RECORDS MANAGEMENT HANDBOOK MANAGING NONCURRENT FILES FEDERAL RECORDS CENTERS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020022-8
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 28
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 22
• Publication Date: March 21, 1955
• Content Type: BOOK

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RECORDS MANAGEMENT HANDBOOK
Managing noncurrent files
FEDERAL
RECORDS
CENTERS
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
RECORDS MANAGEMENT DIVISION
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RECORDS MANAGEMENT HANDBOOKS are developed
by the National Archives and Records Service as technical
guides to reducing and simplifying Government paperwork.
Managing correspondence: Form Letters .......................1954...33 p.
Managing noncurrent files: Federal Records Centers...... 1954...25 p.
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CONTENTS
1. WHY THE GOVERNMENT HAS RECORDS CENTERS .. . . . . . . . . . . .
3
U. SELECTING FILES FOR TRANSFER . . . . . . . . .. . . . . . . . . . .
4
III,. INITIATING THE TRANSFER REQUEST . . . . . .. . . . . . . . . . . .
5
IV. GETTING FILES READY FOR SHIPMENT . . . . . .. . . . . . . . . . . .
&
V. PREPARING THE TRANSFER FORMS . . . . . . . .. . . . . . . . . . . .
9
VI. HOW TO SHIP THE RECORDS . . . . . . . . . . . . .. . . . . . . . . . .
15
VII. HOW TO GET REFERENCE SERVICE . . . . . . . . . . . . . . . . . . .
17
VIII. DISPOSAL OF RECORDS IN THE CENTERS . . . . . . . . . . . . . . . .
19
IX. THE ST. LOUIS FEDERAL RECORDS CENTER . . . . . . . . . . . . . .
21
CHECK LIST . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . .
25
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HOW CENTERS SAVE MONEY
SPACE AND MAINTENANCE ........................$ 2.30
FILING EQUIPMENT ...................................................... 0.83
TOTAL COST .................................................................. $ 3.13
5PAUI AND SAVINGS
MAINTENANCE ....................$ 0.55
FILING EQUIPMENT .............0.08I CO
TOTAL COST ......................... ...$ 0.63
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1. WHY THE GOVERNMENT HAS RECORDS CENTERS
The Federal Government is producing records at the rate of 2.9 million cubic
feet annually - enough to fill 9,000 four-drawer file cabinets every week in the year.
To handle this accumulation of files economically and efficiently Federal agen-
cies are now required by law to establish and maintain effective records manage-
ment programs.* Suchprograms include setting up controls over the creation, or-
ganization, maintenance, use, and disposition of records.
One of the major objectives of an agency's records management program is to
keep noncurrent records moving out of high-cost space and filing equipment into
low-cost records centers as rapidly as possible. Experience in a growing number
of agencies proves that at least one-half of an agency's records can be moved from
high-cost to low-cost space under a continuing and effective records transfer pro-
gram. An agency can reach this goal, with the resultant benefits in annual savings,
by transferring an average of 10 percent of its records to a Center each year.
As the chart on the opposite page shows, files can be kept in low-cost records
centers at a saving to the Government of $2. 50 a cubic foot of records. This sav-
ing is possible because:
Center storage space costs less. (Compare: $2.30 a cubic foot average
for agency space with 55 cents a cubic foot for center space.)
Center storage equipment costs less. (Compare: $50 for an agency filing
cabinet with 77 cents for 7 cardboard containers plus $3.90 for shelving.)
Center space is better utilized. (Compare: 3 cubic feet of records in
each square foot of space at the center with l square foot for each cubic foot in
the agency.)
Ten low-cost records centers, aspecialized center for personnel records, and
several annexes are now being operated by the General Services Administration.
Federal agencies are legally authorized to transfer their noncurrent records to these
facilities. This handbook tells how your agency can save money, protect its rec-
ords, and get quick and valuable reference service by using the Federal Records
Centers. The steps in transferring records, from initiating the request for trans-
fer to making the final arrangements for shipping, are explained and illustrated on
the following pages.
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II. SELECTING FILES FOR TRANSFER
If the records of an agency are completely covered by General Records Sched-
ules and comprehensive agency schedules, there is no problem in deciding what
files to transfer to a Center. Comprehensive records control schedules specify
what files to transfer and when to transfer them.
In an agency which has no specific instructions on transferring, the selection
of files for transfer to Federal Records Centers normally is based on three con-
siderations:
1. How often agency personnel actually need to refer to the file;
2. How much longer the files must be kept before they can be
destroyed; and
3. How much it will cost to transport the records to the Center.
A criterion has been developed indicating that files which are referred to not
more than once a month per file drawer should be transferred to a Center, provided
transportation cost does not wipe out space savings.
Files meeting the above criterion usually should be transferred to a Center:
1. Regardless of how few records are involved;
2. Regardless of how urgent the need for the infrequent references; and
3. Regardless of how important or how highly security-classified the
records or how extensive the restrictions on their use.
Most records over 4 years old will be referred to less than once a month per
file drawer. To distinguish their age, correspondence files should be maintained in
blocks, according to calendar or fiscal year. This technique is called "breaking"
the files, and simply means that on a given date a new set of files will be established
for material dated after that time. Files can be "broken" every year, every two
years, or every three years, depending on the rate with which the material gathers.
Different colored labels can be used on folder tabs to distinguish one time period
from another.
Closed out case files are seldom, if ever, referred to more than once a month
per file drawer. Case files are usually closed out when a given event occurs - an
employee separates from the Government, a claim is settled, a purchase order is
paid, and so on.
Each agency has records officers who are available to inspect files and make
recommendations as to transfers. Such recommendations may also be requested
from GSA by the agency.
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III. INITIATING THE TRANSFER REQUEST
To initiate atransfer of files to a Federal Records Center all an agency official
needs to do is inform his records management officer. Under the usual procedure,
the records management officer begins the transfer arrangements by telephoning or
writing the Chief in charge of the nearest Federal Records Center or Annex. Fig-
ure 2 shows the 10 regions in which the General Services Administration operates
Federal Records Centers. The mailing addresses of the Centers and Annexes are
shown below.
620 Post Office and Courthouse Bldg.
Boston 9, Massachusetts
641 Washington Street
New York, New York
5000 Wissahickon Avenue
Philadelphia, Pennsylvania
Bldg. 1, King and Union Streets
Alexandria, Virginia
221 St. Joseph Street
East Point, Georgia
7201 South Leamington Avenue
Bedford Park, Illinois
Federal Records Center, GSA
2306 East Bannister Road
Kansas City, Missouri
Federal Records Center, GSA
1724 Locust Street
St. Louis 3, Missouri
Federal Records Center, GSA
424 W. Vickery Street
Fort Worth, Texas
401 Custom House Building
New Orleans, Louisiana
Federal Records Center, GSA
Bldg. 25, Denver Federal Center
Denver, Colorado
Federal Records Center, GSA
P. G. Box 708
South San Francisco, California
Federal Records Center Annex, GSA
2401 E. Pacific Coast Highway
Wilmington, California
Federal Records Center Annex, GSA
P. O. Box 673
Honolulu, Hawaii
Federal Records Center, GSA
601 West Nevada Street
Seattle 4, Washington
If on the other hand an agency wishes to transfer records from its central of-
fice and from its field offices on a nationwide basis, its records management officer
deals with the Records Management Division, National Archives and Records Serv-
ice, General Services Administration, Washington 25, D. C.
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IV. GETTING FILES READY FOR SHIPMENT
Federal Records Center standard cardboard containers are available for use
in shipping files to the Records Centers. Unless an agency is being liquidated or
urgently requires immediate removal of its records, it should ship records in these
standard containers rather than in filing cabinets or similar equipment.
A standard cardboard container has inside dimensions of 15 by 12 by 10 inches
and holds 1 cubic foot of records. Thus for each cubic foot of records to be trans-
ferred you will need 1 cardboard container.
A good rule to follow in estimating the total cubic feet of records is this:
Count each full letter-size file drawer as 1% cubic feet of records;
count each full legal-size file drawer as 2 cubic feet of records.
Standard containers may be obtained either from a Federal Records Center or
fromthe Federal Supply Service (Stock No. 53-B-24992-128). The boxes cost about
11 cents apiece, but the Center usually supplies them without charge to an agency.
Requests for boxes should be made far enough in advance to be sure they are on
hand when packing is scheduled to begin.
Assembling the boxes. When an agency and a Records Center are located
in the same general metropolitan area, the boxes may be delivered already as-
sembled. Otherwise, they are delivered "knocked-down. "
To assemble a "knocked-down" box, the bottom must be secured either by
gummed kraft tape at least 2 inches wide or by machine-applied heavy-duty stitch-
ing. The tape should be placed longitudinally on the outside, after the flaps on both
ends of the carton have been folded inside. (See Figure 3.) The tape should extend
at least 2 inches up each end of the box for extra strength.
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Screening. Before putting files in boxes, it is advisable to screen out all
unnecessary nonrecord material and all record material clearly authorized for dis-
posal. This screening usually results in a cost savings and should be omitted only:
1. If the need for the agency space occupied by the records is urgent;
2. If the agency office is being liquidated immediately; or
3. If the labor costs of screening or other cost factors outweigh the savings in
transportation and storage costs.
In addition to screening before packing, an agency should downgrade security-
classified records whenever such downgrading is warranted by changed circum-
stances, lapse of time, or other conditions affecting the classification.
Packing the records. Without disturbing the existing filing arrangement,,
pack the records firmly in the box. Do not force them. To make future reference
easier, fairly active files should be packed less tightly than files which are expected
to be inactive. Place the file folders in an upright position, with letter-size folders
the 12-inch way, and legal-size folders the 15-inch way. The folder labels may
then be read while facing either the 12-inch or 15-inch side. Regardless of how
the records are packed, the unstitched 12-inch side of the container is considered the
front.
Insofar as is practical, records with widely different retention periods should
not be placed in the same carton. And records from more than one bureau or of-
fice should never be packed in the same carton.
Numbering the boxes. Boxes should be numbered consecutively in heavy black
crayon or its equivalent, starting with No. 1 for each transfer. Write the number
on the box in the upper left corner of the front or unstitched side. Each transfer
will be assigned a separate accession number by Center personnel after the records
are received at the Center.
(Container labels showing the contents of each box are optional with the agency.
They are not required, because Federal Records Centers use a permanent location
number system. Labels are extremely useful at a Center, however, if the files
are arranged in name or numerical sequence.)
Finding aids. The records should be accompanied, where possible, by any
relevant finding aids, such as indexes. The Center should be notified of any find-
ing aids retained by the agency.
Closing the boxes. To close the box, simply tuck the flaps alternately over
and under each other. (See Figure 3.)
Reinforcing the cartons. If the boxes are to be shipped to the Records Cen-
ter by freight, express, or parcel post, it may be desirable to reinforce them. As
a general rule, boxes should be reinforced if they will be handled more than four
times during shipment, as may happen in freight shipments of less than carload
lots.
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Two methods of reinforcement are equally satisfactory. The easier method
is to place a cardboard liner inside the box before it is packed. By this method the
sides of the box may be lined and the bottom and top padded with cardboard. Liners
cost about 3 cents each; pads about a penny apiece. (Federal Supply Service Stock
Nos. 53-L-2942-975 and 53;P-385 respectively.)
The second reinforcement method is to tape all corners and edges of the boxes,
top and bottom, thoroughly and skillfully. In this way it is possible to secure all
points where the box may come apart if mishandled during shipment.
Oversized records. Oversized records, such as ledgers and similar vol-
umes, which will not fit into standard containers, should be tied in bundles with
sturdy identification tags attached. Each bundle should be handled just as another
box in the numbering sequence. The number should be written on the tag, along
with any other necessary descriptive data. Just as in the case of cartons, bundles
shipped out of the area should be prepared with extra care to protect them against
rough handling.
Undersized records. Small records, such as cards or papers 3 by 5 inches,
5 by 8 inches, and 3 by 11 inches, may be shipped in standard cartons, but they
should be arranged in small to medium length lots and bound with heavy rubber
bands. Arrange them in as many rows as possible, using cardboard pads between
layers.
Filing cabinets. As indicated in Part IV, records should be transferred to
Centers in filing cabinets in exceptional cases only. In preparing records for ship-
ment in filing cases, press the compressing devices inside each drawer tightly
against the records. Then secure the drawers by ropes or metal bands regardless
of whether they have locking devices.. Finally number the cabinets in consecutive
order.
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V. PREPARING THE TRANSFER FORMS
The transfer of records to a Federal Records Center requires preparation of
two simple forms. These forms serve:
1. To record the transfer of custody of the files to the Federal Records Center
subject to any legally binding restrictions on use which an agency may impose;
and
2. To provide an accession inventory sufficiently detailed to enable the Center
to give an agency any reference service it may need.
The forms, known as Standard Form 134 and Standard Form 135, may be
obtained from a Federal Records Center, or from the source that normally supplies
your agency with standard forms.
Standard Form 135, Transmittal of Government Records (Figure 5), is the
basic transfer document. It should be filled out carefully and in detail. An original
and one copy are forwarded to the Center to which the records are being trans-
ferred. (Note: When transferring records to the Center in Washington, D. C. , the
agency should forward an original and two copies.) The Center returns one copy
to the agency, signed by a Center official. This copy is the agency's receipt for
the transfer.
When records that have been site-audited by the General Accounting Office are
being transferred, an additional copy of Standard Form 135 should be prepared and
forwarded to the Examination and Settlement Branch, Division of Audits, General
Accounting Office, Washington 25, D. C.
Standard Form 134, Records Shelf List (Figure 6), is an accession or box-by-
box inventory which enables the Center to provide reference service on the records.
It should be prepared with the same number of copies and forwarded in the same
manner as Standard Form 135. One copy will be returned to the appropriate
agency official with his copy of Standard Form 135.
Standard Form 134 is not necessary when Standard Form 135 can be made to
serve as an accession inventory. Standard Form 135 can serve as an accession
inventory:
1. When the total volume involved is no more than 10 cubic feet; or
2. When the records are considered so inactive that no further reference de-
mands are anticipated.
When the volume is small, a box-by-box inventory, if necessary, can be in-
cluded on Standard Form 135 as part of the description of records. When need for
reference service is not anticipated, a box-by-box inventory is unnecessary and
only the inclusive box numbers for each type of record need be given on Standard
Form 135.
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E;,
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STANDARD FORM 135
APRIL 1953
PRESCRIBED BY GENERAL
SERVICES ADMINISTRATION
REG. 3-IS-702
TRANSMITTAL OF GOVERNMENT RECORDS
DD NOT USE THIS BOX
ACCESSION NO.
INSTRUCTONS.-Submit this form to your area GSA regional office. When submitting to GSA region 3 office, Washington, D. C.,
submit an orIginal and two copies. When submitting to other GSA regional offices, submit an original and one copy only.
1. FROM (Name and add... of agency transferring the, .... d.) 2. AGENCY WHICH CREATED RECORDS (If different than IransfarrinQ agency)
Bureau of Special Revenue
Special Revenue Bldg.
Washington 25, D. C.
3. AGENCY OFFICIAL AUTHORIZING TRANSFER (Signature) 1TITLE DATE
...n:?1
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GENERAL SERVICES ADMINISTRATION
RECORDS MANAGEMENT EERVICI
REQUEST FOR SERVICE
RETURN TO
FEDERAL RECORDS CENTER
TYPE OF SERVICE REQUESTED (Chock ori.)
INFORMATION 0 DOCUMENT El RESEARCH
AGENCY
ADDRESS
INDIVIDUAL
ROOM NUMBER
EXTENSION
RECORD GROUP NUMBER
DATE
SEARCHER'S
INITIALS
NO RECORD
MISSING FROM
TO
CHARGED TO
BUILDING AND ROOM NUMBER
DATE
DESCRIPTION
GSA FORM 257*
October 1951
In iIiiiiiiiiI
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VII. HOW TO GET REFERENCE SERVICE
Agency officials can get quick and reliable reference service on records trans-
ferred to a Federal Records Center by requesting the service in whatever way is
most convenient-by telephone, in writing (as by a letter or form), by messenger,
or by personal call.
The requester may ask for information from the records, for photographs of
them, for authenticated copies, or for the loan or return of the records themselves.
No reference service will be honored, however, if it conflicts with restrictions es-
tablished by the transferring agency. And no telephone information may be given
on records with a security classification of confidential or higher.
In making a reference request specify:
1. The name of the agency and the name and location of the person for whom
the request is being made;
2. The accession number of the particular transfer in which the records were
included, as shown on the agency copy of Standard Form 135, Transmittal of
Government Records;
3. A description of the information and/or records desired; and
4. The number of the Records Center box in which the records will probably be
found, if it is possible to determine it from the copy of Standard Form 134,
Records Shelf List, that was returned by the Center when the records were
transferred.
By giving the Center the accession number and the Federal Records Center
container number, the agency greatly facilitates the Center's search for the records.
When requests for service are received in writing; or by telephone, the Center
normally supplies the requested service within 24 hours.
No special form is needed to make written requests for Center reference serv-
ice, although agencies wishing to do so may obtain and use GSA Form 257a, Request
for Service. The Center will be glad to supply copies of this form, which is shown
in Figure 7. The form is primarily designed for Center use; therefore an agency
using it should ignore the irrelevant items.
Some agencies find it desirable to require all telephone or written requests to
be made by, or channeled through, one or two persons in the agency. The names
of such persons should be given to the Center.
The Center delivers requested records to "out-of.-town customers" by regular
United States mail, observing all necessary security requirements in doing so. If
an office is in the same metropolitan area as the Center, however, the Center can
deliver requested records or information by regular mail, by regular daily Center-
operated "Archival Messenger Service, " or by Center special delivery service.
The last is used only if the need is urgent.
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An agency should make general arrangements with the Center as to the normal
type ' of delivery service to be provided. As a rule of thumb, when time is not im-
portant, it is more economical for the Center to send small amounts of records by
regular mail. When deliveries are to be made by Archival Messenger Service, it
is desirable for the agency to designate a single agency delivery point, such as the
agency mail room, and to inform the Center of such delivery point.
Messengers sent to a Center to pick up requested records or information or
agency officials who make personal visits to a Center for reference service pur-
poses must always provide:
1. Clear identification;
2. Evidence of security clearance, if needed; and
3. Authorization to refer to records if their use is restricted.
Records may be requested for loan or permanent withdrawal. If on loan, the
records may be retained as long as an agency desires. The Center exercises a
limited follow-up control only if the agency requests such service, or if the records
are of permanent value.
If information is sought rather than the records themselves, it is important to
remember that Centers can only report findings of fact as stated in the records.
Centers cannot provide interpretations and should not be requested to do so. If in-
terpretations are needed, whenever practicable the relevant documents or copies
of them will be furnished to permit the interpretation to be made by the requesting
individual or agency.
Photo-reproductions of records can be furnished only if such reproduction is
not contrary to agency restrictions, security requirements, or statutory restric-
tions. For example, there is a legal prohibition against the reproduction of natu-
ralization papers. Centers will do microfilming only on a reimbursable basis.
Charges also will be made for photo-reproductions involving an excessive expendi-
ture of Center resources or unusual technical problems. A request involving more
than 10 pages of photo-reproductions may be considered excessive if the agency
concerned has its own reproduction facilities.
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VIII. DISPOSAL OF RECORDS IN THE CENTERS
The transfer of records to Federal Records Centers is not a substitute for dis-
posal. Rather it goes hand in hand with disposal. Experience has shown that Cen-
ters speed up disposal of records.
Disposition activities at Federal Records Centers have three major objectives:
1. To assist the National Archives and Records Service in identifying the rec-
ords of enduring value of departmental and field activities of the Federal
Government;
2. To assist Federal agencies in establishing retention periods for records that
do not have enduring value; and
3. To remove from Federal Records Centers all disposable records promptly,
always with agency concurrence, regardless of whether record or nonrecord
material is involved.
If these three objectives are maintained, there will be few records in any Cen-
ter marked "Disposal date not established, " or "Retain indefinitely. "
In accordance with GSA Regulations 3-IV-302.06, no record material can be
disposed of without the agency's written concurrence, even though Congress has
authorized the disposal. Such concurrence is received from the records-creating
agency, the records-transferring agency, or any responsible successor agency,
whichever is applicable.
If the records-creating or records-transferring agency is discontinued after the
records are received in the Center and no agency succeeds to its functions or is
entrusted with its liquidation, approval for the disposal of the records is obtained
from the Records Management Division, National Archives and Records Service.
The Center likewise obtains agency approval for the disposal of nonrecord
material in order that there will be no misunderstanding as to the record or non-
record nature of particular files.
Before disposing of any records, the Center fills out and sends the agency con-
cerned GSA Form 439, Report of Disposition of Records (See Figure 8). The agency
then determines whether the authorization for disposal. is still in effect, and wheth-
er the records are active enough to warrant keeping them longer. The relation be-
tween the volume of the records, shown in item 4 of Form 439, and the number of
current requests for reference service has a direct bearing on the decision as to
whether they should be kept. For example, 6 requests for service in 1 year on
6, 000 cubic feet of records, would provide little justification for keeping them
longer.
If the agency approves the disposition, it signs Form 439 and returns it to
the center as authority for disposal action.
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D.1 SP OSITION JOB
1UR 116
R A:SFERRED TO
SALE AS WASTEPAPER
OTHER (ftpl.i. - --.)
DA E
GENERAL SERVICES ADMINISTRATION
REPORT OF
GSA FORm 4J9
S*Pt Mb- 1953
NATIONAL ARCNIVES AND RECORDS IIIERVICE DISPOSITION OF RECORD
S
GSA- W ASH DC 54-3074
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If a field office authorizes disposal of records under existing schedules, but
does not know whether necessary clearance with the General Accounting Office has
been obtained, the Center, before disposing of the records, requests clearance
from the Records Management Division, National Archives and Records Service.
9. CURRENT REFERENCE :EQUESTS?
MNO F1 YES X.P1.1. .. .......
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IX. THE ST. LOUIS FEDERAL RECORDS CENTER
The.General Services Administration maintains at 1724 Locust Street, St. Louis
3, Missouri, a Federal Records Center for all personnel and pay records of former
civilian employees of the Federal Government. Because of the specialized nature
of this Center, transferring records to it and getting reference service from it re-
quire some special procedures.
Each Federal agency should transfer the following three types of records to the
Center at St. Louis:
1. Official Personnel Folders of separated employees and comparable files ac-
cumulated before Official Personnel Folders were established;
2. Service Record Cards (Standard Form 7 or its equivalent) of separated or
transferred employees; and
3. Individual Earnings and Service Cards (such as Standard Form 1127 or its
equivalent): or Comprehensive Payrolls or Individual Pay Folders.
Personnel Folders. Civil Service Commission. Regulations (Title 5, Admin-
istrative Personnel, Part 28, Code of Federal Regulations) require that Official
Personnel Folders of persons who have been separated, from the Federal service for
1 year be transferred to the Federal Records Center, St. Louis. Military agen-
cies are required, however, to transfer similar records within 30 days after the
separation of their civilian employees.
When an employee is separated from an agency, the agency should take these
steps in regard to his Official Personnel Folder:
2. Examine all the documents in it to ensure that all the permanent ones are on
the right-hand side.
3. Remove and destroy the temporary material on the left-hand side.
4. Record the date of separation in pencil on the face of the tab of the folder,
for example: S-9/30/54.
5. File the folder alphabetically in an inactive file.
6. Once a month, in civil agencies, screen the file and remove, for transmittal
to the St. Louis Center, the folders of employees who have been separated for
a year.
To make the screening easier, metal signal tabs, marked with the name of the
month, may be placed on the folder tab to indicate the month the folder should be
transferred to the Federal Records Center. Each office may determine whether the
use of the signal tabs is warranted-perhaps using a criterion of whether it has 50
or more inactive folders. After the folders have been pulled, the tabs may be re-
moved and, used again.
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In the military agencies, the entire inactive file is transferred at the end of
each month.
Unless the quantity of folders is too great, they may be placed in a penalty en-
velope for mailing to the St. Louis Center. Parcel post is recommended for larger
quantities.
A transmittal memorandum similar to Figure 9 should be forwarded to the St.
Louis Center with the records. The folders do not need to be listed by name, since
their transfer is noted on the corresponding Service Record Cards. To avoid an
unwarranted drain on its manpower the Center does not acknowledge receipt of rec-
ords sent it.
i=jiiilli
Federal Records Center
1724 Locust Street
St. Louis 3, Missouri
Transmitted herewith are official personnel
No.
folders of former Federal employees who separated from the
Mon-' (Year)
Signed
Title
Agency
Address
??i!??il::,::
!!!!!:!?iiiii(
i??s
?=i`iiij{lillI-;sIii:
i...::::i!i:::
FIGURE 9
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Before sending the folders to the Center, the agency should make every effort
to find and place in the folders any pertinent papers that are held elsewhere in its
offices. If stray documents are found later, they should be sent to the Center
with a separate copy of Standard Form 127, Request for Official Personnel Folder,
for each individual involved. (See Figure 10.) When this form is used for trans-
mitting loose papers, blocks 2, 4, 5, and 6c should be filled out. The date of the
person's separation must be entered in block 5.
The personnel office can be of material assistance to medical offices holding
industrial health records by informing them of a transfer of personnel records. The
information, including the names of the individuals whose folders are being trans-
ferred, should be given to a medical office at least a week before shipment.
To request a folder from the St. Louis Center, use Standard Form 127, men-
tioned above. A separate form, in duplicate, should be completed for each individ-
ual whose personnel folder is desired. A memorandum in lieu of Standard Form
127 should be used to request information from the folders.
Service Record Cards. Standards governing the transfer of Service Record
Cards, or their equivalent, are proposed in General Records Schedule No. 1, item 2.
Upon transfer or separation of an employee, an agency will remove his Service
Record Card from the Service Control File, prescribed in the United States Civil
Service Commission's Handbook S-812, and place it alphabetically in a vertical in-
active file. This inactive file should be broken every 5 years, and by the time the
second file is to be closed and a third one established, the first can be sent to the
Federal Records Center, St. Louis. In this way Service Record Cards will be
retained from 5 to 10 years after separation of an employee, and cards sent to the
St. Louis Center in 5-year blocks.
The St. Louis Center will not lend Service Record Cards in its custody except
to the transferring agency. Photocopies will be provided upon request, however.
Fiscal records relating to pay. The St. Louis Center will accept IER cards,
comprehensive payrolls, or individual fiscal folders as outlined in General Records
Schedule No. 2. Such records should be transferred 1 year after completion of the
audit. They are used to provide service record data when the Official Personnel
Folder is missing or incomplete.
Shipment should be made in standard Federal Records Center cardboard car-
tons, described in Part IV, obtainable from the nearest Center or Annex. Standard
Forms 134 and 135 (see Part V) should be used to transmit fiscal records and to in-
ventory them.
Fiscal records sent to the St. Louis Center will not be merged with the Official
Personnel Folder nor transferred to another agency. Photocopies will be provided
as needed, however.
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STANDARD FO1952 RM 127 REQUEST FOR OFFICIAL PERSONNEL FOLDER
APRIL
ENERAL
~IIII' SERVICES ICES ADMINISTRATION (SEPARATED EMPLOYEE)
{{ ~! { SERV RIIEI 11 G
RED. 3-IV-30L
Submit in duplicate to the Federal Records Center, St. Louis, Mo.
SECTION ]-TO BE COMPLETED BY REQUES NG OFFICE
ill 1ll~I
General Services Administration
Records Management Service, Region 6
Federal Records Center
1724 Locust Street
St. Louis 3, Mo.
2. NAME (Last, first, middle)
L _I
3. NAME UNDER WHICH FORMERLY EMPLOYED FEDERALLY
(Zf other than item S)
(If formerly employed by agencies in addition to above, list under item 7)
6. PERSONNEL FOLDER ACTION (Check oppropriete boc)
e. CURRENTLY EMPLOYED. REQUEST TRANSMISSION OF b. REQUEST TRANSMISSION
FOLDER COVERING PREVIOUS FEDERAL EMPLOYMENT ^ OF FOLDER FOR TEMPO-
FOR PERMANENT RETENTION RARY USE
c. CONSOLIDATE ATTACHED PAPERS
WITH OFFICIAL PERSONNEL FOLD-
ER PREVIOUSLY FORWARDED
LI
b. FOLDER ENCLOSED ^ e. FOLDER PREVIOUSLY REQUESTED IS ENCLOSED
El
^ f. FOLDER FORWARDED ON A LOAN BASIS IN LIEU OF INFORMATION
REQUESTED. IF EMPLOYEE IS REHIRED. FOLDER SHOULD BE RE-
TAINED BY YOUR AGENCY
NOTE.-OriAinal will be used as charge-out by Federal Records Center. Duplicate will be returned as transmittal sheet
when appropriate.
fill. P
ii?=
TO:
Requ
esting agency will type name and address
1
!
i i ADDRESS:
of office submitting request in address box.
To be used to mail folder or reply.
] Ji! ATTN:
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~.I I ! f [E . II#` f I IE UI I III I ~~ 1I II f ~ ; ! .. it ~~~ I ! ! = I I I II
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CHECK LIST
The questions are so worded that check marks in the "NO" column indicate the need
for corrective action. YES NO
1. Has your agency designated a records management liaison office with
the General Services Administration in accordance with GSA Regula- ^ ^
tions, Title 3, Section 102.06?
2. Are all of the records of your agency covered by records disposition ^ ^
instructions ?
3. Do the records disposition instructions of your agency indicate what ^ ^
records should be transferred to Federal Records Centers, and when?
4. Does your agency make certain that "record copies" of all issuances
and publications are made a part of the official files before the files ^ ^
are transferred to a Federal Records Center?
5. Are "desk drawer files" or "personal collections" scrutinized for
record material to be incorporated in official files before the files are ^ ^
transferred to a Federal Records Center?
6. Does your agency utilize the knowledge and experience of staff mem-
bers of the Federal Records Centers in making transfers of records to ^ ^
those Centers?
7. If your agency undergoes on-site audit by the General Accounting
Office, does it follow General Regulations 115 of the Comptroller Gen-
eral ^ ^
insofar as using a Federal Records Center is concerned?
8. Does your agency screen records before packing them? ^ ^
9. Does your agency include finding aids in transfers of records? ^ ^
10. Does your agency document all transfers to Federal Records Cen-
ters ^ ^
by Standard Form 135, Transmittal of Government Records?
11. Does your agency also prepare Standard Form 134, Records Shelf List? ^ ^
12. When your agency requests reference service, does it give the Cen- ^ ^
ter box number and accession number?
13. Does your agency transfer to the Federal Records Center, St. Louis,
Official Personnel Folders of separated employees monthly 1 year ^ ^
after separation?
14. Does your agency use Standard Form 127, Request for Official Per-
sonnel ^ ^
Folder, to request service from the St. Louis Center?
15. Does your agency send appropriate fiscal records to the St. Louis ^ ^
Center each year?
16. Has your agency also transferred its older Service Record Cards ^ ^
to the St. Louis Center?
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