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Completing Standard Form 135, Records Transmittal and Receipt

Any records you wish to retire to FRC must be accompanied by an approved, Records Transmittal and Receipt Form, known as an SF-135. The SF-135 documents the physical transfer of the accession to FRC and provides the transfer number/customer reference number (CRN), and box list.

The SF-135 must be filled out correctly for the records to be accepted. Besides the box list, you need the EPA records schedule to complete parts of the form.

Sec. 1: Address back to top

This is the address line for FRC. Type the following exactly as shown:

1. To (Complete the address for the records center serving your area as shown in 36 CFR 1228.150)

Federal Records Center

ATTN: Accession Branch, Washington Federal Records Center 4205 Suitland Road, Suitland, MD 20409

Sec. 2: Agency Transfer Authorization back to top

The Headquarters Records Officer, the Agency liaison for FRC. Type the following exactly as shown:

2. AGENCY TRANSFER AUTHORI-ZATION (202) 566 1665 Headquarters Records Officer Date:XX/XX/XXXX

Sec. 3: Transferring Agency Liaison Official back to top

The person in your office at the level of section chief or higher responsible for the records. This person will be contacted to approve all requests for access to and disposition of the records.

Name and Title
Program, Room Number, Phone Number and Mail Code

Sec. 4: Records Center Receipt back to top

Leave this section blank. FRC will complete this section.

Sec. 5: From (Sender's Address) back to top

Type the following in the center of the space exactly as shown - NOTE: Call the HQ Records Officer to request a Customer Reference Number (CRN).

5. FROM (Enter the name and complete mailing address of the HQ Records Officer. The signed receipt of this form will be sent to this address.)

CRN: 412-00-0000
ENVIRONMENTAL PROTECTION AGENCY
Office of Information Collection (2822T)
ATTN: Records Management
1200 Pennsylvania Ave. NW
Washington, DC 20460

Sec. 6: Records Data: back to top

This is the most critical part of the form. If information entered in this section, especially Column (h), is incorrect, FRC may not maintain the records for the proper duration.

(a): RG
FRC assigns a Record Group (RG) number to each federal agency for administrative purposes. EPA is assigned RG 412, which is always entered in column (a).

(b): FY
Enter in column (b) the last two digits of the fiscal year in which you are retiring the records:

10 for FY 2010,
11 for FY 2011, etc.

(c): Number
Leave this section blank. FRC will complete this section.

Columns (a), (b) and (c) comprise the transfer number, which the Agency will use as well as the CRN to access or retrieve these records until their destruction or permanent transfer to the National Archives.

The transfer and CRN numbers are the primary control numbers for all actions affecting the records. For example, a transfer number might be 412 10 1234. The number "412" is the Agency Identifier and Records Group Number found in column 6 (a) of the SF 135; "10" is the current fiscal year found in column 6(b) of the SF 135; and "1234" in column 6 (c) is the four-digit transfer number assigned by the Federal Records Center.

The transfer number in column 6(c) is assigned by the FRC and the CRN in block 5 is assigned by the Headquarters Records Officer.

See Obtaining SF-135 Approval for more information.

(d): Volume
Indicate the number of standard-size boxes, each of which equals 1 cubic foot, being retired: If there are nine boxes, enter "9" in this column. If you are retiring other items, such as maps, microfilm, etc., in special-purpose boxes, indicate the quantity and dimensions of that box size. Then, coordinate with the Headquarters Records Officer to ensure that FRC has space for that box size.

(e): Agency Box Numbers
Indicate the range of box numbers being retired. Give the number of the first box, followed by a dash, and then the number of the last box. Continuing with the example above, if there are nine boxes in the accession, enter "1-9" in this column.

(f): Series Description back to top
Use the format below. Always enter the part appearing in bold typeface exactly as it appears below, inserting the inclusive dates of the records (i.e., the date range or span of the documents in the boxes) in the spaces provided:

SERIES DESCRIPTION
(With inclusive dates of records)
(f)

^PT - Records created by organization shown in Item 3 above.

These records consist of: laboratory reports, QC, miscellaneous records, samples and supporting documentation.

Inclusive dates of records are 1996-2001.

Place a caret (^) followed by a two-digit charge code at the beginning of the description of the records for Stratified Report Invoicing. Codes are:

AA - OA
AR - OAR
CF - OCFO
EC - OECA
EI - OEI
GC - OGC
IA - OITA
IG - OIG
PT - OCSPP
RD - ORD
SW - OSWER
WA - OW

If you are retiring non-paper media, such as microfilm, you must enter the correct nontextual code in the Series Description as well.

Nontextual codes for non-paper media
A list of all codes to be used for non-paper media can be found at archives.gov/frc/codes/html.

(g): Restrictions

If your records pertain to National Security Information, you must complete this section using one of the three National Security Classification codes (C=Confidential, S=Secret or T=Top Secret).

If you designate a National Security Classification, you MUST also indicate whether the records are designated as Code E (Restricted Data or Formerly Restricted Data). For further information, please see EO 12356 (http://www.archives.gov/federal-register/codification/executive-order/12356.html), later amended by EO 13292 (http://www.archives.gov/isoo/faqs/eo-12958.html).

Please note that the codes Q, R, or W (listed on the back of the SF 135) should no longer be used.

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.

(h): Disposal Authority

This column indicates the records schedule number under which you are retiring the records to FRC. On the first line of column (h), enter the words "EPA Schedule No.:" and the records schedule number.

On the second line of Column (h), enter the words "NARA Schedule No.:" followed by the number of the NARA disposition authority, located in the records schedule following the words "NARA SCHEDULE NO." It should begin NC1 or N1. Make sure the item number is included after the NARA schedule number (a, b, or c) which applies to your records, i.e. N1-412-95-2/15(a)

(i): Disposal Date

This is the date after which the records become eligible for destruction or transfer to the National Archives. The disposal date is determined by adding the retention period given in the records schedule to the end date provided in Column (f) above, then moving the disposal date to the next disposition quarter. You must give a month and year (i.e., 10/2009).

Computing Disposal Dates back to top

This table shows you how to determine the correct disposal/transfer date based on your records disposition schedule and FRC's disposal/transfer cycles. Records with a retention of five years or less must be kept onsite until their retention period is reached.

FRC Disposal and Transfer Cycles
January (1) April (4) July (7) October (10)
Permanent records are transferred to the National Archives in January (P).


Computation Examples for Fiscal Year Closure Dates
Retention Period from Schedule Closure Date of Records Disposal Date Explanation
10 Years FY 1994 10/2004 Tallying all of September, compute the disposal date from 10/1994. Ten years from 10/1994 equals a disposal date of 10/2004.
6 Years 3 Months FY 1996 1/2003 Tallying all of September, compute the disposal date from 10/1996. Six years and three months from then is Dec. 31, 2002. FRC only disposes of records every fiscal quarter, so the disposal date is 1/2003.
Permanent, Transfer to National Archives in 25 Years after Cutoff FY 1995 2021P Tallying all of September, compute the transfer date from 10/1995. Twenty-five years from then is 10/2020. However, FRC transfers records every January, so the transfer date is 2021P.


Computation Examples for Calendar Year Closure Dates
Retention Period from Schedule Closure Date of Records Disposal Date Explanation
10 Years August 1993 10/2003 Tallying all of August, compute the disposal date from Sept. 1, 1993. Ten years from then is Sept. 1, 2003. FRC does not dispose of records until October, so the disposal date is 10/2003.
15 Years April 1990 7/2005 Tallying all of April, compute the disposal date from 5/1990. Fifteen years from then is 5/2005. FRC does not dispose of records until July, so the disposal date is 7/2005.
Permanent, 20 Years after Cutoff November 1995 2016P Tallying all of November, you compute the transfer date from 10/1995. Twenty years from then is 12/2015. FRC only transfers records in January, therefore, the transfer date becomes 2016P.

(j): Location

Leave this column blank.

(k-m): Shelf Plan, Cont. Type, Auto Disp.

Leave these columns blank. They are for FRC administrative use.


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