional              P7                  Photocopy             Congressional             per page            \$ 0.50

  Congressional              R7                  Reference             Congressional Box         per box             \$ 3.75

  Congressional              R8                  Reference             Congressional             per file            \$ 4.25
                                                                       File                                          
  ------------------ ------- ----------- ------- ------------- ------- ----------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- ----------- ------- ------------------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                               
  ARCHIVES AND                                                                                                             
  RECORDS                                                                                                                  
  ADMINISTRATION**                                                                                                         

  **OFFICE OF                                                                                                              
  REGIONAL RECORDS                                                                                                         
  SERVICES**                                                                                                               

  **RECORDS CENTER                                                                                                         
  PROGRAM**                                                                                                                

  **TRANSACTIONAL                                                                                                          
  BILLING RATES**                                                                                                          

  **(SPECIALIZED                                                                                                           
  STORAGE AND                                                                                                              
  SERVICES)**                                                                                                              

  **FISCAL YEAR                                                                                                            
  2009**                                                                                                                   

                                                                                                                           

  **Category**       ** **   **Service   ** **   **Service   ** **   **Description**           ** **   **Unit of   ** **   **FY
                             Code**              Type**                                                Measure**           2009
                                                                                                                           Unit
                                                                                                                           Rate**

                                                                                                                           

  Special                    P8                  Photocopy           Certification                     per file            \$ 8.40

  Special                    PE                  Photocopy           Trust Fund Entire File            per package         \$ 54.45

  Special                    PP                  Photocopy           Trust Fund Pre-Selected           per package         \$ 21.15
                                                                     Documents                                             

  Special                    PT                  Photocopy           Trust Fund Additional             per page            \$ 0.65
                                                                     Pages                                                 
  ------------------ ------- ----------- ------- ----------- ------- ------------------------- ------- ----------- ------- --------

  ------------------ ------- ----------- ------- -------------- ------- ----------------- ------- ----------- ------- --------
  **NATIONAL                                                                                                          
  ARCHIVES AND                                                                                                        
  RECORDS                                                                                                             
  ADMINISTRATION**                                                                                                    

  **OFFICE OF                                                                                                         
  REGIONAL RECORDS                                                                                                    
  SERVICES**                                                                                                          

  **RECORDS CENTER                                                                                                    
  PROGRAM**                                                                                                           

  **TRANSACTIONAL                                                                                                     
  BILLING RATES**                                                                                                     

  **(OE SUPPORT                                                                                                       
  SERVICES)**                                                                                                         

  **FISCAL YEAR                                                                                                       
  2009**                                                                                                              

                                                                                                                      

  **Category**       ** **   **Service   ** **   **Service      ** **   **Description**   ** **   **Unit of   ** **   **FY
                             Code**              Type**                                           Measure**           2009
                                                                                                                      Unit
                                                                                                                      Rate**

                                                                                                                      

  OE Support                 HJ                  Shipping &             Archival Sending          per box             \$ 3.25
                                                 Handling                                                             

  OE Support                 HK                  Shipping &             Archival                  per box             \$ 1.25
                                                 Handling               Receiving                                     

                                                                                                                      

  OE Support                 LA                  Labor                  Aide - Level 1            per hour            \$ 37.75
                                                                        Internal                                      

  OE Support                 LB                  Labor                  Aide - Level 2            per hour            \$ 45.50
                                                                        Internal                                      

  OE Support                 LC                  Labor                  Technician                per hour            \$ 56.75
                                                                        Internal                                      

  OE Support                 LD                  Labor                  Supervisor                per hour            \$ 78.50
                                                                        Internal                                      

                                                                                                                      

  OE Support                 SC                  Storage                Cold                      cf / month          \$ 0.35
  ------------------ ------- ----------- ------- -------------- ------- ----------------- ------- ----------- ------- --------