1.0 General
The standard federal records box (or its equivalent)
will be used to ship records to the Federal Records Center (FRC).
It is the responsibility of the contractor to acquire boxes from
outside sources. When records are shipped in boxes that the FRC
cannot accommodate, the records will be returned to the contractor
for repacking at the expense of the contractor. Boxes that meet
standards for shipping records to the FRC are:
Standard-Size Record Box (NSN 8115-00-117-8249)
(for standard and legal files)
14-3/4” x 12” x 9-1/2” (inside dimensions)
15” x 12” x 10” (outside dimensions)
Box must be rated at 275 pounds per square
inch burst strength
Small Material
Box (NSN 8115-00-117-8338)
(for
checks)
14-3/4” x 9-1/2”
x 4-3/4” (outside dimensions)
2.0 Packing
And Labeling Of Records
2.1 When preparing records for transfer to FRC,
records shall be properly packed to minimize the possibility of
damage to records.
2.2 Records shall not be forced
into the boxes. Leave a 1/2 inch space in each box to permit easy withdrawal
of individual records for future reference. If interfiles are expected
in the future, enough space shall be left to accommodate them. Records
shall be packed upright, with letter-size records facing the front
of the box and legal-size records facing the left side of the box
(see
Figure 9.A-1 and
Figure 9.A-2).
Records shall be shipped in manila file folders or expandable folders
separating the various records specified in
Section 2. Under
no circumstances shall records be placed one on top of another in
a box.
2.3 After the records are boxed, the boxes shall
be numbered sequentially (1/10, 2/10, 3/10, etc.) with permanent
black marker in the upper right front corner (see
Figure 9.A-1).
2.4 Detailed
lists of the contents of boxes and indexes to records shall be attached
to the Standard Form 135 (SF-135), Records Transmittal and Receipt,
and retained by the contractor for future reference or provided
upon request by the Defense Health Agency (DHA). Record indexes
shall be organized by a unique identifier that matches the file
label and
identifies the box number.
The contents of each box shall be sorted in ascending order.
3.0 Preparing
Transmittal Document
3.1 When transferring records to the FRC, the contractor
shall prepare and forward one original of the SF-135 (available
on the DHA Records Management (RM) web site under the National Archives
and Records Administration (NARA), Records Transmittal and Receipt,
SF-135) to the DHA RM Officer. In the “From” block (Block 5), the
contractor shall enter the following: Defense Health Agency, ATTN:
Records Management, 16401 East Centretech Parkway, Aurora, Colorado
80011-9066. The contractor shall insert its own address below the
DHA address. The contractor shall state in the Series Description
Block the description of the records, the contract number and region.
Instructions for completing the remainder of the form are printed
on the reverse side of the SF-135. A detailed listing of the contents
of each box shall be attached to the SF-135.
3.2 When records
are transferred, they must be scheduled for disposal using the applicable disposition
schedule (see
Section 2, for schedules). When the disposal
authority is not cited, the SF-135 will be returned for completion.
3.3 Upon receipt
of the SF-135, the FRC reviews it for completeness for transfer.
If approved, the FRC assigns a transfer number on the form.
3.4 The original
SF-135 is retained by the FRC; one copy of the annotated SF-135,
showing transfer number(s) will be returned to the contractor, indicating
the FRC’s approval of the shipment.
3.5 After receiving the copy of
the approved SF-135, the contractor shall mark each box in the shipment
with the assigned transfer number. The transfer number shall be
put in the upper left front of the box (see
Figure 9.A-1). The contractor
shall place one copy of the SF-135 with the index in Box 1 of each
transfer and the records will be shipped to the FRC. A copy of the
SF-135 and index shall be retained by the contractor for its use.
3.6 The shipment
of records shall be accomplished as soon as possible after the contractor
receives the annotated copy of the SF-135. If shipment cannot be
made within 90 days of receipt, the contractor must notify the DHA
RM Office and the FRC, or the SF-135 may be cancelled and returned
by the FRC.
3.7 Upon receipt of the records in the FRC, the
SF-135 will be signed and returned to the contractor. The FRC’s
Archives and Records Centers Information System (ARCIS) web application
tracks the location of boxes with bar codes. The bar codes and location
numbers are no longer provided back to DHA.
3.8 Records
boxes will be palletized as shown in
Figure 9.A-2. If transferring
to the Pittsfield FRC, use
Figure 9.A-2. If transferring records to another
FRC, contact the DHA Records RM for guidance.
4.0 Shipping
Records
4.1 The contractor shall refer to NARA’s FRC Toolkit
guidance on “Transferring Records to a Federal Records Center” for
shipping instructions.
4.2 Shipping is the responsibility
of the contractor. Refer to the packaging and marketing instructions
in the contract for further information.
4.3 The FRC has the right to refuse
any shipment of records. The FRC may refuse to accept the delivery
of a shipment if their requirements are not met.
4.4 If the
FRC must perform work on the shipment to make it acceptable (i.e.,
putting box or transfer numbers on boxes, repacking damaged boxes
(caused by improper packing), etc.), that cost will be the responsibility
of the contractor.
5.0 Retrieving
Records
5.1 The FRC provides reference services, which
include
the loan or return of records,
preparation of authenticated reproductions of documents, and furnishing
of information from records. Requests for the return of retired
records by the contractor shall be approved by the DHA RM Officer.
5.2 Recall
of a record from the FRC may constitute a reactivation of the case
if the record will be retained on the basis of a current transaction
(permanent recall). The record shall be transferred as part of a
new shipment of records to the FRC after the new retention period
has been met. A record is not reactivated if used only for reference
(temporary recall) and may be returned to the FRC for refile.
5.3 To recall
records from the FRC, the contractor shall complete the Optional
Form 11 (OF-11) (see the National Archives, Forms, OF 11, Reference
Request) and contact the DHA RM Office, who will coordinate the
recall. When multiple OF 11s are transmitted to the FRC, they shall
be arranged in transfer number order, by FRC location and contractor
box number. Use one OF 11 per request. If OF 11s are unavailable,
request files on letter-size paper, providing one copy for each
requested document to be used by the FRC as a charge-out document.
5.4 The following
information shall always be furnished when preparing a reference
request:
• Accession
number or transfer number.
• FRC location.
• Contractor box
number.
• Description
of records or information requested.
• Name, address,
and telephone number of requester.
5.5 Phone requests shall be limited
to emergency situations. The FRC normally processes requests within
eight hours of receipt. All telephone requests for records (priority
requests) must go through the DHA RM Office at (303) 676-3559. Emergency
phone requests are defined as:
• Freedom of Information
Act (FOIA) requests.
• Privacy Act requests.
• Congressional inquiries.
• Pending court actions.
• High-level interest
cases.
5.6 All records requested from
storage shall go to the individual (office) requesting them. Records shall
not be sent to outside sources such as the U.S. Department of Justice
(DOJ) or Defense Criminal Investigative Service (DCIS). Records
shall be sent only to the DHA contractors or the DHA RM Officer.
5.7 Requests
for records (OF-11) shall be in FRC location order if 25 or more
requests are sent together. There is no limit on the number of requests
the FRC will process at one time.
Figure 9.A-1 Marking
And Packing Instructions
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Figure 9.A-2 Arrangement
Of Boxes On Pallets
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