APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

This Schedule provides disposition instructions for those

records relating to the legal functions of the Department. Legal

functions are the main responsibility of the Office of General

Counsel, the HUD Board of Contract Appeals and the Office of the

Administrative Law Judge. The Office of General Counsel provides

legal advice, opinions and services regarding all programs, policies

and activities of the Department. The HUD Board of Contract Appeals

issues final decisions for the Secretary in all contract disputes

which are appealable to the Court of Claims up to 6 years after the

date of issue. The Board also issues decisions in other

administrative appeals that become final 30 days after issue. The

Administrative Law Judge issues decisions in administrative appeal

areas where the right to a hearing is granted by statute or

agreement.

This Schedule covers legal records kept in Field Offices as

well as in Headquarters. Some HUD offices other than those listed

above may also have records relating to a legal activity and those

records are also covered by this Schedule. The Schedule also covers

legal records created by HUD\'s predecessor agencies.

Item

No. Description of Records Disposition

1\. Proposed and final rules and

notices. Consists of material

published in the Federal Register.

Final rules have the effect of law

and are codified in the Code of

Federal Regulations (CFR). Rules

are also known as regulations.

a\. Case history files. Official

record copy. Includes drafts

showing development of rule or

notice, clearance records, public

comments, signed documents. Case

history files from 1970 to present

are maintained in Headquarters

Office of General Counsel. Case

history files prior to 1970 are

maintained in originating program

offices.

\(1\) Public docket file. Consists Close file after the

of public comments received final rules become

on proposed rules, effective and place

environmental impact findings, in inactive file.

inflationary impact findings, Retire to Federal

Records Center 3

years after close of

1 10/88

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

or findings on need for file or when volume

regulatory analysis, and warrants. Destroy 20

signed copies of the proposed years after close of

and final rules in the same file. (NARA Job

form as sent to the Federal NC1-207-79-11,

Register for publication. item 1a(1))

\(2\) Internal file. Consists of Close file after the

copies of proposed and final final rules become

rules as sent through internal effective and place

clearance process, clearance in inactive file.

records, internal HUD comments Retire to Federal

on the proposed and final Records Center 3

rules, and notes from internal years after close of

HUD meetings held to discuss file or when volume

the proposed or final rules. warrants. Destroy 10

years after close of

file. (NARA Job

NC1-207-79-11,

item 1a(2))

\(3\) General notice files. Also Close file after

called N-series docket files. notice published in

Consist of copies of general the Federal Register

notices as sent through and place in inactive

clearance process, clearance file. Retire to

records, internal HUD comments Federal Records

on general notices and signed Center 3 years after

copies of general notices in close of file or when

the same form as sent to the volume warrants.

Federal Register for Destroy 5 years

publication. Includes notices after close of file.

of delegations of authority. (NARA Job

NC1-207-79-11,

item 1a(3))

b\. Working papers and background Destroy 6 months

material not significant enough after date the final

to be a part of the case history regulation or notice

files. is published in the

Federal Register.

(NARA Job

NC1-207-79-11,

item 1b)

c\. Extra copies of the clearance Destroy when 3 years

package for the regulation or old or when no longer

notice which are distributed needed for reference

for concurrent clearances. whichever is earlier.

Includes the comments given to (NARA Job

NC1-207-79-11,

item 1c)

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RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

clearance point for preparation

of a consolidated response. Does

not include those parts of the

package and responses which become

part of the case history file.

d\. Printed Code of Federal Destroy when later

Regulations (CFR) volumes. Title revised CFR volume is

24 CFR contains Housing and Urban received. (NARA Job

Development regulations. Each NC1-207-79-11,

volume of the CFR is revised at item 1d)

least once each calendar year.

Title 24 CFR is updated as of

April 1 each year.

e\. Printed daily issues of the

Federal Register. The CFR is

kept up-to-date by the individual

issues of the Federal Register.

The two publications must be used

together to determine the latest

version of any given rule. A

revised CFR volume incorporates

the final regulations on the same

subject area which were published

in the Federal Register since the

last revision of that CFR volume.

Title 24 of the CFR revised as of

April 1, 1979, will contain all

final Housing and Urban Development

regulations published in the Federal

Register since April 1, 1978.

\(1\) Issues containing notices Keep issues printed

or proposed or final since the revision

regulations related to the date of the current

same subject area as the CFR volume. When a

CFR volumes being later revised CFR

maintained. volume is received,

destroy all issues of

the daily Federal

Register printed

before the revision

date of the CFR

volume. (NARA Job

NC1-207-79-11,

item 1e(1))

3 10/88

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

\(2\) All other issues. Destroy after review

and finding that the

issue does not

contain any notices

or proposed or final

regulations related

to the same subject

area as the CFR

volumes being

maintained. (NARA

Job NC1-207-79-11,

item 1e(2))

f\. Printed or processed copies Destroy when

of individual proposed or rescinded,

final regulations or notices superseded,

as published in the Federal obsolete or no

Register. longer needed for

reference. (NARA Job

NC1-207-79-11, item

1f)

2\. Delegations of authority files.

Include redelegations and

revocations or withdrawals of

authority.

a\. Each separate delegation.

\(1\) Record copy of delegations Use the disposition

published in the Federal instruction for item

Register. Includes 1a(3) of this

background material and Schedule. (NARA Job

record of concurrences or NC1-207-79-11,

clearances. These files are item 2a(1))

kept by the Headquarters Office

of General Counsel as part of

the general notice files (see

item 1a(3) of this Schedule).

\(2\) Record copy of delegations Destroy when 6 years

not published in the Federal old. (NARA Job

Register. Includes background NC1-207-79-11,

material. These files are item 2a(2))

kept by the originating

office.

\(3\) All other copies. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NC1-207-79-11,

item 2a(3))

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APPENDIX 2

2225.6 REV-1

APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

b\. Printed book of current delega-

tions. Compiled by Headquarters

Office of General Counsel. This

book is distributed to certain

Headquarters and Field Offices.

It is updated quarterly.

\(1\) Master set kept by the Head-

quarters Office of General

Counsel unit which compiles

the book.

\(a\) Delegations published Destroy when superseded or

in the Federal Register. obsolete. (NARA Job NC1-207-

79-11, item 2b(1) (a))

\(b\) Unpublished delegations. Place superseded or rescinded

delegations in inactive file.

Destroy 6 years after end of

calendar year in which delega-

tion is superseded or rescinded.

(NARA Job NC1-207-79-11,

item 2b(1) (b))

\(2\) All other sets. Destroy when superseded,

obsolete or no longer needed

for reference. (NARA Job

NC1-207-79-11, item 2b(2))

3\. Tort claims case files. Consist Destroy 3 years after case is

of records concerning claims for closed. (NARA Job NC1-207-

damages against the United States 79-11, item 3)

for personal injury or death or

loss of property caused by a

Departmental employee. Files

include claim form, evidence,

investigation statements,

decision and related

correspondence.

5 10/88

2225.6 REV-1

APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

4\. Employees\' personal property claims Destroy 3 years after case is

case files. Consist of records closed. (NARA Job NC1-207-

concerning claims filed by HUD 79-11, item 4)

employees for loss or damage to

personal property connected

with Government service.

5\. Official Litigation Case Files.

Each file contains all documents

and correspondence pertaining to

any case in which a Department

official or employee is a party,

from filing of complaint until

entry of final judgment. Includes

cases in which the Department

files as a friend of the court but

is not actually a party.

a\. Official litigation case files Close file and retire to

specifically identified by a Federal Records Center after

Headquarters Associate General entry of order or last appeal

Counsel or a Regional Counsel as (final judgment).

having unusual significance for Destroy 7 years after entry of

the Department. Such cases will order or last appeal (final

be segregated by office person- judgment). (NARA Job NC1-

nel prior to retirement to the 207-79-11, item 5a)

Federal Records Center.

b\. All other official litigation Close file after entry of final

case files. judgment. Retire to Federal

Records Center 1 year after

entry of final judgment.

Destroy 4 years after entry of

final judgment. (NARA Job NC1-

207-79-11, item 5b)

c\. Unofficial reference copies of Destroy when superseded or

litigation documents. obsolete, or when no longer

needed for administrative or

reference use. Do not retire

to Federal Records Center.

(NARA Job NC1-207-79-11,

item 5c)

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APPENDIX 2

2225.6 REV-1 CHG-24

APPENDIX 2

RECORDS DISPOSITION SCHEDULE

LEGAL RECORDS

Item

No. Description of Records Disposition

6\. Administrative adjudication case files.

Consists of files on cases docketed for

hearing and resolution by the Office of

Administrative Law Judges and the Board

of Contract Appeals. Includes but is not

limited to cases under: Contract Appeals;

HUD-IRS Administrative Offsets; Mortgagee

Review Board; Fair Housing; Program Fraud;

Debt Collection; Community Development

Block Grant; Mobile Home Construction and

Safety Standards; Interstate Land Sales;

Debarment, Suspension and Ineligibility of

Contractors and Grantees.

a\. Official administrative Close file after entry

adjudication files kept by the of final order or decision.

Office of Administrative Law Retire to Federal Records

Judges and the Board of Contract Center 2 years after entry

Appeals. Each file contains all of final order or decision,

documents, exhibits, transcripts or when volume warrants.

of hearings, decisions, orders Destroy 8 years after entry

and correspondence pertaining to of final order or decision.

each case from a charge, complaint (NARA Job N1-207-94-1, item

or notice of appeal to final 6a)

decision or order.

b\. Files kept by the Office of Destroy 6 years after entry

General Counsel on administra- of final order or decision.

tive adjudications. May include (NARA Job N1-207-94-1, item

documents involving actions or 6b)

decisions which led to a charge,

complaint or appeal and hearing,

as well as copies of documents

in the official file (see item 6a

of this Schedule).

7\. Legislative history files. Consist Destroy when superseded,

of printed copies of the basic legis- obsolete or no longer

lation under which the Department needed for reference.

Includes copies of Congress- These files may not be

ional hearings, bills and amend- retired to a Federal Rec-

ments, Public Laws and excerpts from ords Center (NARA Job NC1-

207-79-11, item 7)

7 8/96

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

the Congressional Record. The record

set of legislative history files

for all Federal agencies is kept by the

Office of Management and Budget. All

printed sets in HUD are considered to

be reference material only. This

includes the legislative history files

in the Office of the Associate General

Counsel for Legislation and Regulations.

8\. HUD legislative proposals files.

Consist of proposed legislation

developed by HUD and related

correspondence and other documents.

May include background material,

drafts, reviews, minutes of meetings,

and position papers.

a\. Master files kept by the Office Close file at end of

of the Associate General Counsel fiscal year in which

for Legislation and Regulations. legislation is

enacted or dropped.

Destroy 15 years

after close of file.

(NARA Job

NC1-207-79-11,

item 8a)

b\. Files kept by other HUD offices Close file at end of

which initiate or review HUD\'s fiscal year in which

legislative proposals. legislation is

enacted or dropped.

Destroy 6 years after

close of file. (NARA

Job NC1-207-79-11,

item 8b)

9\. Legislative reports files. Consist

of files of reports to Congress and

the Office of Management and Budget

on legislative proposals affecting

HUD, but developed by Congress or

other Federal agencies. Also,

consist of files on oversight

reports to Congress and the Office

of Management and Budget on HUD

program activities. Include

correspondence and other related

documents.

10/88 8

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

a\. Report files on legislative

proposals affecting HUD, but

developed by Congress or other

Federal agencies.

\(1\) Master files kept by the Close file at end of

Office of the Associate fiscal year in which

General Counsel for legislation is

Legislation and Regulations. enacted or dropped.

Destroy 5 years after

close of file. (NARA

Job NC1-207-82-8,

item 9a(1))

\(2\) Files kept by other HUD Close file at end of

offices which reviewed and fiscal year in which

commented on the proposed legislation is

legislation enacted or dropped.

Destroy 2 years after

close of file. (NARA

Job NC1-207-82-8,

item 9a(2))

b\. Oversight report files on HUD

program activities.

\(1\) Master files kept by the Close file at end of

Office of the Associate fiscal year in which

General Counsel for reports are prepared.

Legislation and Regulations. Destroy 3 years after

close of file. (NARA

Job NC1-207-82-8,

item 9b(1))

\(2\) Files kept by other HUD Close file at end of

offices submitting feeder fiscal year in which

reports to the Office of the reports are prepared.

Associate General Counsel for Destroy 2 years after

Legislation and Regulations. close of file. (NARA

Job NC1-207-82-8,

item 9b(2))

10\. Legal opinions files. Consist of

correspondence and related documents

providing legal opinions,

interpretations, rulings and advice

on HUD programs and operations to HUD

officials, HUD clientele, other

Federal agencies, States, Congress

and the general public.

9 10/88

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

a\. Record copies of legal opinions, Destroy 3 years after

interpretations, rulings or advice end of Annual

concerning HUD\'s relationship with Contributions

the public housing agencies Contract period.

(PHA\'s). Filed by PHA. (NARA Job

NC1-207-79-11,

item 10a)

b\. Record copies of legal opinions,

interpretations, rulings or advice

not covered in Item 10a.

\(1\) Considered to be significant Place in inactive

or precedent setting. file when superseded

Includes background material. or obsolete. Destroy

Kept by the Office of General 3 years after being

Counsel (OGC) unit which placed in inactive

issued the opinion, file. (NARA Job

interpretation, ruling or NC1-207-79-11,

advice. item 10b(1))

\(2\) Not considered to be Destroy when 5 years

significant or precedent old. (NARA Job

setting. Includes background NC1-207-79-11,

material kept by OGC unit item 10b(2))

which issued the opinion,

interpretation, ruling or

advice.

c\. Book of legal opinions compiled,

printed and distributed annually.

Only those legal opinions

considered to be significant are

included in the book. Attachments

to the opinions are not always

included.

\(1\) Master set kept by OGC unit Permanent. Offer to

which prepares the book. NARA when 12 years

Those editions prior to 1976 old. For those

have separate card indexes. volumes having

separate card

indexes, offer the

indexes to NARA with

the corresponding

volumes. (NARA Job

NC1-207-79-11,item

10c(1))

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

\(2\) All other sets. Destroy when

superseded, obsolete

or no longer needed

for reference. These

files may not be

retired to a Federal

Records Center.

(NARA Job

NC1-207-79-11,

item 10c(2))

d\. Memoranda on recent legal

developments of interest to

the Field. Contain summaries

of the developments. Copies

of the related opinions or

other documents may be

attached. Prepared monthly

from weekly reports submitted

by all Associate General Counsels.

Distributed to all Field and

Headquarters attorneys.

\(1\) Master set kept by OGC Destroy when 6 years

unit which prepares the old. (NARA Job

memoranda. NC1-207-79-11,

item 10d(1))

\(2\) All other sets. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NC1-207-79-11,

item 10d(2))

e\. All other nonrecord copies Destroy when

of legal opinions, superseded,

interpretations, rulings or obsolete or no longer

advice. needed for reference.

(NARA Job

NC1-207-79-11,

item 10e)

11\. Legal activity report files.

Consist of weekly reports

prepared by each Associate

General Counsel on the activities

of his/her office to keep the

General Counsel informed. Also

used to prepare the memoranda

on recent legal developments

(see item 10d of this Schedule).

11 10/88

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

a\. Record copies kept in office Destroy when 2 years

of each Associate General old or when no longer

Counsel. needed for reference,

whichever is earlier.

(NARA Job

NC1-207-79-11,

item 11a)

b\. Originals submitted to the Destroy after

General Counsel. issuance of

memorandum of recent

developments which

reflects those

reports. (NARA Job

NC1-207-79-11,

item 11b)

12\. Legal reference files. Consist of Destroy when

extra (nonrecord) copies of superseded,

legislation, opinions, litigation, obsolete or no longer

court decisions, issuances, needed for reference.

publications, reports, speeches Reference files may

and other material used for not be retired to a

reference purposes, regardless of Federal Records

source. Includes informational Center. (NARA Job

copies of correspondence. Official NC1-207-79-11,

record copies of such documents item 12)

are covered elsewhere in this

Schedule or in other Departmental

records disposition schedules.

13\. Notice of proceedings Files. Place in inactive

Consist of case files relating to file when closed.

administrative proceedings against Destroy 3 years after

developers for violations under the close of case file.

Interstate Land Sales Full Disclosure (NARA Job

Act. Include copy of Notice of NC1-207-79-11,

Proceeding, developer\'s response, item 13)

closing documents and related

correspondence. The closing document

may be a settlement, order of

suspension, consent order, or

effective date letter.

10/88 12

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

14\. Subpoena transcript files. Consist Destroy 3 years after

of files relating to subpoena return date of hearing.

hearings with developers before an (NARA Job

Office of Interstate Land Sales NC1-207-79-11,

Registration (OILSR) hearing item 14)

officer. May include a copy of the

subpoena issued by OILSR.

15\. Copies of subpoenas issued by the Destroy when 1 year

Office of Interstate Land Sales old. (NARA Job

Registration which do not become NC1-207-79-11,

part of another file (i.e., on item 15)

which no further action is taken).

16\. Settlement case files involving Destroy 5 years after

penalties imposed on manufacturers settlement. (NARA

for violations under the Mobile Home Job NC1-207-79-11,

Construction and Safety Standards item 16)

Act. Consist of files on cases

where settlement was reached without

need for an administrative hearing

or litigation. Include preliminary

determinations, subpoenas,

investigation documents, settlement

papers and related correspondence.

17\. Temporary Denials of Participation

(TDP) and Conditional Participation

files. Consist of orders, notices

and other documents issued by Field

Offices to deny or limit a contractor\'s

or grantee\'s participation in HUD

programs for a temporary period.

a\. Record copy kept by Field Destroy 6 years after

Office issuing the orders and Temporary Denial or

other documents. Conditional

Participation is

removed. (NARA Job

NC1-207-79-11,

item 17a)

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

b\. All other copies. Destroy 3 years after

Temporary Denial or

Conditional

Participation is

removed or when no

longer needed for

reference, whichever

is earlier. (NARA

Job NC1-207-79-11,

item 17b)

18\. Debarment ADP system. This

Automatic Data Processing (ADP)

system provides recurring updated

listings of contractors and grantees

debarred from, ineligible for, or

suspended from recurring awards by

the Department. The reason for the

actions, extent of restrictions, and

cross-reference of individuals and

companies are reflected.

a\. Documentation files. Cover those Destroy 1 year after

records required for servicing system is placed on

machine-readable records\--for inactive list. (NARA

converting them from human-readable Job NC1-207-79-11,

information to encoded data and item 18a)

vice versa. These are an organized

series of descriptive documents

required to initiate, develop,

operate and maintain specific

applications of ADP systems.

b\. Input documents.

\(1\) Forms, reports and other Destroy after data has

documents intended solely to been entered into the

serve as inputs to the system. system and verified.

(NARA Job NC1-207-79-11,

item 18b(1))

\(2\) Forms, reports and other Use the appropriate

documents which serve other item elsewhere in

program uses in addition to this Schedule. (NARA

serving as inputs to the Job NC1-207-79-11,

system. item 18b(2))

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

c\. Processing files. Those Scratch after third

machine-readable files (from work update cycle. (NARA

files and raw data input files to Job NC1-207-79-11,

publication files and security item 18c)

backup files) which are used to

create and use a master file.

d\. Master files. Constitute the

definitive state of a data file

in a system at a given time.

\(1\) While the system is Scratch after third

operational. update cycle. (NARA

Job NC1-207-79-11,

item 18d(1))

\(2\) When the system is deleted Destroy 1 year after

from the inventory of active system is placed on

systems. inactive list. (NARA

Job NC1-207-79-11,

item 18d(2))

e\. Printouts, output reports.

\(1\) Joint Consolidated List of

Debarred, Suspended and

Ineligible Contractors and

Grantees. Produced quarterly.

\(a\) Master set kept by the Destroy when 5 years

Office of the Inspector old. (NARA Job

General. NC1-207-79-11,

item 18e(1)(a))

\(b\) All other copies. Keep the most recent

quarterly list and

destroy all previous

editions. (NARA Job

NC1-207-79-11,

item 18e(1)(b))

\(2\) Monthly lists of additions

and deletions to the Joint

Consolidated List.

\(a\) Master set kept by the Destroy when 5 years

Office of the Inspector old. (NARA Job

General. NC1-207-79-11,

item 18e(2)(a))

15 10/88

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

\(b\) All other copies. Destroy upon receipt

of quarterly Joint

Consolidated List

incorporating the

monthly lists. (NARA

Job NC1-207-79-11,

item 18e(2)(b))

19\. Attorney working files. Consist

of drafts, notes, background

material and reference copies of

documents. The record copies of

documents prepared by attorneys

are placed in the official case

files, project docket files or

other official files as appropriate.

Other items of this Schedule or

other Department records disposition

schedules cover the record copies.

a\. Related to specific When the

administrative or court cases. administrative or

court case is closed,

screen the related

working file and

transfer any record

material to the

official case file.

Destroy the remaining

working file 2 years

after case is closed.

(NARA Job

NC1-207-79-11,

item 19a)

b\. Related to foreclosure and When the home or

sale of single family homes project is sold and

and multi-family projects. HUD no longer has an

interest in it,

screen the related

working file and

transfer any record

material to the

official case file.

Destroy the remaining

working file 2 years

after home or project

is sold. (NARA Job

NC1-207-79-11,

item 19b)

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APPENDIX 2

RECORDS DISPOSITION SCHEDULE 2

LEGAL RECORDS

Item

No. Description of Records Disposition

c\. All other working files. Destroy when the

attorney who created

the file leaves HUD

or when no longer

needed for reference,

whichever is earlier.

Screen working file

before destruction

and transfer any

record material to

the related official

file. (NARA Job

NC1-207-79-11,

item 19c)

20\. Correspondence files not covered Close file at end of

elsewhere in this Schedule. calendar year.

Destroy 3 years after

file is closed.

(NARA Job

NC1-207-79-11,

item 20)

17 10/88