Reviewing Transfer Requests in ERA for the Annual Move
An Annual Move Transfer is a transfer of permanent records from temporary storage in a Federal Records Center (FRC) to the physical and legal custody of the National Archives. In general, the National Archives will generate the Transfer Request (TR) in the Electronic Records Archives (ERA) for permanent records stored at an FRC. These are for records that are eligible for accessioning into the National Archives. The TR will be drafted by NARA for agencies in October of the year prior to eligibility. To submit an Annual Move transfer, you must review, and update if needed, then submit the drafted TR in ERA.
ERA system requirements are further explained in the ERA User Manual. Please note that ERA is an unclassified system.
Once a TR is submitted an Archival unit will review it for approval, and a member of our staff will contact you if needed. If you have questions about the Annual Move process, please contact your accessioning archivist or Annual.Move@nara.gov.
The Annual Move Cycle
The figure below depicts the workflow for Annual Move Transfer Requests within ERA 2.0. It shows the business process step-by-step from start to finish with key activities and responsible end users. For more information, please contact Annual.Move@nara.gov.
Note: * The Approving Official may reassign the Transfer Request to the Transferring Official
Note: ** This process happens outside of ERA 2.0
The figure above shows the workflow for an Annual Move Transfer Request. Prior to this point in the process agencies will receive a list of transfers eligible for the next Fiscal Year’s Annual Move called the candidate list. See Agencies guide to candidate list for further information.
Step 1. The National Archives creates Draft Transfers Requests of each eligible transfer.
Step 2. The Approving Official reviews and proposes the Draft Transfer Request (The Approving Official may reassign the Transfer Request to the Transferring Official).
Step 3. The Transferring Official reviews and submits the Draft Transfer Request.
Step 4. The Archival Unit makes an approval or return to Approving Official decision.
Step 5. If approved, the NARA staff can physically send the records to the Archives (This process happens outside of ERA 2.0).
Step 6. The Archival Unit will accept final custody and the Transfer Request is completed.
The National Archives generates the Transfer Request for eligible records on or around October, 1st.
“Eligible Transfers” include records permanent and eligible by date, according to ARCIS, the Federal Records Center information system. Additionally, transfers that are overdue from past moves are automatically included in 5-year increments (e.g. 2017, 2012, 2007, 2002, etc. for the FY 2017 Annual Move). This process is known as the “five-year sweeps” which includes records twenty years past disposition.
Agencies should take action on the Transfer Request generated by the National Archives within the year they are generated.
Transfer Requests which are submitted late are reviewed for approval on a rolling basis. The precise timing of approval and communications for shipping late Transfer Requests are subject to available resources.
If agencies do not take action on Transfer Requests in the status of “draft” or “submitted for agency approval” they will be deleted in 15 months. See NARA Bulletin 2014-05 for more information.
For more guidance on updating the Transfer Request, see the ERA 2.0 job aid “Create a Transfer Request” or Part II Section B the ERA 2.0 Agency User Manual.
Annual Move Transfer Request Tips:
Agencies should review all fields on the Transfer Request forms to confirm that the information is correct. However, there are a few specific fields relevant to the Annual Move Transfer Request forms that we would like to highlight here.
Please note that information in ERA for Annual Move Transfer Request forms is derived from information in ARCIS. If information in ERA is incorrect, it is likely that the ARCIS information is also incorrect. If you note any substantive errors in ERA, particularly relating to the Disposition Authority, Inclusive End Date, or Classification, please notify your Accessioning Archivist or Annual.Move@nara.gov.
General Information Tab:
| ERA Transfer Request Section | ERA Transfer Request Field(s) | Agency Action |
|---|---|---|
| General Information | Disposition Authority Number |
Ensure that this is correct and applies to the records being transferred. If the schedule item is incorrect, please notify your NARA representative before taking any further action. |
| General Information | Major/Minor Subdivision | These fields should contain information about the offices which created the records. Major subdivision refers to the broad organizational component that maintained the records, while minor subdivision refers to the specific office or unit. These fields should not be used to capture information about the transferring records management office. |
| General Information | Inclusive Dates | Ensure that dates apply to records being transferred, if not, please edit and notify your NARA representative. If the updated inclusive dates impact the record’s eligibility for transfer, do not propose the Transfer Request to NARA. |
| Access Restriction | All fields under the section |
Review this section very carefully. The data in these fields is derived from ARCIS but may be incomplete or require updating. It is essential that this information is correct. Do not change the Security Classification level until you notify your NARA representative. Note: It is the responsibility of the agency to ensure that all access restriction information is complete and accurate, including the Privacy Act and all FOIA exemptions. If the records contain Sensitive But Unclassified (SBU) information, please apply the appropriate FOIA Restriction, and choose from FOIA (b)(2) through FOIA (b)(9). Note: The March 2011 Supreme Court decision narrowed the scope and application of FOIA (b)(2). Note: If the records are classified or have been declassified in full, please attach the NA-14130. Note: If the records are subject to a statutory restriction or special marking, please update the relevant fields. |
| Access Restriction | Privacy Act Notice |
If records are subject to the Privacy Act and all fields are completed, you do not need to provide a copy of the System of Records Notice (SORN). When records are part of a Privacy Act System of Records, Access Restriction is “Restricted-Fully” and Specific Access Restriction is “FOIA (b)(6) Personal Information.” |
| Use Restriction | All fields under the section |
There is no data in ARCIS regarding use restrictions. The default for the field will be “Undetermined “ and there will be a default Use Restriction Note message.
If you select anything other than Unrestricted, the Use Restriction Note field is required.
This section of the Transfer Request refers to copyright, donor, trademark, or other restrictions on how researchers may reproduce the records. Use restrictions do not impact researcher access to the records. |
| Records Type | General Records Type | Only one selection will be derived from ARCIS data, but if additional records types are known, they should be added. |
Transfer Details Tab:
| ERA Transfer Request Section | ERA Transfer Request Field(s) | Agency Action |
|---|---|---|
| Destination Physical Location of Records | Destination Custodial Unit | If you believe this information is incorrect, do not change it. Do not Submit/Propose to NARA. Please notify your NARA representative. |
| List of Containers | Number of Containers & Container Type | Ensure that the Number of Containers & Container Type field data is correct. |
Contact Information Tab:
| ERA Transfer Request Section | ERA Transfer Request Field(s) | Agency Action |
|---|---|---|
| Transferring Agency Official | Agency | This data populates from the agency associated with the records. Please verify the data is correct. |
| Other Contacts | Other Contacts | Other Contacts (Agency/NARA): Do not delete information from these fields. |
Attachments:
In general, additional attachments are not required for unclassified records proposed for inclusion in the Annual Move. However, if you have a finding aid or other documentation that you believe would facilitate researcher access to the records, we ask that you upload it to the “Attachments” tab.
For classified or declassified records, the NA-14130 is required and should be uploaded to the "Attachments" tab.
Analog records -- NA-14130.pdf
Electronic and special media digital records -- NA-14130 (b)
Review and Physical Transfer:
Second Quarter Annual Move:
Agencies generally have until December 1 to review the Transfer Request forms and propose them to the National Archives for inclusion in the second quarter Annual Move.
The National Archives regularly searches for newly submitted Transfer Requests in ERA. An accessioning archivist reviews each Transfer Request and finding aid and will contact you with any questions. If necessary, the National Archives may return the Transfer Request form to Draft status for additional agency action.
Once any questions are resolved, the National Archives will approve the transfer by updating the status of the Transfer Request to "Ready for No More Shipments in ERA" and to "Accession Approved" in ARCIS.
Records approved for inclusion in the second quarter Annual Move will be physically moved or in-place accessioned by the end of the second quarter.
Fourth Quarter Annual Move:
Agencies that propose records for transfer after December 1 will have until June 1 to propose records for review and potential inclusion in the fourth quarter Annual Move.
Records approved for the fourth quarter transfer are generally moved or accessioned in place in August or September.
If you propose a Transfer Request after June 1, or if we do not complete the review for the fourth quarter Annual Move, the Transfer Request will roll forward into the next year’s move (e.g., 2017 TRs proposed after June 1 would roll forward into the 2018 review queue).
If you have questions about the Annual Move cycle, please contact your accessioning archivist or Annual.Move@nara.gov
Post-Transfer Actions:
After physically receiving the records, the National Archives will conduct a quality assurance review to confirm that we have received all records approved for transfer. If any records approved for transfer are not received, we may contact you for additional information.
After we complete the quality assurance review and discuss any outstanding issues with the agency, the National Archives will take several actions in the ERA system to capture updates to the transfer documentation and complete the accessioning process:
- Ready for Physical Custody Decision: This Transfer Request status indicates that the records have been received, but on-site review is not yet complete
- Physical Custody Accepted: This Transfer Request status indicates that the National Archives has accepted physical custody of the records – this is the terminal status for the Transfer Request
Once the Transfer Request is placed in Physical Custody Accepted status, the ERA system creates a Legal Transfer Instrument (LTI) for the records. The National Archives accepts legal custody of records by placing the Legal Transfer Instrument in Legal Custody Accepted status.
Updated: May 15, 2023