Federal Records Centers

Transcription

1 Appendix J Federal Records Centers NAVFAC Commands are the lead agencies for DON ERP installation cleanups. In that capacity, the Commands are legally mandated to keep a paper copy of every Administrative Record, Post Decision File, and Site File document including raw analytical and unverified laboratory data associated with a report or multiple reports. Installation AR, PF and SF paper files are large and most Commands do not have storage space to house them. Storage for official DON ERP records cannot be established at a contractor location and should not be established at an installation. Local and national commercial storage options are available to Commands. See NARA Bulletin , Records Storage Facilities, ( ) for NARA records storage facility standards found in 36 CFR part 1228, subpart K. Ensure that the storage facilities have obtained NARA approval as outlined in that subpart. Consult with the appropriate Command representative to determine policies and procedures to use commercial storage. On site storage is an option. Storing records onsite is a good short-term solution but other long term solutions should be considered. If on site storage is used, it should meet NARA's records storage facility standards and be secure with controlled access. The recommended storage alternative is the Federal Records Center (FRC) ( There are 17 FRCs located throughout the United States. There are costs associated with using Federal Records Centers. The Department of the Navy, Navy Records Office, pays the bills incurred by individual Navy Commands for FRC transfer, processing, and storage fees. These costs are not passed to Navy Commands. Check with your Federal Records Center at the beginning of each fiscal year to obtain the latest FRC cost information. Request a copy of Transactional Billing Rates, Standard Storage and Services. Billing rates are updated on a fiscal year basis. Transferring records to an FRC for storage is not considered an official records ownership transfer. The Command retains ownership of the records. Records sent to the National Archives and Records Administration (NARA) transfer ownership. When transferring boxes of records to the FRC, group and send installation specific AR Files, PF and SFs paper records together. 1

2 When transferring boxes of paper records to an FRC, it is acceptable but not recommended, to group multiple installation boxes of records together, by Command, to create a single shipment. Consult the Environmental Records Manager for individual Command policies and procedures. When transferring records to the FRC, it is acceptable to send multiple installation specific AR Files, PF and SFs electronic (CDROM, DVD, etc.) records together. The FRC Toolkit, Your Guide to the Federal Records Center Services The FRC Toolkit, - transfer, is intended to serve as a resource for individuals with records management responsibilities. It provides step-by-step instructions for transferring, retrieving and returning records to an FRC as well as information on records disposition. It also provides definitions of key terms, which are highlighted throughout the document. If records are sent to commercial records storage companies, ensure that the company meets NARA standards. See Materials and Supplies FRCs require Commands to use specific types of materials, supplies, and forms to transfer records to the FRC. Some of the most important items include standard-size record boxes, expandable folders, labels and tape. The SF-135 form is used to transfer records. Materials and supplies can be ordered by a Command or their contractors from GSA or commercial vendors. Preparing Records for Shipment Sending boxes of records to the FRC: Group a single installation s paper AR Files, PF and SFs records together to send to the FRC. If possible, do not mix and send multiple installation s paper records in the same box Place each paper document or electronic media in a separate folder. Label each folder with information identical to the document label or document cover page 2

3 o Pack records sequentially, by the unique six digit EDMS-generated record number, in standard white Federal Records Center (FRC) approved boxes. Place file folders in the boxes with folder labels facing the front of the box which is labeled, Accession Number. o Legal size paper folders should face the left side of the box in accordance with FRC directions o Filing systems may vary. Consult Command policies and procedures to ensure that the correct guidelines are followed. Alternative Paper Filing Systems See Appendix P for the NAVFAC Northwest alternative model ARF, PF and SF paper filing systems. The systems provide alternatives to the recommended practice of filing the ARF, PF and SF paper records sequentially by the Unit Identification Code and unique six digit computer generated record number. Create an FRC Index Use NIRIS to create and print FRC installation indexes with the required record number span. The number span begins with the first numbered document (record) in box 1 and ends with the last numbered document (record) in the last box If the numbers are not sequential, ensure that all of the documents (records) packed in the boxes are listed on the FRC Index The FRC Index is a critical document. It is the locator mechanism for the documents (records) contained in each box See FRC Index examples (end of appendix) of single installation paper Indexes, multiple installation electronic indexes and analytical/laboratory data indexes The FRC Index should display the following standard data fields: UIC (Unit Identification Code) number = Nxxxxx or Mxxxxx Record Number = N00210.AR (UIC+File Designation+unique 6 digit number) Record Date = 5/22/1980 Number of Pages = 15 3

4 Record Type = Report Title = INVESTIGATION OF SEDIMENT CONTAMINATION WAUKEGAN RIVER AND PETTIBONE CREEK NTC GREAT LAKES IL Author Affiliation = U S EPA Region V (optional add -Chicago Office) FRC Transfer Number - to be filled in when the Transfer number is provided by the FRC (PT XXXX) o PT = Physical Transfer o 2015 = the current fiscal year (begins on 1 October) o XXXX = the four digit transfer number assigned by the FRC Box Number = Box 0001 Complete a Standard Form SF-135 Use the FRC Index information to complete a Standard Form 135 (SF-135) for each set of boxes to be transferred to the FRC. Some Commands require the transferring office, Business Line or Support Line to prepare the SF- 135 and the FRC Index. Certain columns must be completed by the sender. See the sample SF-135 at the end of this chapter. Blank SF-135s can be found on NARA s website at in-word.doc Monitor FRC and NARA communications regarding updates and changes to their online database system, ARCIS. FILLING OUT THE SF 135 ( Item 1: TO Enter the name and address of the FRC to which you are submitting records. See FRC Directions ( for the most current address information. Item 2: Agency Transfer Authorization 4

5 Enter the name of the transferring Command official. FRCs will accept SF 135s without original signatures. The Command may require signatures; consult the Environmental Record Manager. The office or person listed in this block will be contacted and will have Disposition Authority when the records reach their disposition date Name Title Business Line (code) if different from Code in Block #5 Address if different from address in Block #5 Item 3: Agency Contact Provide the name, office, business telephone number (including area code), and address of the person to contact about the records transfer. Item 4: Completed by the FRC. Item 5: FROM Provide the complete address of the transferring Command. If records come from one office, but the SF 135 should be sent to a different office, please include BOTH addresses. Specify where the approved SF 135 should be sent, and where the final SF 135 should be sent. Item 6: Records Data This three-part number comprises the accession number (also called the transfer number, e.g. PT XXXX). Item 6(a): Record Group (RG) Enter the NARA record group number assigned to the records of the agency making the transfer. USE 181 Item 6(b): Fiscal Year (FY) Enter the last two digits of the current fiscal year. The fiscal year begins on 1 October Item 6(c): Numbers Unless NARA has granted authorization to your agency to pre-assign numbers, FRC staff will assign a sequential number in this column. 5

6 Item 6(d): Volume For transfer and billing purposes, a standard-size box equals one cubic foot. Enter the total number of boxes included in this transfer. If the records do not fit in a standard records center box, leave this column blank, add the dimensions of the container to item 6(f), and contact the FRC staff to verify acceptance. Item 6(e): Agency Box Numbers Enter the inclusive range of numbers (e.g., 1-30). Item 6(f): Series Description (with inclusive dates of records) Describe the records in sufficient detail to allow FRC personnel to verify compliance with your records schedule. Use the DON series description found in SECNAV M A complete series description includes the series title and closing date (or inclusive dates) of the records. The inclusive dates of records in the shipment should display the oldest record date through the newest record date. Include the organizational component that created the records if the component is other than that described in item 5. Indicate in this section if the series of records is subject to the Privacy Act. Since SF 135s are public records, information included on SF 135s (including folder title lists) should not contain National Security Classified information or information restricted by exemption B6, the Freedom of Information Act. If you are submitting the SF 135 electronically, you may send the FRC Index as a separate attachment. Consult your FRC; policies for FRC Index submission vary Special description requirements apply for certain records and should be stated in item 6(f) o Non-paper-based and special format records: These can include records such as microfilm, engineering drawings (because of their special format), electronic media, etc. Include the format type in 6(f) (see for information on specific codes for nontextual record types) Optional and recommended information to include in Item 6(f) o List of record numbers in the shipment 6

7 Installation name/unit Identification Code (UIC) or Business Line name Contingency statement CRN - Customer Reference Number (CRN_NAVFACSW_2015_000000) CRNs are assigned, at the Command level Records Managers or a designated surrogate must be the single source to assign Command CRNs. The Records Manager or designated surrogate must keep a master spreadsheet with all CRNs and shipment identification information (see spreadsheet example) CRNs are sequential and are not assigned based on box contents CRNs are assigned to every FRC transfer CRNs are assigned, based on the fiscal year (1 October to 30 September) CRN Format CRN = Customer Reference Number Command Abbreviation (e.g. NAVFACSW) See Command abbreviations 2014 = appropriate fiscal year = six digit number (with leading zeros) assigned by the Records Manager or their designated representative o Shipment number. Shipment numbers are used when there are multiple shipments from a single installation and there is a need to distinguish between the shipments. Item 6(g): Restrictions If there are no special restrictions on your records, you may designate code N or leave this section blank. In this case the default restriction (restricted to authorized agency users and researchers) will apply. Codes Q, R, or W (listed on the back of the SF 135) should no longer be used. If you designate a National Security Classification, you MUST also indicate whether 7

8 the records are designated as Code E (Restricted Data or Formerly Restricted Data). For further information, please see EO Item 6(h) Disposal Authority (Schedule and Item Number) o Cite the appropriate schedule identifier and item number from SECNAV MANUAL M Records freeze information. Include overall DON Records and installation-specific freeze codes. See Appendix Y. The "freeze code" is a three-letter designation created by NARA to identify the freeze pertinent to the records. Item 6(i): Disposal Date o Follow the instructions in Item 6(i): Follow the disposition instructions in SECNAV MANUAL M to compute the disposition date for all shipments except Environmental Records. Environmental Restoration records are considered Contingency Records. Describe the records as, ACTIVE. The description, Active, ensures that the FRC will not automatically calculate a shipment s disposition date based on the shipment s date Using the word, Active in Column I ensures that that all of an installation s record shipments, regardless of the number of installation specific shipments sent to the FRC, will be viewed as a single case file The Environmental Restoration AR, PF and SF records disposition schedule is based on the Standard Subject Identification Code (SSIC) , Hazardous Substance Records o Retire to nearest FRC 3 years after completion of response action. Destroy when 50 years old. See Based on the completion of all response actions (the contingency is the last Response Complete milestone) at an installation, the Command can calculate the AR, PF and SF installation specific records disposition date. Notify the FRC that all shipments for a specific installation should be disposed of and provide a specific date to the FRC. Because disposal is accomplished in quarterly cycles (i.e., January, April, July, and October), advance the date to the beginning of the next calendar quarter to obtain the 8

9 actual date of disposal. For example, if the ending date of your records is September 2006, and the retention period is three years, then the disposal date will be October o For example, if an installation reaches its Response Complete Milestone on14 April 2018, the cut-off date for the records would be 31 December The eligible disposition date for the records is 1 January 2069 (50 years + 1 day). For installations listed on the National Priority List (NPL), the milestone is calculated on the date that the installation NPL de-listing announcement appears in the Federal Register. o For installations not listed on the NPL, the milestone is calculated on one of the following documents: overall installation final No Further Action document or the overall Facility Closeout document. Items 6(j), 6(k), 6(l), and 6(m) are completed by FRC personnel. Item 6(j) Location FRCs fill in this column in a variety of ways. Consult your FRC to find out what terminology is used or if the column is left blank o o o Has the word "SHELVED" The column may be blank; signed receipts sent via which states that the transfer has been shelved; there is no warehouse location information In ARCIS, the Location information is 22 digits for each box; there is no room on the SF-135 to provide the warehouse location for every box in the transfer. What is ARCIS? Archives and Records Centers Information System (ARCIS) is the web-based Information Technology (IT) system of the Federal Records Centers (FRCs) of the National Archives and Records Administration. The system is the online portal through which your agency can do business with the FRCs. Currently, Commands can recall boxes from FRCs using the ARCIS Reference Request module. 9

10 Beta testing is underway to add new modules. The Transfer Module will allow Commands to obtain transfer numbers online. What does ARCIS do? ARCIS allows your agency to conduct all transactions online. The system Lets you track your transactions electronically, giving you instant access to information about your records. ARCIS does all of this in a secure, user-friendly environment. Expedite transactions When you submit information online, it is instantly received by your FRC, which can go to work immediately to process your transaction Find your records faster ARCIS maintains location information on your records, so you no longer have to. When you want to recall a record, all you need is the transfer number - the system remembers the location. And if your records are ever relocated, the system updates the location automatically. Track your records All new transactions will be bar coded, and the bar codes will be scanned by FRC staff as transactions are processed so you can instantly check the status of any transaction. ARCIS uses industry-standard bar codes that you can use with your own equipment for local inventory control. Request Permission to Transfer using the SF-135 Some Commands prefer to request a transfer number using an SF-135 sent via , to the FRC, rather than use ARCIS to request a transfer number. Send an to the appropriate FRC requesting permission to transfer the set of boxes Attach a completed SF-135 and the FRC Index, as directed by the FRC. Consult with the Environmental Records Manager as FRC policies regarding required documents to attach are not standardized. EXAMPLE: 10

11 Use standardized language in s requesting permission. REQUEST TO TRANSFER 4 BOXES Attached is: OPTIONAL ATTACHMENT: a spreadsheet with a detailed inventory, broken down by individual box contents, for 4 BOXES of NAVFAC Environmental Restoration Records for NAS JACKSONVILLE FL (N00207) REQUIRED ATTACHMENT: a copy of the completed SF-135 with the Program's information. If you have questions, concerns or problems, please call or me. 26TH BASE SHIPMENT CRN_NAVFACSE_2015_ The FRC may/will send an acknowledgement of the receipt of the . Consult with the Environmental Records Manager as FRC policies are not standardized Within 5-7 days, the FRC will send an FRC Transfer number (PT XXXX), via , which is authorization to transfer the boxes of records. Print copies of the FRC Index and the SF-135 and place in the boxes as directed by the FRC. Consult with the Environmental Records Manager as FRC policies are not standardized Carefully follow FRC directions to label and seal the boxes for shipment to the FRC Recalling Records from the FRC Use ARCIS You must have an ARCIS account before you are authorized to access the online system Account requests require approval by the NAVFAC Headquarters Records Management Office and the DON Records Office ARCIS takes the place of the OF-11 the Reference Request (recall) The Reference Request number (ARR1) is assigned by ARCIS and can be found on the barcode affixed to the recalled box(es) ARR1 refers to the Central bill code for the DON Records Office Disposition Notifications 11

12 When a disposition date of your Command s records is approaching, the FRC will send you the appropriate notice as described below Disposition of Temporary Records FRCs will send the Notice of Eligibility for Disposal, NA Form 13001, to you 90 days before scheduled destruction of your agency's records. Please contact the Transfer and Disposition staff from the FRC which sent you the notice if you have any questions. When you return the signed disposal notice (NA Form 13001), the FRC will destroy the records as scheduled. Since your agency still owns the records stored at the FRC, the center will not destroy any of your records without your agency's written approval. Adherence to retention schedules is good records management, saves your agency money in storage costs, and conforms with Federal regulations. The FRC strongly recommends that you review each disposal notice carefully and in a timely manner. If your agency does not concur with the disposal, you must provide a justification for non-concurrence, sign and date the form, and return it to the appropriate FRC. Disposition of Contingent Records Defintion: Contingency Records are records scheduled for final disposition at some unspecified future time after the occurrence of a specific event. Examples of such events include the decommissioning of a vessel, the sale of property, or the destruction of a building. Each October, FRCs mail the Agency Review for Contingent Disposal, NA Form 13000, to the DON Records Office. Notices are self-explanatory. When contacted by the DOON Records Office, review the status of the contingent records to determine if a particular action or event (upon which the destruction of the records is contingent) has occurred. If this is the case, sign and return the form to the DON Records Office for action indicating approval of disposal and disposal date. If the contingent records should not be destroyed, sign and date the form, and return it to the DON Records Office for action 12

13 ACTIVE RECORDS: note on the form that the records are still active and they will be retained for an additional 50 years o Some agencies leave records at the FRC because there's less liability. FRCs send a notice even if records are in active status. INACTIVE RECORDS: note on the form that the records are now inactive. The FRC will recalculate the disposal date and another notice will be sent when that date is reached. The FRC staff is expert on disposal and will work with you to ensure that the Command s records are disposed of properly. Records are maintained in secure environments until properly destroyed. Certificates of destruction are sent by the FRC following off-site disposal. Calculating a Disposition Date Environmental Restoration records are Contingency records. Records disposition date is based on the installation s DON ERP closeout status. Typical Documents which Finalize an Installation Cleanup Interim Remedial Action Completion Report (I-RACR) Remedial Action Completion Report (RACR) o Documents the achievement of cleanup objectives specified in the ROD/DD, at the completion of the Remedial Action Operations phase Final Remedial Action Completion Report (RACR) Documents the achievement of cleanup objectives specified in the ROD/DD at the completion of the Remedial Action Operations phase. In addition, it provides the basis for full or partial deletion from the National Priorities List (NPL). The RACR also is used to document that Response Complete has been attained. Documents the Remedial Action completion at the last site or OU cleaned up, summarizes all previous RACRs and summarizes No Further Action (NFA) designations at a base. NFA sites usually result from the Preliminary Assessment/Site Investigation phase with a letter of concurrence from the regulators. Final Remedial Action Completion Report Amendment for Long Term Management completion 13

14 Documents the completion of Long Term Management and documents the Site Closeout milestone completion for long-term management phase Underground Storage Tanks Upon completion of cleanup goals established in the Corrective Action Plan, the final monitoring report is generally the supporting document for a No Further Action concurrence letter from regulatory agencies. With this concurrence, the site achieves the Response Complete and Site Complete milestones. See: UG-2072-ENV, Department of the Navy Guidance to Documenting Milestones Throughout the site Closeout Process, March Conduct a yearly review to determine If an installation s records have reached their disposition date. When records at the FRC are eligible for destruction according to their schedule and not under a freeze, FRCs generate an NA Form, Notice of Eligibility for Disposal which is sent to the DON Records Office for approval. The DON Records Office coordinates with the appropriate Record Group Manager(s) for concurrence. Record Group Managers coordinate with Records Managers and other Command staff, as necessary, to approve or disapprove records destruction. Form, NA-13000, Agency Review for Contingent Disposal, is used by the Command to approve or disapprove the records destruction. (See NA 13000) If installation ARF, PF and SF records are held onsite or elsewhere, the Command must make the determination to retain or dispose of the documents when they reach their disposition date. Environmental records must be retained for the full retention period - See SECNAV MANUAL , January 2012, Create a Memorandum for the Record to document Records Disposition 14

15 FUTURE PLANNING - Migration of Data and Media Hardware, software, and technological changes are occurring at an ever-increasing pace. The need to ensure that data will be readable indefinitely is critical. The NAVFAC conversion schedule includes directions for re-burning CDROMs and DVDs, updating external hard drives, and/or moving the data from one media or software version to another. Existing software and technology review should be conducted at three to five year intervals. New technology and software should be evaluated on a regular basis to ensure that DON ERP records are using the best available practices. Software and technology review should be conducted at three to five year intervals. An electronic record is preserved if, and only if, it continues to exist in a form that allows it to be retrieved, and, once retrieved, provides reliable and authentic evidence of the activity which produced the record. Demonstrating the authenticity of electronic records depends on verifying that: The right data was put into storage properly; Either nothing happened in storage to change this data or alternatively, any changes in the data over time are insignificant; All the right data and only the right data was retrieved from storage; The retrieved data was subjected to an appropriate process; and Processing was executed correctly to output an authentic reproduction of the record. 15

16 Naval Facilities Engineering Command Environmental Records Electronic Records and Data Migration Plan Introduction Records Retained on Electronic and/or Digital Media The Naval Facilities Engineering Command (NAVFAC) will retain Environmental laboratory data packages and other Environmental Records in electronic and/or digital format. NAVFAC uses SECNAV M5210.1, Department of the Navy Records Management Program RECORDS MANAGEMENT MANUAL, 20 January 2012, records retention schedules. The schedules include SSIC , SSIC , SSIC , SSIC and SSIC and other which will be identified as necessary. Purpose The purpose of this Migration Plan is to ensure that the Command sets forth the protocols and practices necessary to keep electronic and/or digital records readable and accessible for their entire lifecycle. Protocols and practices include, but are not limited to, data or records conversions and refreshment cycles for long-term or archived records. Preserving electronic and/or digital records is critical to the Command because many of the series apply to legal records which are subject to litigation and judicial review. Other series have records which are often required for litigation. Additionally, the Command is legally responsible for managing and preserving their records. Effective records management protects the rights of the Command, provides continuity in the event of disaster, and provides improved usage of documents, information, and knowledge. The Migration Plan is an integral part of current Records Management policies. Migration Plan Statement Changes in technology may bring about changes in underlying business processes. Increased electronic capacity may become available. The age or characteristics of the electronic media that is in use may require migration from one media source to another. Whenever it is necessary or desirable from a business perspective, the Naval Facilities Engineering Command plans to migrate electronic data and records to new media and/or new supporting software. The Migration Plan constitutes the guidelines for the migration of electronic records and 16

17 data to new media or to new software. The Naval Facilities Engineering Command Records Management staff is committed to: Open standards of digital recording on selected media Robust methods for preventing, detecting, and reporting errors Ensuring sufficient use of media availability and replacement Knowing the lifecycle (longevity) of records Knowing susceptibility to degradation or deterioration Determining a favorable cost/benefit ratio Availability of methods for recovering records from potential loss The Migration Plan will be reviewed and readdressed on a regular basis to remain viable and useful. Procedures and controls for the protection of records to enable their accurate and ready retrieval throughout the records retention period will be created and updated as conditions warrant. Policies Electronic records will be maintained for the appropriate retention period as defined by the SECNAV M Electronic records will be individually stored in folders with appropriate identifying paperwork. Folders will be placed in FRC standard use boxes and shipped to the appropriate Federal Records Center. An SF-135 and a standard Naval Facilities Engineering Command FRC Index will accompany each shipment. Directions provided by the FRC will be added to every SF-145. Current information to place on SF-135s is Place in Non-textual Environmentally Controlled Area. Responsibilities The Records Management staff or their designated representative will be responsible for: Packing electronic records, creating FRC Indexes and SF-135s, and requesting transfer approval from the FRC 17

18 Retrieving and accessing electronic media stored at FRCs using ARCIS, the NARA online program Maintaining both a paper and electronic copy of SF-135s and FRC Indexes Documenting migrations and conversions in order to have an accurate migration and conversion history. Maintaining a record log of all shipments of electronic media sent to the FRC. Before migration or conversion, in order to avoid losing data in the process, initial tests and analysis to determine exactly what changes will occur and whether they are acceptable will be performed. The new preservation media will selected by DON. The technology and hardware needed to accomplish the transfer will be determined by the electronic media o Before selecting a new storage media 1, risks associated with all new media under consideration will be evaluated o Before migration, risks, associated with migration, which might pose a threat to the records will be evaluated Potential Costs Technical infrastructure may include equipment purchase and maintenance The Command is committed to long-term funding for records migration Staffing infrastructure costs may include training contract employees Outsourcing to contractors will have a direct effect on preservation costs Costs will depend on the record format and the length of time the records need to be preserved 1 For example, burned CDROMs have a relatively short life span of between two to five years, depending on the quality of the CDROM. Recordable DVDs have a shelf life, usually about 7-10 years, depending on the quality of the media The problem is material degradation. Optical discs commonly used for burning, such as CD-R and CD- RW, have a recording surface consisting of a layer of dye that can be modified by heat to store data. The degradation process can result in the data "shifting" on the surface and thus becoming unreadable to the laser beam. 18

19 Definitions Metadata is the data about the data, that allows you to manage, find, and evaluate your information over time Migration is the process of moving files to new media (also known as refreshing ) or computer platforms in order to maintain their value. Conversion entails changing files from one format to another and may involve moving from a proprietary format, such as Microsoft Word, to a non-proprietary one such as a plain text file or XML. Transformation of the record replaces one digital method with another one that is more suitable to long-term retention and preserves the record as it maintains the essential documentary form of the record Migration Plan A migration generally involves a transformation of the original or old electronic records to a new electronic format. Without careful controls, information might be lost or altered in ways that impact key factors such as the electronic record's accuracy, completeness, authenticity and integrity. Without careful controls, the ability to process information and to reliably preserve and present information might be adversely affected. Once it is determined that migration of records and data will be required, the Records Management staff or their designated representative are committed to: Protection of records to enable their accurate and ready retrieval throughout the records retention period Preserve the technology used to create or store the records Emulate the technology on new platforms Migrate the software necessary to retrieve, deliver, and use the records Migrate the records to up-to-date formats Ensure uniform integration with current platforms and/or supporting software Ensure continued availability and readability of electronic record information Ensure electronic records are stored under appropriate environmental conditions Ensure preservation of the ability to process an electronic record's Information throughout its records retention period Ensure copying processes produce accurate and complete copies Migration Plan Steps: When a shipment of electronic records has been stored at the FRC for five (5) years, the Records Management staff or its designated representative will: 19

20 Recall the set of boxes using ARCIS, the FRC online database. After receipt, each box will be opened Each CDROM or DVD will be removed, reviewed and tested to ensure that all of the files are readable. This will require a computer and CDROM and/or DVD reader Once it is determined that all of the files on a CDROM or DVD are readable, the files will be transferred to a computer The files and documents will be transferred to the selected media Once the files and documents have been transferred to the appropriate preservation media, quality assurance testing will be performed to ensure that the files and documents were correctly copied. o Every CDROM or DVD burned will be opened and checked to ensure that all files or documents were fully transferred and the integrity of each file or document preserved If the files and documents on the CDROMs and DVDs are determined to be unreadable, then every effort should be made to obtain a copy of the documents and files from the contractor or laboratory which issued the CDROM or DVD. The Records Management staff or their designated representative is responsible for contacting the appropriate contractor or laboratory. After the quality assurance review, determine whether the boxes should be permanently recalled (never returned) from the FRC o If the boxes of electronic media will never be returned, retire the shipment FRC Transfer number, create a new SF-135 and request a new FRC transfer number to send the re-burned electronic media back to the FRC for storage o If the boxes of electronic media will be returned, use the existing FRC Transfer number and return the re-burned electronic media back to the FRC for storage Use new special use FRC boxes to repack the electronic media with the appropriate paperwork Create updated FRC Index(es) Ship the boxes and FRC paperwork to the FRC 20

21 The Records Manager and the designated representative will file the FRC Index and SF-135 Upon completion and verification of a migration, the old CDROMs and DVDs will be disposed of in an approved manner. Other types of records which are migrated will be retained for 6 months Ensure that the migrated records meet all requirements of the applicable rules After the migration, a previously unknown problem with the old electronic records might come to light and might adversely affect the old electronic record s accuracy, completeness or authenticity. Solving the problem might be hampered if the old electronic records or system is not available Supply Prices Are Subject To Change. Before ordering, consult GSA catalogs or other Office Supply catalogs to determine prices. NOTE: It may not be necessary to order all types of supplies; consult the Environmental Records Manager RECORDS SUPPLIES ITEM DESCRIPTION SIZE/ CAPACITY UNIT ISSUE Unit Cost NSN Expanding Folders (All Straight Cut): Size A (1 Pleat) 7/8 EA (75/Box) Size B (2 Pleats) 1 3/4 EA (50/Box) Size C (4 Pleats) 3 1/2 BX (25/Each) Labels: Document Labels (Avery # 5267) 1/2" x 1 3/4 BK (2,000/Each)

22 Folder Labels (Avery # 5160) 2 5/8 x 1 Box Labels (Avery # 5163) 2 x 4 Boxes Standard Archiving Box 14 ¾ x 12 x 9 ½ BX (3,000/Each) BX (1,000/Each) BD (25/Bundle) Strapping Tape (FRC Approved) 2 Wide ROLL Tabbed Index Sheets (3-Hole Punched) 1/5 Cut 5-Position SE (100/Sheets)

23 EXAMPLE: FRC INDEX - DOCUMENTS 23

24 EXAMPLE: SF-135 REQUEST TO TRANSFER 24

25 EXAMPLE: SF-135 APPROVAL TO TRANSFER 25

26 EXAMPLE: FRC Index Electronic Documents 26

27 EXAMPLE: SF-135 for Electronic Documents EXAMPLE: FRC Index Analytical Data 27

28 EXAMPLE: SF-135 FORM NA

29 29

30 FORM NA

31 1 November 2014 MEMORANDUM FOR THE RECORD Subject: Records Disposition 1. The records identified below have been destroyed in accordance with SECNAV Manual M5210.1, SSIC (insert complete number) List records here OR state, see attached list 2. On (insert date), Counsel (insert name) confirmed that there are no pending or ongoing FOIA's or litigation issues associated with the above contracts which would require continued retention. 3. On (insert date), the Contract Claims Department, (insert name) confirmed that there are no pending or ongoing claims associated with the above records which would require continued retention. 4. Records Destroyed By: (insert FRC* or Command Name) Destruction Date: (insert date FRC destroyed or destruction date) *Attach FRC destruction notice to this memorandum SIGNED: (name) (title) (Office/Command) 31

32 EXAMPLE DESTROYED RECORDS LIST Transfer number PT CRN Number CRN_2010_ none PT CRN_NAVFACSE_2013_

33 National Archives and Records Administration Office of Regional Records Services Records Center Program Transactional Billing Rates Standard Storage and Services FY 2013 The Department of the Navy, Navy Records Office, pays the bills incurred by individual Navy Commands for FRC transfer, processing and storage fees. These costs are not passed to DON Commands. Check with your Federal Records Center at the beginning of each fiscal year to obtain the latest FRC cost information. Request a copy of Transactional Billing Rates, Standard Storage and Services. QUESTION: How much does the FRC charge for a records box transfer? It is currently a flat $42.00 per SF-135 processed, regardless of the number of boxes. The Processing Fee is charged when the SF-135 is approved, even if you never send the boxes. QUESTION: How much does the FRC charge to shelve the boxes you send? The Transfer fee for one standard size box (one cubic foot), to shelve regular, unclassified boxes of documents is $3.50 per box. QUESTION: How much does the FRC charge for each box in storage? The standard storage fee for one standard size box (one cubic foot) is $0.23 per month. QUESTION: How much does the FRC charge when you make a Reference Request for a box and how much does the FRC charge when you return the box? The Reference Request to pull one standard size box (one cubic foot) is $4.25 per box. The Re-file fee per cubic foot (one standard size box), to re-file a recalled box is $4.50 per box. The Permanent Withdrawal fee for one standard size box (one cubic foot) is $4.80 per box. The FRC charges for both individual folder recalls and individual folder returns to the correct box. 33