FEDERAL RECORDS CENTERS
Document Type:
Collection:
Document Number (FOIA) /ESDN (CREST):
CIA-RDP74-00005R000100020021-9
Release Decision:
RIFPUB
Original Classification:
K
Document Page Count:
43
Document Creation Date:
December 9, 2016
Document Release Date:
April 24, 2001
Sequence Number:
21
Case Number:
Publication Date:
June 1, 1967
Content Type:
REPORT
File:
Attachment | Size |
---|---|
CIA-RDP74-00005R000100020021-9.pdf | 2.86 MB |
Body:
,~
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A GSA HANDBOOK
GENERAL SERVICES ADMINIISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF FEDERAL RECORDS CENTERS
WASHINGTON, D.C. 20408
Federal Stock Number
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RECORDS MANAGEMENT HANDBOOKS are
developed by the National Archives and Records Service
as technical guides to reducing and simplifying paperwork.
Managing correspondence: Plain Letters____________ 1955 47 p.
Managing correspondence: Form Letters _ _ _ _ _ _ _ _ _ _ _ 1954 33 p.
Managing correspondence: Guide Letters_ _ _ _ _ _ _ _ _ _ _
1955
Managing forms: Forms Analysis_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
1960
Managing forms: Forms Design___________________
1960
Managing mail: Agency Mail Operetions_ _ _ _ _ _ _ _ _ _
1957
23 p.
62 p.
89 p.
47 p.
Managing current files : Files Operations _ _ _ _ _ _ _ _ _ _ _ 1964 76 p.
Managing current files: File Sta tions_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 1966 39 p.
Managing current files: Subject Filin~_ _ _ _ _ _ _ _ _ _ _ _ _ 1966 40 p.
Managing current files: Protecting Vital Operating
Records-----=---------------------------------
1958
Managing noncurrent files: Applying Records Sched-
ules-------------------------------------------
1961
Managing noncurrent files: Federal Records Centers_
1967
Mechanising paperwork: Source Data Automation__
1965
Mechanizing paperwork : Source Da to Automation
Equipment Guide_____________________________
1962
Mechanizing paperwork: Source Data Automation
Systems--------------------------------------
1963
General: Bibliography for Records Mana~ers______
1965
19 p.
23 p.
39 p.
78 p.
120 p.
183 p.
58 p.
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The General Services Administration operates a system of Federal
Records Centers for the economical storage and servicing of records
for Federal agencies, pending their deposit in the National Archives of
the United States or other disposition authorized by l.aw. This Govern-
ment-wide program is authorized by Section 505(d) of the Federal Prop-
erty and Administrative Services Act of 1949, as amended (44 U. S. C.
39 6).
These centers now store and service approximately one-third of all
Federal records. Each year about 750, 000 cubic feet of records are
transferred to the centers while about 600, 000 cubic feet are destroyed.
Agencies are encouraged to accelerate transfers t:o such centers so
that at least one-half of the total volume of Federal records will be
maintained in low-cost storage space and file equipment on a continuing
basis.
This handbook is issued to assist agencies in achieving optimum use of
the Federal Records Centers, which are located in selected cities in the
United States. It provides information about retiring agency records
to these centers, using them while in center custody, and disposing of
them ultimately. Essential illustrations and explanations of the services
available are included.
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FEDERAL RECORDS CENTERS
CHAPTER 1.
CHAPTER 2.
CHAPTER 3.
CHAPTER 4.
CHAPTER 5.
CHAPTER 6.
CHAPTER 7.
CHAPTER 8.
CHAPTER 9.
CHAPTER 10.
WHY THE GOVERNMENT HAS RECORDS CENTERS
SELECTING FILES FOR TRANSFER
INITIATING THE RECORDS TRANSFER REQUEST
GETTING FILES READY FOR SHIPMENT
PREPARING RECORDS TRANSFER FORMS
SHIPPING THE RECORDS
OBTAINING REFERENCE SERVICE
DISPOSAL OF RECORDS IN THE CENTERS
THE NATIONAL PERSONNEL RECORDS CENTER
THE VITAL RECORDS DEPOSITORY
APPENDIX A -AGENCY USE OF FEDERAL RECORDS CENTERS
(CHECK LIST)
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CHAPTER 1. WHY THE GOVERNMENT HAS RECORDS CENTERS
1. Federal records. The Federal Government creates records at the rate of
approximately 4. 5 million cubic feet annually, enough to frill 600, 000 correspond-
ence file cabinets. The total files accumulation now exceeds 25. 7 million cubic
feet.
2. Agency records programs. To handle such files economically and efficiently,
agencies are required to establish and maintain record~~ management programs
which provide for controlling their creation, organization, maintenance, use and
disposition. The legal basis for such programs is set forth in Section 506(b) of the
Federal Property and Administrative Services Act of 1949, as amended (44 U. S. C.
396). Regulations pertaining to agency records management programs are issued
in Federal Property Management Regulations (41 CFR 101-11).
3. Noncurrent files. One of the major programobjectives is to keep non-current
records moving out of high-cost space and filing equipment into low-cost records
centers as rapidly as practical. Experience in a growing number of agencies
proves that at least one-half of an agency's records c,an be moved to low-cost
centers under a continuing and effective transfer prograrn. An agency can reach
this goal, with the resultant savings, by transferring an average of about 10 percent
of its records each year. Only current files should be kept in prime space and
equipment.
4. Savings from transferred records. As shown in figure 1-4, files can be kept
in low-cost records centers at an average annual savings to the Government in
space and equipment cost of about $4.14 for each cubic foot of records transferred.
This savings is possible because:
a. Center storage space costs less. (Compare: $3. 76 a cubic foot average
cost for agency space with 20 cents a cubic foot for center space. )
b. Center storage equipment costs less. (Compa.re: $50 for an agency
filing cabinet with $6. 00 for shelving plus 75 cents for cardboard containers. )
c. Center space is better utilized. (Compare: Approximately 5 cubic feet
of records stored for each square foot of center-type space with approximately 1
cubic foot for each square foot in agency offices. )
5. Federal records centers. To help achieve such savings, the General Services
Administration, through its National Archives and Records Service, operates a
systern of Federal Records Centers for storage and serviicing of general program
records of the Federal agencies, including an underground depository for mainte-
nance of agencies rights and interests and other vital records. The system includes
a National Personnel Records Center in St. Louis, Missouri, essentially for rec-
ords of separated military and civilian personnel, and a Washington National
Records Center essentially for records of the seat of Government. All Federal
agencies are legally authorized and urged to transfer their noncurrent records to
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HOLDING AGENCIES
(Normal Annual Cost Per Cubic Foot)
168 CU, FT. OF RECORDS OCCUPIES
168 SQ, FT. OF AGENCY SPACE
SPACE AND MAINTENANCE . $ 3.76
*FILING EQUIPMENT . .... U. 67
TOTAL COST . . $ 4.43
How
Records Centers
Sate Money
GSA RECORDS CENTERS
(Annual Cost Per Cubic Foot)
168 CU, FT, OF RECORDS OCCUPIES
38 SQ. FT. OF CENTER SPACE
SPACE AND
MAINTENANCE . . $ 0.20
*FILING EQUIPMENT . 0.09
TOTAL COST $ 0.29
SAVES
$4.14
Figure 1-4. How Centers Save Money
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9~`is~~urc 1 5. Records Stored on Conventional Steel Si~el~ pit;
(3~art 1 of 2;
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these facilities. Typical exterior and interior views of Federal records centei s
arc. shown in figure 1-5. Services available to the agencies, and how to obtain
them, are explained and illustrated in the following chapters. Services specifically
provided by the National Personnel Records Center are described i.n chapter 9.
i~'i~,ure 1-5. Exterior view of a Federal Records C:ente:r (Part 2 of 2)
.-, ;'
~.:;
::
>'~"' i ,L% n5.: :i is
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CHAPTER 2. SELECTING FILES FOR TRANSFER
1. Records disposition instructions. If the records of an agency are
completely covered either by its own records disposition schedules or by agency
adoption of GSA's General Records Schedules, there is no :real problem in deciding
which files should be transferred to a Federal Records Center. These schedules
specify which files to transfer and when to transfer them. In an agency which has no
specific records retirement instructions, the selection of files for transfer to a
center normally is based on three considerations:
a. How often agency personnel actually need to refer to them;
b. How much longer they must be kept before being; destroyed; and
c. How much it will cost to transfer them to a center. Normally files with
a retention period of three years or less remaining should not be transferred un-
less the transfer cost is considerably less than the resultant savings from the
space and equipment cleared.
2. Records transfer rule. Noncurrent records which cannot be stored
more economically on agency premises should be transferred to a Federal Records
Center. A criterion has been developed which indicates that files referred to not
more than once a month per file drawer should be transferred, provided the trans-
fer costs (transportation and agency preparation) would not completely offset space
and filing equipment savings. Actually, records referred to much more often are
accepted provided their transfer is economically worthwhile. Files meeting such
tests usually should be transferred to a center:
a. Regardless of how urgent the need for the infrequent references; and
b. Regardless of how important or how highly security-classified the records
or how extensive the restrictions on their use.
3. File breaks. Files should be terminated or cut-off periodically so as to
make their transfer and disposal in uniform chronological blocks as easy as practi-
cal. This technique is called "breaking" files, and sinnply means that on a given
date a new set of files is established for a subsequent period. Files can be
"broken" annually, biennially, or longer period, depending on the rate at which
they accumulate. Small quantities of records (less than one cubic foot) should not
normally be retired as a transfer action. They should be retained at the agency
until at least one cubic foot accumulates, or until the retention period expires.
Different colored labels may be used on folder tabs for records which accumulate
in large annual blocks to distinguish one time period from another.
4. Completed case files. Closed-out files are seldom referred to more
than once a month per file drawer. Case files are usually closed-out when a given
event occurs; e. g. , an employee separates from the Government, a claim is
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settled, a purchase order is paid. Voluminous case files should be transferred to
a center as quickly as practicable to achieve optimum savings.
5. Advice and assistance on transfers. Each agency has records offi-
cers who are available to inspect files and advise on questions of records trans-
fers. Advice and assistance on transfer problems may also be obtained from
Regional Offices of the National Archives and Records Service or from the nearest
Federal Records Center.
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CHAPTER 3. INITIATING THE RECORDS TRANSFER REQUEST
1. Local records transfer. To initiate a transfer of files to a Federal
Records Center all an agency official normally needs to do is inform his retards
management officer. In the absence of a previous transfer agreement, as reflected
in the agency's records disposition schedules, either the records management
officer or the agency official may make the transfer arrangements by telephoning
or writing the Center Manager in the GSA Region in whicr~ the records are located.
Requests should specify the nature and quantity of the records proposed for trans-
fer. Figure 3-1. 1 shows the 10 regions in which the General Services Administra-
tion operates Federal Records Centers. Figure 3-1. 2 slows the mailing address-
es of the centers and the areas they serve.
2, Nationwide records transfers. On the other hand, if an agency wishes
to transfer records from its central office or from its field offices on a
nationwide basis to one or more selected centers, its records management officer
should contact the General Services Administration, National Archives and Records
Service, Office of Federal Records Centers, Washington, D. C. 20408. Requests
should specify the nature and quantity of records proposed for transfer.
Figure 3-1. 1. Regions of the General Services Administration
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FEDERAL RECORDS CENTERS
eas erved
Designated records of the Military
Departments and the U.S. Coast Guard
Entire Federal Government (for per-
sonnel and pay records of separated
Civilian employees; other desig-
nated records),
1--------- Maine, Vermont,
New Rampshire,
Federal Records Cente
CSA
Massachusetts, Connecticut, and
r,
380 Trapelo Road
Rhode Island,
Waltham
M
2--------- New York, New Jersey except areas
,
assachusetts 02154
Federal Rcrcords Center
CSA
south of Trenton, Puerto Rico,
,
641 Washington St.
and the Virgin Islands.
New York, N, Y. 10014
New Jersey south of Trenton, Dele-
Federal Records Center
GSA
ware and Pennsylvania east of
,
5000 Wissahickon Avenue
Lancaster.
Philadelphia, Pennsylvania 19144
Pennsylvania except areas of
Federal Records Center
GSA
Lancaster.
,
Naval Supply Depot, Bldg, 308
Mechanicsburg, Pennsylvania 17055
3--------- District of Columbia, Maryland,
Washington National Records Center
West Virginia, and Virginia.
General Services Administration
Washington D.C. 20409
4--------- North Carolina, South Carolina,
Federal Records Center
GSA
Tennessee, Mississippi, Alabama,
,
1557 St, Joseph Avenue
Georgia, and Florida.
East Point, Ceorgia 30044
5--------- Kentucky, Illinois, Wisconsin,
Federal Records Center
GSA
Michigan, Indiana, and Ohio,
,
7201 South Leamington Avenue
Chicago, Illinois 6063$
6--------- Kansas, Iowa, Nebraska, North
Federal Records Center
GSA
Dakota, South Dakota, Minnesota,
,
2306 East Bannister Rd
and Missouri except greater St.
Louis area
,
Kansas City, Mo, 64131
,
Greater St. Louis area (Missouri
National Personnel Records Center
GSA
?~'y)?
,
(Civilian Personnel Records)
111 Winnebago Street
7--------- Texas, Oklahoma, Arkansas, and
Louisiana.
8--------- Colorado, Wyoming, Utah, Arizona,
and New Mexico.
9--------- Nevada except Clark County, Cali-
fornia except Southern California,
and Pacific Ocean areas,
Clark County, Nevada, and Southern
California (Counties of San Luis
Obispo, Kern, San Berdardino,
Santa Barbara, Ventura, Orange,
Los Angeles, Riverside, Inyo,
Imperial, San Diego.
National Personnel Records Center, GSA
(Military Personnel Records)
9700 Page Boulevard
St. Louis, Mb. 63132
National Personnel Records Center, GSA
(Civilian Personnel Records)
111 Winnebago Street
St. Louis, Mo. 63118
St, Louis, Mo, 63118
Federal Records Center, GSA
4900 Hemphill Street
Post Office Box 6216
Fort Worth, Texas 76115
Federal Records Center, GSA
Building 48, Denver Federal Center
Denver, Colorado 80225
Federal Records Center, GSA
Building 1, 100 Harrison St.
San Francisco, California 94105
Federal Records Center, GSA
4747 Eastern Avenue
Bell, California 90201
10--------_ Washington, Oregon, Idaho, Federal Records Center, GSA
Montana, and Alaska. 6125 Sand Point Way
Seattle, Washington 98115
Figure 3-Y. 2. Areas Served by Federal Records Centers
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3. Records transfer conditions. Federal Records Centers will accept
any records of the Federal government offered by agencies, subject to the follow-
ing conditions:
a. That the records have a retention period of more than three years re-
maining;
b. That transportation and agency preparation cost.> are not in excess of the
resulting space and file equipment savings; and
c. That facilities and personnel for storing and providing reference service
on the records are available.
4. Records transfer priorities. Priority should be given to the removal
of records from office space, from space convertible to office use, from leased
space, and from filing equipment which can be re-used.
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CHAPTER 4. GETTING FILES READY FOR SHIPMENT
1. Records shipping cartons. Standard cardboard containers are available to
transfer files to the Federal Records Centers. Use of these cartons is restricted to
transferring records to Federal Records Centers. Unless an agency is being liqui-
dated orurgently requires immediate removal of its records, it should ship them in
these special containers rather than in filing cabinets or similar equipment. Cer-
tain agencies have been authorized to use their own cartons, however, when the
size is compatible to storage on center shelving. A standard container has inside
dimensions of 10 by 12 by 15 inches and holds 1 cubic foot of either letter or legal
size records. Thus, a carton is needed for each cubic foot of files being trans-
ferred. A good rule for estimating the total number of cubic feet of records being
transferred is this:
a. Count each full letter-size file drawer as 1-1/2 cubic feet of records; and
b. Count each full legal-size file drawer as 2 cubic feet of records.
2. Obtaining cartons. Standard cartons may be obtained either by request from the
nearest Federal Records Center or by requisition from the nearest regional depot
of the Federal Supply Service (Federal Stock No. 8115-290-3379). The boxes cost
about 10 cents apiece, but centers usually furnish (ship) them to agencies without
charge. Requests for boxes should be made far enough in advance to be sure they
are on hand when packing begins. A special "tuck bottom" carton (Federal Stock
No. 7610-298-6904), having the same inside dimensions as the standard carton, is
also available to agencies within GSA Region 3 from the Washington National Records
Center (see figure 4-2). When an agency and a records center are located in the
same metropolitan area, the standard cartons maybe delivered already assembled,
with bottoms stapled. Otherwise, they are shipped or delivered unassembled. The
"tuck bottom" boxes are always shipped or delivered unassembled.
3. Assembling cartons The bottom of cartons should be secured either by
masking tape at least 2 inches wide or by machine-applied wire stitching. The
tape should be placed lengthwise on the outside, after the flaps on both ends of the
cartons have been folded inside (see figure 4-3). The tape should extend at least
2 inches up the ends of the boxes for extra strength. The "tuck bottom" boxes do
not require stitching or taping of bottoms.
4. Screenine~ disposable material. Before putting files in cartons, it is
advisable to screen-out all unnecessary nonrecord material and all records author-
ized for destruction. Screening usually results in a cost savings and should be
omitted only:
a. If the need for the agency space occupied by the records is urgent;
b. If the agency office is being liquidated immediately; or
c. If the costs of screening outweigh the savings.
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O TURN OPEN END UP
*PRESS DOWN EACH STANIDINC FLAP IN THE INNER BOX
r^ +, ~
7 ~'f ~~
Figure 4-2. Assemblixig "tuck bottom" Cartons
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5. Downgrading classified records. In addition to screening before
packing, an agency should declassify or downgrade security-classified records
whenever such action is warranted by changed circumstances, lapse of time, or
other conditions affecting the classification. Centers should be especially advised
of any classified records being transferred which are covered by automatic time-
phased downgrading and declassification provisions.
6. Packing records Without disturbing the existing filing arrangement,
pack the records firmly in the box. Do not force them. To make future reference
easier, they should not be packed so tight as to hinder withdrawal. Do not place
file folders on top of file folders within the box. Place the file folders in an upright
position, with letter-size folders across the 12-inch way, facing the front of the
container (the unstitched 12-inch side of the container is considered the front) or
with legal-size folders across the 15-inch way, facing the left side of the container.
The labels on either the 12-inch or the 15-inch folders can then be read easily from
the front of the container. Space should be allowed within the cartons for subse-
quent interfiles if such additions are contemplated. Insofar as is practical, records
with widely different retention periods should not be placed in the same carton. In
no event should permanent records be placed in the game box with temporary
records. Records from more than one bureau or office should not be packed in the
same carton, nor should GAO site-audited records be mixed with agency records.
7. Numbering cartons. Boxes should be numbered consecutively in heavy
black crayon or its equivalent, starting with No. 1 for each transfer. Write the
number on the unstitched front of the box in the upper left hand corner, reserving
the lower right hand corner for the Records Center to enter the FRC box number.
Center personnel will assign a separate accession number to each transfer after
the records are received. In GSA Region 3, agency personnel should obtain in
advance an accession number for each transfer so that this number can be entered
by them on the transfer forms and the boxes or other items to be transferred.
8. Labeling cartons. Use of container labels showing the contents of each
box is optional with the agency. It is usually best for the content-description of
each carton to be recorded on standard forms (SF 135 or SF 135A) described in
chapter 5, particularly in the case of subject or miscellaneous files. Labels are
useful at a center, however, if the files are arranged by name or numerical
sequence and the shipment is very large. In these cases content information show-
ing first and last folder in each carton should be shown on the front of the cartons
themselves. If labels are not readily available, this information may be printed on
the cartons.
9. Finding aids. The records should be accompanied, where possible, by any
relevant finding aids, such as indexes. Indexes may be retained at the agency,
however, if files are quite active. The center should be notified of any finding aids
retained by the agency.
10. Closing cartons. To close the top of the cartons, simply tuck the flaps
alternately over and under each other when records are to be picked up by govern-
ment truck. When shipping commercially the tops must be securely taped.
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Figure 4-3. Closing and Sealing the Cartons
11. Reinforcing cartons. If the cartons of records are to be shipped to the
records center by freight, express, or parcel post, it maybe desirable to reinforce
them. As a general rule, cartons should be reinforced if they are to be handled
more than four times during shipment, as may happen in freight shipments of less
than carload lot. Two methods of reinforcement are equally satisfactory.
a. The easy reinforcement method is to tape with masking tape all corners
and edges of the boxes, top and bottom, thoroughly and skillfully. Care should be
taken that tape does not cover labels or other identifying data on the cartons. In
this way it is possible to secure all points where the bo:K may come apart if mis-
handled during shipment.
b. A second 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 Stock Nos. 8135-290-1392 and 8135-290-3405, respectively). These may
be requisitioned from the nearest depot of the Federal Supply Service. Records
Centers do not furnish liners.
Figure 4-11. Reinforcing the Cantons
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12. Packing oversize records. Oversize records, such as bound ledgers
and similar volumes, which will not fit into standard containers, should be tied in
bundles with sturdy cord. Identification tags should be 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. Large drawings may be rolled
in brown wrapping paper, taped and labeled. Centers may be consulted about pack-
ing records that will not fit into standard containers.
13. Packing undersize records. Small records should be shipped in half-
size cartons, also available at no cost from the Federal Records Centers. These
measure about 15" long, 10" wide and 5" deep inside and hold about one-half cubic
foot of records each. Undersize records, such as index cards, may be packed in
the cartons in small to medium length lots and bound with heavy cord or separated
with cardboard pads between rows. Care should be taken to maintain the original
file arrangement. Punched cards should be transferred in the cartons in which they
were received from the manufacturer.
14. Filing cabinets. As previously indicated, records should be transferred
to centers in filing cabinets or similar equipment in exceptional cases only. Center
approval should be obtained in advance in such event. In preparing records for
shipment in filing cabinets, press the compressing device inside eachdrawer
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, according to the file arrangement of their contents.
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CHAPTER 5. PREPARING RECORDS TRAN~iFER FORMS
1. Purpose of forms. The transfer of records to a Federal Records Center
normally requires completion of a Standard Form 135, ~ftecords Transmittal and
Receipt. If needed, however, Standard Form 135A (Continuation) is also used.
These forms, figures 5-1. 1 and 5-1. 2; serve:
a. To record the transfer of custody of the files to the Federal Records
Centers subjecttoany legally binding restrictions on their use which an agency may
impose, and
b. To provide an inventory sufficiently detailed to aid the centers in provid-
ing any future reference service.
2. Availability and distribution. Copies of the standard transfer forms
should be obtained from the agency's usual source of standard forms. If not readily
available from that source, they may be obtained at no cost from the nearest Fed-
eral Records Center. An original and two copies of completed forms should be for-
warded, usually in advance of shipment, to the center to which the records are
being transferred. One copy, signed by a center official, is returned to the trans-
ferring agency. This copy is the agency's receipt. It provides accession and FRC
container numbers to be used by the agency when making future reference to the
records.
3. Site-audited records. When General Accounting Office site-audit records
are being transferred, an additional copy of they transfer forms .should be
forwarded to the Federal Records Center, which will receipt it and forward it di-
rectly to the Records Management and- Services Branch, Office of Administrative
Services, U. S. General Accounting Office, Washington, D. C. 20548. Site-audit
records should be described on separate transfer forms and should bear Record
Group number 217.
4. Preparation in agency. It is usually better for agency officials to fill
out the transfer forms, although when center personnel pack the records the forms
may be prepared by the center personnel. This documentation should be prepared
carefully and in detail. In describing the records, use any special terminology
which will make the transfer documents as meaningful as possible for serving
future reference needs of the agency.
5. Self-explanatory items. Most of the items on Standard Form 135 are
self-explanatory, but a few require some explanation. The accession number and
the record group number, which distinguishes the recordls of one agency or bureau
from all others, are filled in by the center.
6. Restrictions on use- of records. Particular attention should be given
to item 1. The specific restriction or security classification an agency imposes on
transferred records should rest on legal considerations or considerations of the
public interest. Documents should be declassified or downgraded to the greatest
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STANDARD FORM 133
.IULY ISfii EDlrloN
GENERAL SERVICES ADMIN.
FPMR (EI CFR) 101-71.1
RECORDS TRANSMITTAL
AND RECEIPT
INSTRUCTIONS
Send original and two copies to appropriate
Federal Records Center.
FROM: (Name ?nd ?ddreee of Ayexcy traxaferriny records)
Bureau of Special Revenue
Special Revenue Building
Washington, D.C. 20408
1. CITE SECURITY CLASSIFICATIDN AND/OR RESTRICTION ON USE OF RECORDS, IF ANY
10. TITLE
J. SR Smithson S _ ve e
I2. BOX NUMBERS 13. nFCra~orlnu nr
FRC ONLY AGENCY
(Sham orpan{za!{Gnal eornpanenl treat{ny retrords)
11. DATE
IA. DISPOSAL AUTHORITY
(Sehed9k and Ikm NG J
This transfer comprises the merged files of the
former Sales Tax Division (1955-1958) and the forme
r
Miscellaneous Tax Division (1959-1962), These two
divisions were abolished in the Bureau reorganlzation
of January 1963. The functions of the divisions
were assigned in part to the regional offices and in
part to the new FScciae Tax Ruling Office of the
Bureau of Special Revenue.
BSR Schedule, No
1
Administrative Issuances to Regional Offices on
Tax Matters 1955-1962
Item 2
2
Tax Information Service Provided to the Public
1955-1962
Item 4
3
Policy Interpretations on Taxable Transactions
Provided Regions 1955
Item 5
4
Policy Interpretations on Taxable Transactions
Provided Regions 1956
Item 5
5
Policy Interpretations on Taxable Transactions
Provided Regions 1957
Item 5
6
Policy Interpretations on Taxable Transactions
Provided Regions 1958
Item 5
7
Policy Interpretations on Taxable Transactions
Provided Regions 1959
Item 5
(Use Standard Form IsSA for coxtinuatiox eheete)
d Y.S. OaV[RNMLNT PRINTING OFPICE : 19e) G-LS]-15] Ir]-Gl
Figure 5-1.1. Records Transmittal and Receipt, SF 135
(mailing address)
2. SOUARE FEET OF SPACE CLEARED 3. FILING EgUIPMENT EMPiiED
4. CUBIC FEET OF RECORDS
A, OFFICE B. STORAGE A. FILE CABIN TRANSFERRED
ETS (No.) B
TRANS
FILES (N
J
75
.
.
G
G SHELVING (L{n. F!J
5. NAME OF AGENCY CUSTODIAN OF RECORDS
_ _
6. BUILDING AND ROOM N0.
7. TELEPHONE ND
Mr. James Smith
.
R
M
SR 1
R 116
.
AY THE RECORDS BE DESTROYED AS SCHEDULED WITHOUT FURTHER AGENCY CONCURRENCEt YE5
^ NO
9. AGENCY OFFICIAL (${ynalmre)
PAGE 1 OF ~_ PAGES
TO BE COMPLETED Ai FEDERAL REC ROS ENTER
ACCESSION N0. RECORD GROUP NO.
DATE RECORDS RECEIVED
To: Washington National Records Center
General Services Administration _
.27
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STANDARD FORM 135-A
JULY 1961 EDITION
GENERAL SERVICES ADMIN.
FPMR (41 CFR) 101-17,4
RECORDS TRANSMITTAL
AND RECEIPT
(CONTINUATION)
AGENCY
Bureau of Special Revenue
Washington, D.C. 20408
2
PAGE
BOx NUMBERS
DESCRIPTION OF RECOR DS WITH INCLUSIVE DATES
DISPOSAL AUTHORITY
FRC ONLY
AGENCY
_.
8
Policy Interpretations on Taxable Transactions
Provided Regions 1960
Item 5
9
Policy Interpretations on Taxable Transactions
Provided Regions 1961
Item 5
10
Policy Interpretations on Taxable Transactions
Provided Regions 1962
Item 5
11-30
Tax Ruling Case Files on Individuals (A-Z) 1960
Item 8
31-5o
Tax Ruling Case Files on Individuals (A-Z) 1961
Item 8
51-70
Tax Ruling Case Files on Individuals (A-Z) 1962
Item 8
71
Correspondence on Tax Regulations 1955-1962
Item 12
72
Correspondence on Tax Collection 1955-1962
Item 13
73
Regional Administratlve Correspondence 1955-1962
Item 15
74
Statistical Tax Reports From Regional Officers _
Closed claims by taxpayers fer credits against
future tax obligations arising out of rulings favor-
able to individuals and business (A-Z) 1955-1962
Shipments by common carrier (not through postal chsnne:ls)
should show the address of the Center as follows:
Washington National Records Center
General Services Administration
4205 Suitland Road
Suitland, Maryland
Figure 5-1.2. Records Transmittal and Receipt ((:ontinuation), FS 135A
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extent possible before transferring them to a Federal Records Center. If the
records are restricted to official use of the transferring agency this item should so
indicate. All restrictions dealing with access to records will be rigidly enforced.
7. Disposition authority. To enable the center to make proper and economi-
cal disposition of transferred records, agencies should specifically indi-
cate which records are scheduled far disposal. Even though such schedules author-
ize destruction of the records at the end of a specified time or following a certain
event, centers will normally obtain agency concurrence just before they destroy
the records. To avoid subsequent paperwork and repetitive actions, agencies may
grant prior destruction approval by checking "yes" in item 8 on Standard Form 135.
8. Purpose of records description. The description of records being
transferred should provide enough information:
a. To identify them clearly;
b. To enable the center to provide prompt and efficient reference service;
c. To facilitate application of disposal schedules; and
d. To enable the center, in cooperation with the agency concerned, to pre-
pare disposal authority covering any records not covered by agency or general
records schedules.
9. Records description in general. Preceding the detailed description
there should normally be a statement describing the records in general (see figure
5-1). Its content does not matter as long as its coverage is adequate. Thedescrip-
tion should serve to identify the records being transferred, and should provide in-
formation on:
a. Their general description and inclusive dates;
b. Their administrative origins, including pastorganizational changes when
significant and relevant;
c. Their relationship to the program activities of the organization creating
or using them, and the purpose for which they were created and may or do serve;
and
d. Their significant relationships to other records, including duplicates.
10. Records series description. The general statement should be followed
by a precise description of the individual records series. For each series the
title and the inclusive dates should be given. If the description title is not self-
explanatory additional information should be included.
11. Records series definition. A records series consists of documents,
volumes, or folders of records that are arranged under a single filing system or
are kept together as a unit because they relate to a particular subject, result from
the same activity, or have a particular form. A series may consist of a single
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folder of records or of hundreds of feet of files; volume ins not a factor. Asa prac-
tical matter, a few folders or similar small volumes of records may be lumped
together into artificially created series with a general description indicating the
nature of the records, but such descriptions are much less useful for servicing
records. An index or other finding aid is itself a series and should be carefully
described.
12. Records. series and carton identification. Each records series needs
to be described only once. If a series fills several cartons, a breakdown of
the chronalogical, numerical, or alphabetical coverage of each carton should be
given whenever necessary to facilitate future reference service on the records.
In such breakdowns, the file designations (filing symbol., name, number, or date)
of the first and last folders or documents within each cap?ton are usually sufficient.
A folder by folder or file by file coverage of each bo:~ is seldom necessary and
should not be made unless it would facilitate future reference service. For small
series of records (less than one carton each), a carton by carton descriptive list
should be prepared. Any evident gaps in the series should be indicated.
13. Files characteristics and arrangement. Information should be in-
cluded on (a) physical characteristics, e. g. , microfilm, magnetic tape, sound re-
cordings, maps, tabulating cards, and (b) internal file or?;anization or arrangement,
e. g. , alphabetical, numerical, chronological, or other.
14. Security classified records. If records are security-classified the
description must include the degree of classification. The transfer forms should
not reveal any security-classified information as shown i:n the records themselves.
If the classified materials are not specifically named oar described, or if no secu-
rity-classified information is revealed, the standard forms documenting the trans-
fer do not need to be classified. If actual security-classified information is
revealed on the transfer forms themselves, however, the agency must mark the
transfer documents involved with the highest security classification required by the
information: Security-classified records should not be mixed with unclassified rec-
ords and should be covered by separate transfer documents. To help minimize the
cost of transferring such records, agencies are encouraged to accept receipts from
the centers on a box-by-box rather than on adocument-Iby-document basis.
15. Agency container numbers. As has been indicated, cartons should be
numbered consecutively to maintain the original file arrangement of the records.
Enter these numbers on Standard Form 135 (and SF 135A if used) as shown in
figures 5-1. 1 and 5-1. 2. If a series description applies to the records in several
boxes and there is no further box-by-box breakdown, 'the inclusive box numbers
should be entered; for example, 29-41. In this instance it would be helpful to the
center to provide future reference service for the agency to label or mark the front
of each of the cartons with the inclusive content description. It is essential that
the container numbers shown on the standard forms documenting the records trans-
fer correspond exactly with the numbers on the cartons.
16. _FRC container numbers. The column on Standard Form 135 (and SF
135A) for entering the FRC box numbers is reserved for records center use and
should be left blank. V~Iith the exception of the Washington National Records Center,
centers. will assign and fill in corresponding storage location numbers. These
center numbers will be noted on the returned receipt copies of these forms. The
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FRC box numbers (and the accession number also recorded on SF 135) should be
used by the agency in obtaining future reference service.
17. Records disposal authority. Immediately following the title line of
each series the disposal authority, if any, should be indicated by citing the agency
records disposal schedule and the item number.
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1. Means of shipping records. The most economical means available should
be used to ship files to Federal Records Centers. If records are to be moved
only a short distance, center trucks may be available to pick them up. Agency
offices within metropolitan areas in which the centers are located may telephone
for such service. Centers should be notified well in advance of such transfers be-
cause considerable savings can be realized by scheduling; and consolidating pick-ups
from the same locality. In any case, if the agency sorequests, centers will advise
and assist in making the necessary transportation arrangements. When center
trucks are not used, shipments are ordinarily made b;y regular United States mail
or by commercial motor or rail freight with costs borne by the transferring agency.
2. Special low shipping rate for "old" records.. To get the lowest freight
rate for "old" office records, agencies using commercial carriers should
enter the following statement on bills of lading or other shipping documents: "The
agreed or declared value of this property is hereby specifically stated by the ship-
per not to exceed 3-1/2 cents per pound. " If there is sufficient weight fora car-
load or truckload, records should be loaded as heavily as possible.
3. -Rules for estimating shipments. The following yardsticks may be useful in
planning the movement of records:
a. One Center carton holds 1 cubic foot of paper records weighing about 30
pounds average; however, tabulating punch cards weigh in excess of 50 pounds per
cubic foot;
One ton of records averages 70 cubic feet;
c. One empty filing cabinet weights approximately 150 pounds if steel, or
approximately 105 pounds if wood;
d. One 30-35 foot truck trailer will transport approximately 1, 200 cubic
feet of records;
e. One cubic footof records approximates 3, 000 letter-size sheets of paper;
f. One cubic foot of records approximates 10, 000 tabulating punch cards;
g. A letter-size file drawer holds 1-1/2 cubic feet of records, while alegal-
size drawer holds 2 cubic feet.
4. Loading of records for shipment. Large shipments of records should
be loaded into motor or rail conveyances in reverse numerical sequence so that
when the shipments reach the centers the first carton off will be number "1" and
the others will follow in numerical sequence which means that they can be moved
directly to the shelves without being rehandled.
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5. Disposition of transferred file equipment. Records received in agency
file cabinets, transfer cases, or similar equipment, are normally transferred
by center personnel to standard cartons for storage on shelving. The file
equipment is then declared excess to the Property Management and Disposal Serv-
ice of GSA for re-use in other agencies. Accordingly, agencies transferring
records in such equipment to the centers should prepare and submit Standard Form
120, Report of Excess Personal Property.
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CHAPTER 7. OBTAINING REFERENCE SERVICE
1. Prompt reference service. Agency officials care get quick and reliable
reference service on records transferred to Federal Records Centers simply by
submitting a request form, memorandum, or letter i;.o the appropriate records
center. Only urgent or priority requests should be made by personal visit or tele-
phone or by nonvoice communications systems (e. g. , T~IVX; ARS). Centers strive
to answer each inquiry as quickly as possible, usually within 24 hours of receipt.
2. Services available. Centers provide information from the records,
reproductions of them, including ~ authenticated copies;, or loan or return of the
records themselves. No reference inquiry will be honored, however, if it con-
flicts with restrictions established by the transferring agency or by law. Centers
maintain regional archival collections of primary interest to scholars and other
users; these collections are usually created by agencies within the GSA region.
Each center has a search room for visitors to consult records or to do scholarly
research.
3. Making inquiries. In making reference requests agencies should normally
specify:
a. The name of the agency and the name and location of the person for whom
the request is being made;
b. A description of the information and/or records needed;
c. The FRC box number in which the records will most probably be found,
as shown on the Standard Form 135 or SF 135A returned to the agency as a receipt
for the records. The FRC box numbers are the ones asssigned by the Center which
correspond to the agency box numbers.
d. If no corresponding FRC box numbers have been assigned, the accession
number of the transfer, as well as the agency box number in which the records
will most probably be found, as shown on SF 135 or SF' 135A, should be shown.
e. If the transferring agency retains its owndetailed indexof the files trans-
ferred, other appropriate information which would aid the center to locate the
needed file item(s) should be furnished.
4. Facilitating reference. By furnishing the appropriate Federal Records
Center container number (or the accessions number and agency box number),
agencies greatly facilitate searching at the centers for needed records or informa-
tion. -This permits center searchers to proceed directly to the carton(s) containing
the requested files, without first having to check controls describing the agency
records.
5. Reference form available. Agencies are encouraged to make written
(in lieu of telephone) requests for reference service from the Federal Records
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DATE OFREgUESi
ACCESSION NO.
FOR AECORDS CENTER IISE ONLY
LOCATION F RECORD(S) TO BE SEARCHED
TO (MdF
Fa wla.
dow eo-
veloyeJ
Generel Services Administration
Federal Records Center, NABS
(Cltp) (State) (Zt
C d
NATURE OF SERVICE
FURNISH COPY OF PERMANENT
RECORD(S) ONLY ^ WITHDRAWAL
OTHER
^ (SPacItYJ
e)
P
FOR RECORDS CENTER USE ONLY
RECORDS NOT IN MISSING Rrefther rewrd(aJ, Eatormatlca
CENTER CUSTODY ^aor charge ~dfoaad la cnatalaer(s)apeclHgd)
SERVICE
TOTAL
71ME REQUIRED
SEARCHER'S
INITIALS
RECORDS PREVIOUSLY. CHARGED OUiTO (N?e, apefup tmd dated
DOCUMENT
INFORMATION
REMARKS
RESEARCH
FOR IISE OP REQDE$TER
NAME OF REQUESTER TELEPHONE NO.
RECEIPT OF RECORDS
REQUESTER PLEASE SIGN, DATE, AND RETURN
TH19 PoRM
FOR FILE ITEM
S
LI
NAME AND
ADDRESS
OF AGEN
~
(
)
STED ABOVE,
ONLY IF THE BLOCK 70 RIGHT HAS BEEN CHECKED
BV THE RECORDS CENTER. ...................~
~
CY
(I
l
d
SIGNATURE
DATE
nc
u
e
bo7dg. aad
r om Nod
OPTIONq~ FepM N0.
JULY 1959
1t
GEN SERVECEa ADMIN.
FPMti (41 CPR) IOI-11.4
_
_ __...._._ ............... ..__,~~, .~x-~sa.ser
REFERENCE REQUEST-FEDERAL RECORDS CENTERS soTt?TOz
Figure 7-5, Reference Ii,equest -Federal Records Centers
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Centers. It is often to the advantage of an agency to design its own reference serv-
ice form. Those agencies not wishing to do so, may use Optional Form 11, Re-
quest for Service. Supplies of this three-part form (figure 7-5) may be obtained
from the source that normally supplies your agency witch Standard Forms. Federal
Records Centers do not furnish these forms to agencies.
6. Channeling inquiries. Some agencies find it advisable to require all
telephone or written requests to be made by, or channeled through, one or more
individuals in the agency. The names and telephone numbers of such persons
should be given to the center(s) involved.
7. Files transmittal service. Arrangements for tree types of files delivery
services to be provided for agency offices should be made direct with the centers.
Normally, it is more economical for centers to send small quantities of requested
files by United States mail, particularly to out-of-town customers. This means is
especially applicable when time is not essential and when special security per-
cautions are not needed. Other means are used when 'it is more economical to do
so. For example, within afew metropolitan areas in which the centers are located,
center-operated delivery service may be provided. Offices using such service
designate a single point of delivery, such as the agency mail room. This center
service also picks up mail destined for the center.
8. Access to a~ency visitors. Messengers sent Ito a center to pick up
requested records, or agency officials who make personal visits to a center for
reference service, must always provide:
a. Identification as agency representative;
b. Evidence of security clearance, if needed; and
c. Agency authorization to refer to records if trieir use is restricted.
9. Furnishing recorded information. If information is sought, rather
than copies of records or the records themselves, '.it is important to remember
that Federal Records Centers report findings of inforrrration shown in the records.
Usually this type of reference service involves less expense and effort on the part
of the center and the requesting agency.
10. Reproductions. Reproductions of records can be furnished by the centers
only if such reproduction is not contrary to agency restrictions, security require-
ments, or statutory restrictions. For example, there is a legal prohibition against
the reproduction of naturalization papers. Centers will microfilm records for
agencies only on a reimbursable basis. Charges also will be made for reproduc-
tions involving an excessive expenditure of center resources or unusual technical
problems. A request involving more than 10 pages o~f reproductions may be con-
sidered excessive particularly if the agency office concerned ha.s its own facilities.
Charges for reproduction and related services peri'ormed for the general public
are set forth in an established schedule of fees, as aui:horized by the Bureau of the
Budget.
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CHAPTER 8. DISPOSAL OF RECORDS IN THE CENTERS
1. Intermediate disposal. The transfer of records to inexpensive storage
at Federal Records Centers is not a substitute for disposal. Rather it goes hand
in hand with disposal. Generally, records to be retained less than three years
should be destroyed from agency space. Experience has shown that centers facili-
tate disposal of records by closely monitoring this function.
2. Disposal objectives, Most records transferred to Federal Records
Centers are scheduled for destruction at predetermined dates. Some are retained
because they have permanent value. Disposition activities at the centers have
three major objectives:
a. To assist the National Archives in identifying the records of departmental
and field activities of Federal agencies which have enduring value;
b. To assist Federal agencies in establishing realistic retention periods for
records that do not have enduring value; and
c. To remove from centers all disposable records promptly, always with
agency concurrence, regardless of whether record or nonrecord material is in-
volved.
If these objectives are achieved, there will be few records in any center without an
established disposal date. Agencies should collaborate with the centers in proposing
suitable disposal dates .for records in the "indefinite, " "retain, " or "permanent"
categories which are not actually of archival value.
3. Agency concurrence in disposal. Records of a Federal agency will
not be destroyed by the centers without the written concurrence of the agency con-
cerned. An agency may waive this requirement in accordance with procedures de-
scribed in paragraph 6 below.
4. Disposal of nonrecord material. Centers also obtain agency approval
for the disposal of nonrecord materials so that there will be no misunderstanding
as to the record or nonrecord content of particular files.
5. Concurrence procedure. Before destroying any records, centers prepare
and send to the agencies concerned a completed GSA Form 439, Records
Disposition Control (See figure 8-5), or an equivalent document requesting concur-
rence in disposal action. This is done just before the records concerned are eligi-
ble for scheduled destruction. The agencies then determine whether unusual cir-
cumstances require further retention, or whether the records are active enough
from a reference service viewpoint to warrant keeping them longer. The relation
between the volume of the records, shown in item 4 of the Form 439, and the num-
bers 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 normally provide little justification for keep-
ing them longer. Since maintenance of records is costly (even. in center type space)
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and since their value beyond the scheduled destruction period is usually potential
only, a calculated risk in their disposal should be taken. All or segments of them
actually needed for pending or potential law suits or other reason should be retained
however. If the agency approves the disposition, the GSA Form 439 should be signed
by an agency official and returned to the center as authority for destruction action.
Agencies should respond promptly to these requesi~s for concurrence to permit
clearance of center space and equipment for re-use. They should also advise the
centers in writing of any reasons for refusal to concur in the proposed disposal
action.
6. Waiver of disposal concurrence. If it wants to do so, an agency may waive
the submission of GSA Form 439 by granting prior approval for the disposal of
eligible records. Such waivers must be in writing. They may be given for speci-
fic series of records on a continuing basis or they may be noted on Item 8 of Stand-
ard Form 135 for individual shipments at the time of transfer.
9. CURRENT REFERENC! 0.EgUESTST
^ NO ^ YES (BxPln[n on rsverwl
I1. AUTHORIZATION FOR DISPOSITION 12, METHOD O! DISPOSITION
^ BURRING
^ TRANSFERRED TO
^ SALE AS WASTE PAPlR
^ OTHER IBXPInIn on .eeerrc)
13. DISPOSITION APPROVED BY IASencrl DATE U1. DISPOSITION AtCOMPLISNlD'BV ICrn.er) DATE
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCNIVlB AND RRCORDf fERVICB RECORDS DISPOSITION C~DNTROL
Figure 8-5. Records Disposition Control, GSA Form 439
GSA FE OR 67 439
GSA OC 69-12260
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CHAPTER 9. THE NATIONALPERSONNEL RECORDS CENTER
1. Military and civilian personnel records. The National Personnel Records
Center maintains personnel records of former members of the Armed Forces of
the United States and the United States Coast Guard and of separated civilian
employees of the Federal Government, as well as other designated records.
2. Separate center addresses. The military and civilian personnel records are
housed at separate locations within metropolitan St. Louis, Missouri. (See
figure 9-2). Organizationally, the former Military Personnel Records Center and
the former Federal Records Center were merged into a single center named Na-
tional Personnel Records Cer.~ter. From an agency viewpoint, however, there are
no changes in the locations, functions or services provided by the former centers.
As an example, to insure prompt delivery of mail to action offices of the new cen-
ter, the separate addresses remain unchanged as follows:
a. For the former Military Personnel Records Center:
National Personnel Records Center, GSA
(Military Personnel Records)
9700 Page Boulevard
St. Louis, Missouri 63132
b. For the former Federal Records Center, St. Louis:
National Personnel Records Center, GSA
(Civilian Personnel Records)
111 Winnebago Street
St. Louis, Missouri 63118
3. Separate center functions. The separate military and civilian records func-
tions at the National Personnel Records Center are explained further in parts 2
and 3 of this chapter.
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NATIONAL PERSONNEL RECORDS CE]vTER, GSA
(Military Personnel Records)
9700 Page Boulevard
St. Louis, Missouri 63132
NATIONAL PERSONNEL RECORDS CI~NTER, GSA
(Civilian Personnel Records)
111 Winnebago Street
St. Louis, iissouri 63118
Figure 9-2, Separate Locations of the National Personnel Records Center
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PART 2. MILITARY PERSONNEL RECORDS
4. Categories of records. Records of separated military personnel, including
the U. S. Coast Guard, and other designated records of components of the Depart-
ment of Defense are retired to the National Personnel Records Center (Military
Personnel Records). The primary center mission at this location is to store,
service, and safeguard records of separated military personnel, officer and en-
listed, and selected organizational3 medical and other military records. Requests
for military personnel records, other than those shown in figure 9-4, should be
sent to the National Personnel Records Center.
5. Implementing instructions. Procedures for sending records to the National
Personnel Records Center (MPR) are set forth in regulations of the Army, Navy,
Marine Corps, Air Force, and Coast Guard. Likewise, loan of the records,
granting access to them, furnishing information therefrom, and their disposition
are governed by policies and procedures of the military components of the Depart-
ment of Defense and the U. S. Coast Guard.
6. Reference service. In addition to serving the military components of the
Department of Defense and Coast Guard, this center furnishes information on serv-
ice and medical records affecting veteran benefits. This service is provided direct
to veterans, to the Veterans Administration, and to other authorized users.
7. Facilitating reference service. The military personnel records in center
custody consist of more than 30 million personnel and medical files of veterans who
have served in the Army, Navy, Marine Corps, Air Force, and Coast Guard. To
these are added ona continuing basis the records of personnel separated from these
services. All but the most uncommon names are duplicated many times. There-
fore, to aid in positive identification of the files of given individuals, requests for
information should be submitted in writing and include as much as possible of the
information needed to complete the blank spaces on NAR Form 581 (figure 9-?).
Only urgent requests should be made by telephone, by personal vi sit or by non-voice
communications systems (e. g. , TWX; ARS).
Approved For Release 2001/07/17 :CIA-F$?P74-000058000100020021-9
Approved For Release 2001/07/17: CIA-RDP74-000058000100020021-9
GENERAL SERVICES ADMINISTRATION
RESTRICTIONS ON RELEASE OF INFORMATION
The Military Departments Nava restrlettona rag girding the release of lnformetion from records of milltery
personnel. A service person can obtain almost any in form etton contained in his or her own record. The
next of kin, !f the veteran is deco esed, end Federal offices for officf el purposes, ate avthori red !o re.
calve most types of information from a military aervlce record. Other re questeramust obtain written
release consent from the service person or, tf dace esed, the next of kin. Employers end others needing
proof of mu tt ery aervlce should accept, t+.s authentic, the in form at Lon ahiown on documents issued by the
Armed Forc ea at the time aervlce persons are separated.
- - - CHARGES FOR SERVICE - - -
Some aervic es are subject to a charge o.f a nominal fee. In most inetancea the coat cannot be determined
in advance. If a fee must be ch erged, ou will be advised ea Boon as th et determin etlon la made.
LOCATION OF NIIITARY PERSONNEL RECOAfIS
The following guide shows the location of military service records not ai; the National Personnel Records
Center. If your request pertains to one of the categories Ilsted below :send your request to the address
those groups listed b
elow_
shown at the right of that category. All military personnel records excf:pt
_
_
are in the custody of the National personnel Records Center in St. Louis 1(Address is shown below)
IMPORTANT: If the individual has two or more periods of service within the same branch of service,
send your request to the office having the records for the latest period.
BRANCH OF SERVICE - CATE60RY OF MILITARY PERSONNEL RECORDS
WHERE TO WRITE
ALL RESERVE MEMBERS NOT ON EXTENDED ACTIVE DUTY
AIR F:ESERVE PERSONNEL CENTER
F
3800 YORK STREET
R
- - -
ALL RETIRED RESERVISTS IN A NON-PAY STATUS
-
- - - - - -
_
DENVER ,-CO LORA00 -80205_ _ _ _ _ _ _ _ _
-
- - - - - - - - - - - - - - - - - - - -
ALL ACTIVE DUTY PERSONNEL
USAF, MILITARY PERSONNEL CENTER
R C
E
ALL PERSONNEL ON THE TEMPORARY DISABILITY RETIRED LIST (TDRLI
MILITARY PERSONNEL RECORDS DIVISION
GENERAL OFFICERS IN A RETIRED (PAY1 STATUS
RAN D[IL PH AFB, TEXAS 78148
OFFICERS SEPARATED BEFORE JULY 1, 1917
NATIONAL ARCHIVES ANO RECORDS SERVICE
NATIONAL ARCHIVES BUILDING
ENLISTED PERSONNEL SEP ARAT EO BEFORE NOVEMBER 1. 1912
_ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _
WASH INGTONr_D. C.- 20408 - - _ _ _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _
ALL PERSONNEL SEPARATED ON OR AFTER JANUARY 1, 1960
HDQS, DEPARTMENT OF THE ARMY
OFFI I;E OF THE ADJUTANT GENERAL
A
ALL RETIRED PERSONNEL (EXCEPT GENERAL OFFICERS!
U. S.. ARMY ADMINISTRATION CENTER
R
ALL RESERVE MEMBERS (INCLUDES RETIRED RESERVISTGI
9700 PAGE BOULEVARD -
M
57. Louis, MISSOURI 63132
----'------
Y
- - - - - -
-----------------------------
----------
ALL OFFICERS ON ACTIVE DUTY AND RETIRED GENERAL OFFICERS
PERSONNEL RECORDS DIVISION
THE 4DJ UTANT GENERAL'S OFFICE
DEPARTMENT OF THE ARMY
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
WASI~INGTON,-D_ C._ 20310 _ _ - _ _ _ _ _ _
ENLISTED PERSONNEL ON ACTIVE DUTY
U. S.. ARMY PERSONNEL SERVICES SUPPORT GTR.
FORT BENJAMIN HARRISO N, INDIANA 46249
~ 8
ENLISTED PERSONNEL SEPARATED LESS THAN SIX MONTHS
COMMANDANT
D U
OFFICER PERSONNEL SEPARATED LESS THAN THREE MONTHS
U. S.. COAST GUARD
WASHINGTON, D. C. 20226
A A
S R
ALL ACTIVE COAST GUARD PERSONNEL AND MEMBERS OF THE RESERVE
T D
OFFICER PERSONNEL COMPLETELY SEPARATED BEFORE JANUARY 1, 1929
OFFICER PERSONNEL CURRENTLY MEMB Eft OF THE MARINE CORPS OR
COMMANDANT OF THE MARINE CORPS
~ C
MARINE CORPS RESERVE
HEADQUARTERS, U. 5. MARINE CORPS
WASHINGTON. D. C. 20380
R R
ENLISTED PERSONNEL ON ACTIVE DUTY. OR IN THE ORGANIZED RESERVE
I P
CLASS II IACTIVE RESERVESI
E S
OFFICER AND ENLISTED PERSONNEL COMPLETELY SEPARATED-FOUR MONTHS
OR LE55 SINCE COMPLETE SEPARATION
OFFICERS ON ACTIVE DUTY AND THOSE SEPARATED LESS TN AN ONE
CHIEF OF NAVAL PERSONNEL
YEAR AND ALL OFFICERS WITH RANK OF ADMIRAL
DEPARTMENT OF THE NAVY
WASHINGTON, D. C. 20370
N
ENLISTED PERSONNEL ON ACTIVE DUTY AND THOSE SEPARAT EO LESS
A
TN AN 4 MONTHS
Y
Y
ACTIVE RESERVISTS AND INACTIVE RES ERV18T5 WITH 18 OR MORE
MONTHS REMAINING IN 1ST TERM OF EN Lt.STM ENT
IF YOUR REQUEST DOES NOT PERTAIN TO ANY OF THE
N,:lTIONAL PERSONNEL RECORDS CENTER
g
R
CATEGORIES LISTED ABOVE, ADDRESS YOUR INQUIRY TO:
(Military personnel Records)
A N
9i'00 Page Boulevard
~ C
_
51:. Louts, Missouri 63132
H
E
S
BE SURE TO INCLUDE AS MUCH OF THE INFORMATION REQUESTED ON 'i'NE REVERSE SIDE AS YOU CAN.
THIS WILL RESULT IN YOUR RECEIVING THE BEST POSSIBLE SERVICES.
Figure 9-4. Location of Military Personnel Records
NAR FORM 681
APR 67
Approved For Release 2001/07/17: CIA-R[$1~74-000058000100020021-9
Approved For Release 2001/07/17: CIA-RDP74-000058000100020021-9
GENERAL SERVICES ADMINISTRATION
GATE
AEOUEST FOR INFORMATION FROM MILITARY PERSONNEL AECOADS
Please read instructions on reverse side and furnish as much information as possible In
the spaces provided below.
A? IDENTIFYING DATA (Complete on all request a)
1. NAME USED IN SERVICE (L aat, first, middle initial)
2. SERVICE NUMBERl51
j. LAST GRADE, RATE OR RANK
N? BRANCH OF SERVICE [] MARINE CORPS ~ ARMY AIR FORCE
5? DATES OF
SERVICE
Q ARMY ~ AIR FORCE ~ ARMY N,A,T ION AL (World War 1 U
FROM
Tp
NAVY ~ .COAST GUARD GUARD ~ AIR
NATIONAL GUARD
6. DATE OF BIRTH
7? PLACE OF BIRTH
S. SOCIAL SECURITY NUMBER
9? STATUS DURING PERIOD
(Chock one)
O OFFICER Q ENLISTED
B. LIST ALL PERIODS OF ACTIVE MILITARY SERVICE PERFORMED AFTER THAT PERIOD SHOWN IN ITEM A-5. INCLUDE PRESENT
PERIOD IF NOM ON ACTIVE DUTY OR IF NO AODITI.ONAL SERYICE PERFORMED CHECK E '
BRANCH OF SERVICE
DATE OF ENTRY
DATE OF RELEASE
SERVICE NUMBER
STATE WHETHER
INTO ACTIVE DUTY
FROM ACTIVE DUTY
DURING THIS PERIOD
OFFICER OR ENLISTED
C. LIST ALL PERIODS OF MILITARY RESERVE OR NATIONAL GUARD MEMBERSHIP DATING AFTER THAT PERIOD OF SERVICE SHOWN IN
ITEH A-5. INCLUDE PRESENT PERIOD IF NOW A MEMBER. IF NONE CHECK THIS BLOCK. O
BRANCH OF SERVICE
(If Netlon el Guard show ?NG'
DATE MEMBERSHIP
DATE MEMBERSHIP
SERVICE NUMBER
STATE WHETHER
after name of breneh)
BEGAN
ENDED
DURING THIS PERIOD
OFFICER OR EN LIST EO
D. IS THE INDIVIDUAL A MILITARY RETIREE OR FLEET
E. IS THE INDIVIDUAL DECEASED?
RESERVIST4 NO D YES C7
NO O YES C7 (Show date of death)
F. STATE CLEARLY WHAT YOU ARE REQUESTING AND THE PURPOSE FOR WHICH IT IS TO BE USED. (See reverse aide
regarding restrictions on release of information)
G. REQUESTER IS (Check appropriate item)
H. ADDRESS OF REQUESTER (Number or RFD, Street, City,
~ FORMER SERVICE PERSON D SURVIVING SPOUSE
State and Zip Code)
~ NE%T OF KIN (Show ~ OTHER (Specify)
Relatlonehip)
I? CERTIFICATION: I certify that the above statements ere true to the best of my knowledge.
TYPED DR PRINTED NAME OF REQUESTER
SIGNATURE OF REQUESTER
BE SURE YOU ADDRESS YOUR REQUEST TO THE PROPER OFFICE.
(See guide on back of sheet)
NAR FORM 581
APR 67
Figure 9-7. Request for Information from Military Personnel Records
Approved For Release 2001/07/17: CIA-R~74-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
8. Personnel and pay records. Personnel and pay records of separated civilian
employees of the Federal Government are retired to t:he National Personnel Rec-
ords Center (Civilian Personnel Records). Each Federal agency should transfer
the following types of records:
a. Official personnel folders of separated employees and comparable files
accumulated before official personnel folders, as such, were established;
b. Individual earnings cards (such as Standard I?orm 1127 or its equivalent),
or comprehensive payrolls or individual pay folders; and
c. Service records cards dated on or before December 31, 1947.
9. Official personnel folders. The Federal Personnel Manual requires that,
with minor exceptions, official personnel folders of persons who have been sepa-
rated from the Federal Service for 30 days must be transferred without delay to
the center address shown above for civilian personnel records. When an employee
is separated the agency should take the followingstepsregarding his official person-
nel folder:
a. Remove it from the active files;
b. Examine the documents in it to ensure that the correct ones are filed on
the right-hand side;
c. Remove and destroy the temporary material on the left-hand side;
d. Record the employee's date of birth and Social Security Number on the
tab of the folder, for example: D. O. B. 10-16-19; SSN 455-10-3482;
e. File the folder in an inactive file, arranged chronologically by date of
separation, or otherwise identified by date of separation; and
f. Screen the inactive file monthly at the beginning so that the folders of
employees who have been separated may be transferred promptly. Be sure that
the files being transferred are complete, that any recent documents have been in-
cluded before transfer.
10. Package records securely.. Unless the quantity of folders prohibits doing so,
they may be placed in a penalty envelope for transmission by regular official mail.
Use of standard FRC cartons is recommended for larger quantities. To help pre-
vent loss or damage in transit, folders being mailed or~ shipped should be packaged
securely.
11. Name list not required. Official personnel folders being retired to this center
need not be listed by name since their transfer is noted on corresponding service
record cards maintained in personnel offices, as requir. ed by the Federal Personnel
Manual. This center does not acknowledge receipt of the individual folders it
receives.
Approved For Release 2001/07/17 :CIA-RD~4-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
12. Interfiles. Before retiring official personnel folders, an agency should make
every effort to complete the folders by locating any pertinent documents that are
held elsewhere in its offices. If documents belonging in the retired folders are
found later, complete identification of each employee (full name, date of birth,
social security number, and date of separation} should be shown on each separate
file item before being mailed to the center.
13. Industrial health records. Personnel offices can be of material assistance to
medical offices holding industrial health records by informing them of a transfer
of personnel records. The names of the individuals whose folders are beingtrans-
ferred should be given to the local medical office at least a week before shipment.
14. Request for civilian personnel folders. To request a personnel folder, use
Standard Form 127, shown in figure 9-14. A separate form, in duplicate, should
be submitted for each individual whose folder is requested. Only urgent or priority
requests should be made by personal visit, by telephone or by non-voice communi-
cations, such as the Advanced Records System. A memorandum in lieu of Stand-
ard Form 127 should be used to request information from the folders.
15. Service record cards. Standards governing the transfer to this center of
service record cards, or their equivalent, are stated in General Records Schedule
No. 1, item 2. These cards are maintained in accordance with Federal Personnel
Manual Supplement 293-31. This schedule calls for transfer of all cards for em-
ployees separated or transferred on or before December 31, 1947. Later cards
should be destroyed by agencies 3 years after employee separation or transfer, and
not sent to the center.
16. Fiscal records relatine' to pav. Agencies should also transfer to this center
individual earning records, comprehensive payrolls, or individual pay folders con-
taining earning records, as explained in General Records Schedule No. 2. Such
records should be transferred 1 year after they have been audited, to provide data
on service when official personnel folders are incomplete or missing. Use SF 135
for transferring earning records. Such records retired to this center are not
merged with the official personnel folders, nor are they transferred to a subsequent
hiring agency. Copies will be provided as needed, however.
17. General program records. Non-personnel records of agencies in the Greater
St. Louis area (Missouri only) are accepted for storage and servicing at this center,
as a matter of convenience and economy.
Approved For Release 2001/07/17 :CIA-F2~74-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
Standard F'onu IEi
Jxty 1967 cnlrlox
L'enea?al tiervin?. ,Wminixtrntiun
F'F'\t It (dl Clrltl 101 I1.~1
2c. NAME UNDER WHICH FORMERLY EMPLOYED FEDERALLY Uf diJtrrrur rl,nn
SULMIi 1N DUPLICATE fOR
EACH FOLDER REQUESTED
Original wilt be used to send
folder or reply to your agency.
Duplicate will be used a:
charge-out record by }he
Records Center.
(SEPARATED EMPLOYEE)
NATIONAL PER50NNEL RECORDS CENTER, GSA
(Civilian Personnel Records)
111 WINNEBAGO STREET
ST. LOUIS, MISSOURI 63118
B. REAS
ON FOR REQUEST (CAcc% app,op?ute frost
8.
^ ~. Folder enclosed.
^ b. Folder was sent to your agency
on .................................................
^ c. Folder forwarded in place of
information requested. Retain if
person is rehired.
^ d. Folder not received. Suggest you
contact last employing office.
^ e. Folder notiocated. Suggest further
search in your agency. If still unfocated,
deri}y correctness of name, and furnish
date forwarded and several names of other
folders in same shipment.
^ T. Folder believed in custody of following agency. Original of
your request sent to that agency for action.
AGENCY AND BUREAU
LOCATION
FROM
TO
fnfcr tomp/efe
address fo which
/older or reply
is fo be mailed.
Include I/P Code.
Figure 9-14. Request For Personnel Folder
Approved For Release 2001/07/17 : CIA~P74-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
CHAPTER 10. THE VITAL RECORDS DEPOSITORY
1. Underground depositorv. GSA maintains for the benefit of Federal agencies
an underground depository having facilities adequate for the protection of emergency
preparedness records. The depository, located in the central part of the United
States, is operated as an annexof the Federal Records Center in Region 6 at Kansas
City, Missouri (See figure 10-1). It is accessible to rail, motor, and air trans-
portation. Air handling equipment controls temperature and humidity, providing a
proper environment for safeguarding paper, film, and magnetic tape records. The
fire controls system includes automatic sprinklers.
2. Vital records. Federal Property Management Regulations, Subpart 101-11.
701. 5, defines two categories of vital records: (1) emergency operating records
and (2) rights and interests records. The GSA Depository is designed primarily to
accommodate rights and interests records, second or "insurance" copies of emer-
gency operating records, and other records vital to the operation of the Federal
Government. Agencies, however, may exercise an option in deciding whether this
depository is a suitable site for housing copies of emergency operating records
needed at relocation sites. The GSA Records Management Handbook entitled Pro-
tecting Vital Operating Records provides further clarification of the two basic cate-
gories of emergency preparedness records.
3. Arrangements for use of depositorv. Agency officials, in advance`of trans-
ferring records, should obtain detailed information concerning availability and
conditions of use of the GSA Vital Records Depository. This information may be
obtained from:
Office of Federal Records Centers
National Archives and Records Service
General Services Administration
Washington, D. C. 20408
Regional Director, Region 6
National Archives and Records Service
General Services Administration
1500 East Bannister Road
Kansas City, Missouri 64131
Approved For Release 2001/07/17 :CIA-RDP~~-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
E'igure 10-1. Underground Space Uccupie~z by the Vital Record. Depository,
Interior and Exte~?ior Views
Approved For Release 2001/07/17 :CIA-RL~~74-000058000100020021-9
Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
The questions are so worded that check marks in the "NO" column indicate the
need for corrective action.
1. Has your agency designated a records management liaison
officer with the General Services Administration in accordance
with Federal Property Management Regulations (41 CFR
101-11. 102- 6)?
2. Are all of the records of your agency covered by records dis-
position instructions?
3. Do the records disposition instructions of your agency indicate
what records should be transferred to Federal Records Cen-
ters, and when?
4. Does your agency ensure that "record copies" of 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
members of the Federal Records Centers and the National
Archives and Records Service in making transfers of records
to those centers?
7. If your agency has been assigned for audit at the site, are the
audited documents periodically transferred to a Federal Rec-
ords Center in accordance with regulations of the General
Accounting Office?
8. Does your agency screen-out disposal materials before pack-
ing records for transfer to Federal Records Center?
9. Does your agency include finding aids in transfers of records?
10. Does your agency transfer only those records which are to be
retained 3 years or more?
11. Does hour agency document transfers to Federal Records
Centers by use of Standard Form 135, Records Transmittal
and Receipt?
^ ^
^ ^
^ ^
^ ^
Appendix A - Agency use of Federal Records Centers (Check List)
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Approved For Release 2001/07/17 :CIA-RDP74-000058000100020021-9
12. When your agency requests reference service, does it give the
Federal Records Center box number and accession number in
the absence of other approved procedures?
13. Does your agency transfer to the National Personnel Records
Center (CPR), St. Louis, official personnel folders of sepa-
rated civilian employees promptly 30 days after separation?
14. Does your agency use Standard Form 127, Request: for Official
Personnel Folder, to request civilian personnel records from
the National Personnel Records Center (CPR)?
15. Does your agency send earning records to the National Person-
nel Records Center (CPR) one year after they are audited?
16. Has your agency also transferred its Service Record Cards
dated prior to January 1, 1948, to the National Personnel
Records Center (CPR)?
17. Are telephone and teletype requests made only when urgent?
Appendix A
Approved For Release 2001/07/17 :CIA-RD~T4-000058000100020021-9
^ ^
^ ^