6209.11_30
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FOREST SERVICE HANDBOOK
PACIFIC SOUTHWEST REGION (R5)
VALLEJO, CA
FSH 6209.11- RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
Supplement No.: 6209.11-2013-1
Effective Date: January 9, 2013
Duration: This supplement expires 5 years from the effective date unless superseded or removed
earlier.
Approved: RANDY MOORE
Regional Forester
Date Approved: 01/09/2013
Posting Instructions: Supplements are numbered consecutively by Handbook number and
calendar year. Post by document; remove the entire document and replace it with this supplement.
Retain this transmittal as the first page of this document.
New Document
6209.11-30
16 Pages
Superseded Document by
Issuance Number and
Effective Date
6209.11-2007-1
16 Pages
Digest:
Minor changes.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
32 - RECORDS DISPOSAL
32.11 - General Records Schedule
If the General Records Schedule (GRS) and 6209.11 sec. 41 are in conflict select the disposal date with
the longer retention.
34 - TRANSFER OF RECORDS TO FEDERAL RECORDS CENTERS (FRC’S)
34.03 - Policy
All transactions with the FRC must be processed through the Region 5 Records Manager.
34.2 - Preparing records for shipment
1. Screening. First separate permanent records from temporary records. Further segregate
these groups by records series and processing years (fiscal or calendar).
2. Containers. Use only standard size boxes when shipping records to Federal Records
Centers. Standard record boxes for legal- and letter-size files measure 14 3/4" x 12" x 9 1/2",
order number NSN 8115-00-117-8249.
4. Boxing Records.
b. By Mixed File Designations. There are only two circumstances in which you may
combine multiple series from multiple years:
(1) one or less boxes of records.
(2) the office is closing.
5. Numbering Cartons. See exhibit 01.
9. Pickup. Boxes must be shipped within 90 days (120 days for overseas shipments) from the
date the SF 135 was approved. Outstanding accessions not received within the time frame may
be cancelled, and the SF 135 will be returned to the agency. When shipping records, please
make sure the boxes are kept in numbered order. Trucks should be loaded in reverse order so
the highest box number will come off the truck first.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.2 Exhibit 01
1. Please mark each box with a wide felt tip marker as illustrated on the reverse side of
this letter before shipping to the FRC. Include the returned copy of the SF 135 and
a detailed folder list of each box in box #1 of the accession.
2. When tape is used to seal the boxes, do not write any accession/box/location numbers on the
tape or obscure these numbers with the tape. If boxes are being shipped less than 50 miles by
government carrier, box tops may be interleafed instead of taped.
3. Please remember to use the standard box for retiring records.
NSN 8115-00-117-8249 14-3/4" X 12" x 9-1/2" Boxes can be ordered through the
Federal Supply Warehouse, Stockton, CA (209) 946-6055. Any other size must be approved
by the Federal Records Center.
4. Boxes must be shipped within 90 days (120 days for overseas shipments) from the
date the SF 135 was approved. Outstanding accessions not received within the time frame may
be cancelled, and the SF 135 will be returned to the agency. When shipping records, please
make sure the boxes are kept in agency number order. Trucks should be loaded in reverse
order so the highest agency box number will come off the truck first.
6. Shipments of 100 or more boxes must be scheduled in advance with the
loading dock, call (650) 238-3494. Remember, it is the responsibility of Bay Area agencies
to off-load their records in order at the Records Center.
For further information, please contact the Transfer & Disposition Team on (650) 238-3475.
a. San Bruno FRC . Shipments of 100 or more boxes must be scheduled 72 hours in
advance by calling (650) 238-3494 or emailing sanbruno.transfer@nara.gov.
b. Riverside: All shipments regardless of size must have prior approval. Call 951-9562065 or send an email to perris.transfer@nara.gov
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.2 Exhibit 01 -- Continued
Packing the Boxes
(Keep enough space in the box so you can easily put your hand in to pull out a file.)
Marking the Boxes
(Use a wide tip black marker and write the numbers at least an inch high.)
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.2 Exhibit 01 -- Continued
8/50
9/50
10/50
5/50
6/50
7/50
1/50
2/50
3/50
4/50
Top view of bottom row.
17/50
18/50
19/50
20/50
14/50
15/50
16/50
11/50
12/50
13/50
Top view of second row.
INSTRUCTIONS
1. Face the boxes as shown in diagram.
2. Stacking pattern for palletized records is 10 standard records center boxes per row, 5 rows per pallet,
50 boxes per pallet. Box 1 is in the bottom row and box 50 is in the top row.
3. Four boxes on each row are placed perpendicular to the rest of the boxes in that row.
4. The numbered end of the box should face out.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.21a - Exhibit 01 Standard Form 135
Block 1: (Northern California customers) National Archives and Records Administration (Pacific
Region), 1000 Commodore Drive, San Bruno, CA 94066-2350
(Southern California customers) National Archives and Records Administration (Pacific Region),
23123 Cajalco Road, Perris CA 92570.
Block 2: Joseph J. Klucarich, Forest Service R5 Records Manager, 707-582-8825
Block 3. Name and Telephone Number of the person who prepared the records for shipment.
Block 4: Leave Blank. (Completed by FRC when boxes are shelved.)
Block 5 (a): Attn: Your Name, USDA Forest Service, Address Line 1, Address Line 2, Address Line
3
Block 5 (b): Attn: Joseph Klucarich, USDA Forest Service R5, 1323 Club Drive, Vallejo CA94592
NOTE: All records being shipped or retrieved from a FRC must be routed through the R5 Records
Manager for signature. The FRC will return the form to the R5 Records Manager's address in Block 5
(b). The R5 Records Manager will send a copy of the form to the records owner or business unit
manager. Complete address in Block 5 as follows:
Attn: Your Name
USDA Forest Service
Address line 1
Address line 2
Address line 3
Attn: Joseph J. Klucarich
USDA. Forest Service
1323 Club Drive
Vallejo, CA 94592
Block 6a: Identifies the agency (095 - FS)
Block 6b: Fiscal Year.
Block 6c: Leave Blank.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.21a - Exhibit 01 Standard Form 135--Continued
Block 6d: Volume of shipment in cubic feet. A single number representing the entire number of
boxes in the accession, i.e. 25 boxes are shown as 25, not 1-25. (A standard box is 1 cubic
foot.)
Block 6e: Number of boxes shipped (regardless of size), i.e. 1-25.
Block 6f: Items to go in this column:
Series description of the records being shipped.as found in the 6209.11 Section 41. (Do not
include sensitive information in this block.)
The year the records closed.
The statement “These records are restricted to USDA Forest personnel only.”
The address of the office shipping the records.
Block 6g: Enter code to show a restriction on use of the records. Example: FS records are restricted
use, therefore a "R" would be inserted in this block. Other codes and restrictions as follows:
Q - Q security classification
T - Top Secret security classification
S - Secret security classification
C - Confidential security classification
R - Restricted use - witness disposal not required
W - Restricted use - witness
N - No restrictions
Block 6h: Cite General Records Schedule or 6209.11 sec. 41, and item number. Include a statement if
the records are frozen from destruction.
Block 6i: The Disposal date is computed by the customer, based on the General Records Schedule or
section 41,
Block 6h. Enter month and year in which records may be destroyed.
The Records Centers disposals are done on a quarterly basis (Jan, Apr, July, and Oct). The
disposal date would be advanced to the beginning of the next quarter
The records owner will email the SF-135 to the R5 Records Manager at jklucarich@fs.fed.us.
The R5 Records Manager will review the form for completeness and accuracy and) and then send as an
email attachment to FRC.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
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34.21a - Exhibit 01 Standard Form 135--Continued
When finished processing the FRC will email the SF-135 back to the R5 RECORDS MANAGER,
stamped "APPROVED FOR TRANSFER," and will in most cases contain location numbers.
The R5 Records Manager will file one copy by accession number and if requested send one copy to the
records owner.
The records owner has 90 calendar days from FRC's approval date to ship the records to FRC. If
records are not shipped within the 90-day window, the process will be started over. If an
uncontrollable delay occurs, the R5 Records Manager may request an extension.
The records owner will write the 9-digit accession number on each box in the upper left-hand corner.
Number boxes in upper right-hand corner, i.e. 1 of 10, 2 of 10, etc. Accession number and box number
must be at least 1 1/2 inches high and written directly onto the box with a black ink felt-tip marker. Do
not use labels. Do not place sealing tape over accession or box numbers. Boxes must be fully packed,
but not "overpacked." Do not add additional material on the bottom, side or top of the records in the
box. Do not place records with different retention periods in the same box or accession. Loose
documents must be in labeled folders.
The records owner will place a copy of SF-135 with the attached box/inventory listing in BOX 1 prior
to shipping.
The records owner will retain one copy of SF-135 with attached box/inventory listing for his/her
records and for future retrieval of files/boxes from Federal Records Center
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.21a - Exhibit 01 Standard Form 135--Continued
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R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
34.21a - Exhibit 01 Standard Form 135--Continued
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R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
36 - REQUESTING RECORDS FROM FRC
1. All requests to retrieve records from the Federal Records Center must be approved by and
routed through the R5 Records Manager.
2. Federal Records Center Optional Form 11 is used to retrieve records and to return records to
FRC. Use a separate OF-11 for each folder or box requested.
3. When making reference requests, agencies should always furnish the accession number,
agency box number.
4. Reference requests should be marked indicating whether the records are being temporarily
or permanently withdrawn from the records center. A temporary withdrawal indicates the
files will be returned to the agency for review but no actions will be taken to reopen the file.
The authorized disposition of the files will remain the same and they will be returned to the
records center for refiling in the same accession. Permanent withdrawals indicate files will
be reopened due to renewed activity or the agency has a long-term reference need for the
files. Permanent withdrawals will not be returned to the records center for refile in the
original accession.
5. Justification for continued retention must be submitted in writing indicating the definite
need (audit, legal or other pertinent issues) and the estimated duration of continued
retention of the records. The records owner will prepare an Optional Form (OF)-11,
Reference Request-Federal Records Center, to request records from the FRC. This form
will be accomplished for either temporary loan or permanent withdrawal.
6. A separate OF-11 should be completed for each non-consecutive item requested. For
example, a request for Boxes 1 through 20 can be submitted on one OF-11, but for boxes 1,
7, and 15, a separate OF-11 for each is required.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
36 - Exhibit 01 Optional Form 11
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R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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CHAPTER 30 - RECORDS DISPOSITION
36 - Exhibit 01 Optional Form 11-- Continued
Section I: To be completed by requester. The records owner will identify the box and accession
number of the record needed from the box/inventory list they attached to the SF-135. Most records
should be retrieved as "Temporary Loan of Record(s)" and subsequently re-shelved in the original
accession box when returned.
The records owner will include delivery address and contact name in the Section I, REMARKS field.
The documents are not to be returned to the R5 Records Manager, but to the person that originated the
OF-11. The records owner will notify the R5 Records Manager via email when the documents are
received. In the event the records are not received, the records owner will contact the R5 Records
Manager to follow-up with the FRC.
The records owner will also annotate any special instructions, i.e. Expedite, in the REMARKS field.
The records owner will forward the OF-11 to R5 Records Manager via email to: jklucarich@fs.fed.us
The R5 Records Manager will review the OF-11 for completeness and accuracy.
Section II: Completed by FRC. The FRC will mark the left-hand column with the appropriate
response when files and/or folders cannot be located.
Section II, REMARKS: Completed by R5 Records Manager to annotate special instructions to the
Federal Records Center, i.e. EXPEDITE PROCESSING REQUESTED. FedEx # 0200-0311-1,
PRIORITY OVERNIGHT SERVICE REQUESTED. Other examples include: 2nd Request,
Customer pickup, or FRC delivery arrangements.
Section III: Completed by the records owner:
Name of Requester: Your Name
Telephone Number: Your Telephone Number.
Address: Your Address
R5 Records Manager will associate a copy of the OF-11 with the SF-135 to identify that a record/file
has been retrieved.
R5 Records Manager will file the OF-11 in the OF-11 folder.
36.3 - RETURNING Records to FRC
Documents that were retrieved on a temporary basis must be returned to the FRC.
When returning records to the records center for refile, be certain they are clearly identified as refiles.
When an entire box has been withdrawn, do not obscure the original box markings upon its return.
Contents of entire box refiles are assumed to be the same as when withdrawn; contents are not checked
before refiling the box. Do not add or delete records in a box unless properly documented. An
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/9/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or remove earlier.
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individual folder refile should normally be returned for refile accompanied by the original request form
containing necessary identifying data. To further insure availability of this information essential to
refiling, it is records center policy to transcribe the location data on the folder when it is pulled. If you
should find it necessary to replace damaged folders or boxes prior to return to the records center for
refiling, you must copy all original markings and writing from the original folder or box onto the new.
The following information is needed to return a record/file:
Attach the OF-11 that was used to borrow the file/box to the file you are returning and mail the
file/box back to FRC.
Send an email notification to the R5 RECORDS MANAGER referring the document number and
stating that the item has been returned to FRC.
37 - DESTRUCTION OF RECORDS BY FRC
Agencies are notified of the pending disposal of records via NA Form 13001, Notice of Intent to
Destroy Records. This form is sent by certified mail to the R5 RECORDS MANAGER 90 days prior
to scheduled destruction. An agency employee (R5 RECORDS MANAGER) must sign the certified
receipt indicating the NA 13001 form was received by the agency. FRC will only destroy records that
they’ve received written concurrence on.
These documents will be scanned and sent them to you as an email attachment. Review the NA-13001s
and see if any of the accessions belong to your office.
If the accession/s belongs to you, send me a reply email indicating whether or not you agree with the
disposal.
See exhibit 01 for tables Disposal Date tables. To determine the disposal date of the record/s you must
first know the records series type and whether it is a Fiscal Year or Calendar Year Record. Place your
left index finger on the closing date in the far left column, and your right index finger on the
designated retention period in the top row. Now move both fingers toward the center of the table until
they meet. This is your disposal date. You have tables to cover both fiscal and calendar year
documents.
R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/##/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or removed earlier.
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
37 - Exhibit 01
Fiscal Year
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R5 SUPPLEMENT 6209.11-2013-1
EFFECTIVE DATE: 1/##/2013
DURATION: This supplement expires 5 years from the effective date unless superseded or removed earlier.
FSH 6209.11 - RECORDS MANAGEMENT HANDBOOK
CHAPTER 30 - RECORDS DISPOSITION
36 - Exhibit 01 -- Continued
Calendar Year
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