Top 5 Reasons Why NA-1005 Forms for Capstone Email Are Rejected for Registration

We have a few tips to assist agencies as they prepare an NA-1005 for approval to use GRS 6.1 and to ensure the process goes quickly and smoothly. The following list contains the top 5 reasons a NA-1005 might be returned for revisions after being submitted for registration.

  1. Not using the most recent form. The NA-1005 form has been updated a few times since its original issuance. To make sure you are using the correct form, look at the bottom right hand corner of the form for the date. The current form is dated 09-16.
  2. Not submitting one form per Record Group. NA-1005 forms should be submitted by Record Group (RG) number – one form per RG. For instance, ‘Agency A’ (RG 601) administers the programs of ‘Agency C’ (RG 604). Despite this interconnected nature, Agency A still needs to submit one form for RG 601 and another form for RG 604.
  3. Providing incomplete information. Make sure that all fields are filled out completely and all checkboxes are checked on the form. The most common omissions are not filling out the cutoff instruction field, or not checking the classified email question.
  4. Missing signatures. Both your agency Records Officer and your Senior Agency Official for Records Management (SAORM) must sign the form. Also, the approval check box must be checked and the date of signature entered. (A reminder – a digital signature on the form will not be accepted by NARA. Name, date and approval check box marked is sufficient.)
  5. Providing a URL to an intranet version of organizational charts. Organization charts are required for the review process. Providing a URL to an intranet version is not sufficient as the appraisal archivist cannot access it.
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