APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

This schedule provides disposition instructions for those records

relating to the administrative functions of the Department. The

administrative functions covered include budget, management and

organization analysis, financial systems and accounting operations,

personnel management and administration, data and statistical

analysis, general administrative services, procurement and

contracting services and general automatic data processing (ADP)

records. Records of specific ADP systems are covered in the

functional records disposition schedule to which the system relates.

This schedule covers administrative records described above

regardless of what office maintains the records; i.e., it covers

Regional and Field Office records as well as Headquarters records and

covers administrative records kept in program offices as well as

those kept in administrative offices. This schedule also covers

administrative records of HUD\'s predecessor agencies. The records of

the immediate office of the Assistant Secretary for Administration

are also covered.

Since this schedule is comprehensive for Departmental records

relating to administrative functions, the schedule items have been

grouped by function under a subheading. The following index shows

the item numbers included under each functional subheading and gives

the page number where that group of items begins:

Includes Begins

Function: Items: on Page:

General Office Files 1 thru 8 2

Personnel, Payroll, Leave 9 thru 15 5

Contracts, Grants, Supplies 16 thru 19 11

Property Disposal 20 and 21 14

Budget 22 thru 26 15

Financial Accounting 27 19

Stores, Plant and Cost Accounting 28 thru 30 19

Travel and Transportation 31 21

Motor Vehicle Maintenance and Operation 32 22

Space and Maintenance 33 22

Communications 34 22

Printing, Binding, Duplication and

Distribution 35 thru 37 22

Informational Services 38 thru 40 24

Planning, Management and Evaluation 41 thru 59 25

Paperwork Management 60 thru 66 45

Security and Protective Services 67 thru 69 55

1 10/88

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Includes Begins

Function: Items: on Page:

Audiovisual 70 56

Library Services 71 and 72 56

Automatic Data Processing 73 thru 76 59

Claims Collection 77 and 78 61

Inspector General Records 79-1 thru 84 62

Item

No. Description of Records Disposition

General Office Files

1\. Administrative subject Break files annually.

correspondence files. Consist of Destroy 3 years after

incoming and outgoing correspondence file break or when

with other related records concerning no longer needed for

routine administrative functions reference, whichever

and housekeeping activities. Do is earlier. (NARA

not include program subject files Job NC1-207-80-5,

since these are or will be covered item 1)

in the related program schedules.

2\. Correspondence chronological or Break file annually.

reading files. Consist of extra Destroy 3 years after

(nonrecord) copies of outgoing file break or when no

correspondence originated in the longer needed for

office solely as a reference or reference, whichever

reading file for the convenience is earlier. (NARA Job

of office personnel. NC1-207-80-5, item 2)

3\. Suspense or tickler files. Consist Destroy 1 year after

of nonrecord extra copies of action is taken or

documents set aside to assure action reply is received or

by a specific date and other cards, destroy when no longer

notes or papers used as reminders needed for reference,

that an action is required. whichever is earlier.

(NARA Job

NC1-207-80-5, item 3)

4\. Transitory files. Consist of Destroy when 1 year

papers of short-term interest old. (NARA Job

which have no value as NC1-207-80-5, item 4)

documentation or evidence.

Include routine requests for

information or publications and

the replies;

10/88 2

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

letters of transmittal which do not

add any information; and memoranda

and other papers on non-official

matters such as holidays, charity

drives, and bond campaigns.

5\. Routine work control files. Destroy when work is

Consist of papers or cards used to completed or when no

facilitate or control work in longer needed for

progress. Include job control control. (NARA Job

records, status cards, routing NC1-207-80-5, item 5)

slips, and work processing sheets.

6\. Technical reference files. Consist Destroy when

of extra (nonrecord) copies of superseded, obsolete,

issuances and directives, or no longer needed

publications, reports, speeches, and for reference. (NARA

other material used for reference Job NC1-207-80-5,

purposes. Include informational copies item 6)

of correspondence. Also include

nonrecord copies of: Organizational

charts and statements, staffing

documents, documents establishing policy

or precedents which apply to future and

continuing actions, publications of

other Government agencies, and

non-Government publications.

7\. Housekeeping files. Consist of

nonrecord copies of documents which

relate to personnel, budget, travel,

and similar administrative functions.

a\. Employee travel files. Consist Use General Records

of correspondence, requests, Schedule 9, item 4a.

travel authorizations and orders,

itineraries, copies of travel

vouchers, and similar papers

pertaining to employee travel.

Do not include travel records

maintained for accounting

purposes.

3 10/88

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APPENDIX 3

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Other housekeeping files. Use the appropriate

General Records Schedule.

Except: When the files

are included as part of

the administrative sub-

ject correspondence files,

use item 1 of this sched-

ule. (NARA Job NC1-

207-80-5, item 7b)

8\. Records which are microfilmed

according to 41 CFR 101-11506 and

a feasibility study or contract

approved by Headquarters.

a\. Scheduled, temporary records.

\(1\) Hard copies which were Destroy after microform

microfilmed. is checked and verified.

(NARA Job NC1-207-84-4,

item 8a(1))

\(2\) Microform copies and hard Use the same schedule

copies not microfilmed. and item that covered

the original records.

(NARA Job NC1-207-84-4,

item 8a(2))

b\. Permanent or unscheduled records. Contact the Departmental

Records Management Officer

for help in preparing an

[SF
115](http://www.forms.gov/bgfPortal/citizen.portal?_nfpb=true&_pageLabel=citizen_page_2&portlet_1_1_actionOverride=/portlets/eFormSearch/agencyForms)
to cover these

records. (NARA Job

NC1-207-84-4, item 8b)

10/88 4

2225.6 REV-1 CHG-23

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

Administrative Records

Item

No. Description of Records Disposition

8-1. Investigative Case Files (program Destroy when 3 years

office files). Program (other old. (NARA JOB N1-

offices) file copies of working 207-93-5, item 8-1)

papers and background material

used in the development of

responses to investigative case

files, Hotline Complaints and

other similar investigative

reports.

4.1 7/96

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_

Personnel, Payroll, Leave

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

9\. Personnel records. Use General Records

Schedule (GRS) 1 except:

a\. Use item 10 of this

schedule in place of

GRS 1, item 12e.

b\. Use item 11 of this

schedule in place of

GRS 1, item 30a(1).

\* c. Use items 13 and 14 of

this schedule for

related ADP systems

files.

d\. Use item 15 of this

schedule in place of

GRS 1, item 12a(1), for

Employee IDEAS Case

Files. \*

10\. Departmental level awards files. Destroy when 5 years old.

Consist of records related to (NARA Job NC1-207-80-5,

awards made at the Department item 10)

level (Secretary\'s Awards) or

higher (Presidential, etc.).

11\. Training aids. Consist of

manuals, syllabi, textbooks and

other training aids developed

by HUD.

a\. Record copy kept by office which Retire to Federal Records

developed the training aid. Center when superseded or

obsolete. Destroy 5 years

after retirement. (NARA

Job NC1-207-80-5, item 11a)

b\. All other copies. Destroy when superseded,

obsolete or no longer needed

for reference. (NARA Job

NC1-207-80-5, item 11b)

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5 10/89

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2225.6 REV-1 CHG-2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_

12\. Payroll and leave records. Use General Records

\* Schedule 2 except: Use

items 13 and 14 of this \*

schedule for related

ADP systems files.

13\. Terminally Operated

Personnel/Payroll System

(TOPPS). This \*ADP system

provides necessary data and

reports dealing with all

personnel processing and provides

all files maintenance, updating

and formula calculations necessary

for pay processing, bond

preparation and accumulation and

balances of employee\'s leave.

TOPPS also provides accumulative

totals and reporting of FICA,

retirement, State and Federal

income tax withholding. TOPPS

became operational in January 1979

and replaced the Personnel System

and the Pay and Leave System. All

three systems are covered by items

13a through 13e.

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

those records required for is placed on the inactive

servicing machine-readable list. (NARA Job

records\--for converting them NC1-207-80-5, item 13a)

from human-readable

information to encoded data

and vice versa. These are

an organized series of

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10/89 6

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

descriptive documents required

to initiate, develop, operate

and maintain specific

applications of ADP systems.

b\. Input documents.

\(1\) Forms used solely as Destroy after General

transcription documents to Accounting Office

enter data into the audit or when 3 years

system. old, whichever is

earlier. (NARA Job

NC1-207-80-5,

item 13b(1))

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

documents which serve as item elsewhere in

source documents for data this schedule. (NARA

entered into the system Job NC1-207-80-5,

(may also serve as item 13b(2))

transcription document).

c\. Processing files. Those

machine-readable files (from

work files and raw data input

files to publication files and

security backup files) which are

used to create and use a master

file.

\(1\) Produced daily.

\(a\) Those processing Scratch when 3 days

files produced daily old. (NARA Job

and specifically NC1-207-80-5,

identified as requiring item 13c(1)(a))

an extended retention.

7 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) All other processing Scratch when 1 day

files produced daily. old. (NARA Job

NC1-207-80-5,

item 13c(1)(b)

\(2\) Produced biweekly. Scratch when 14 days

old. (NARA Job

NC1-207-80-5,

item 13c(2))

\(3\) Produced quarterly. Scratch when 90 days

old. (NARA Job

NC1-207-80-5,

item 13c(3))

d\. Master files. Constitute the

definitive state of a data

file in a system at a given time.

\(1\) While the system is

operational.

\(a\) Master files Scratch when

created daily. 6 months old. (NARA

Job NC1-207-80-5,

item 13d(1)(a))

\(b\) Master files created Scratch when 1

biweekly and updated year old. (NARA Job

daily through end of NC1-207-80-5,

pay period. item 13d(1)(b))

\(c\) Hard core master files Scratch when

needed for end-of-year 3 years old. (NARA

processing as well as Job NC1-207-80-5,

daily and biweekly item 13d(1)(c))

processing. Include

A90AAA, main transactions

file, and A90 CBF which

is used as input to other

ADP systems, such as

accounting systems.

10/88 8

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(2\) When the system is deleted from Destroy 3 years after

the inventory of active systems. system is placed on

inactive list. (NARA

Job NC1-207-80-5,

item 13d(2))

e\. Printouts, output reports.

\(1\) Master set kept by system

sponsor.

\(a\) Annual reports. Destroy when 3 years

old. (NARA Job

NC1-207-80-5,

item 13e(1)(a))

\(b\) Quarterly reports. Destroy upon receipt

of annual report

summarizing the

quarterly reports.

(NARA Job

NC1-207-80-5,

item 13e(1)(b))

\(c\) Biweekly reports. Destroy upon receipt

of quarterly report

summarizing the

biweekly reports.

(NARA Job

NC1-207-80-5,

item 13e(1)(c))

\(d\) Daily reports. Destroy upon receipt

of biweekly report

summarizing the daily

reports. (NARA Job

NC1-207-80-5,

item 13e(1)(d))

\(2\) All other sets.

\(a\) Biweekly reports. Keep two most recent

reports and destroy

all previous ones.

(NARA Job

NC1-207-80-5,

Item 13e(2)(a))

9 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Daily reports. Destroy after

verifying that data

was correctly entered

into system. (NARA

Job NC1-207-80-5, item

13e(2)(b))

14\. Retirement Annuity Calculation

System. This ADP system calculates

estimated retirement annuity for

each HUD employee as requested. The

system is self-explaining and is used

in an interactive mode by any individual

requestor. The system produces its own

input document and an explanation of how

to use the document. Provision is made

to include cost-of-living increases by

two different methods. The system was

developed by Region V but can be used

by all Regions.

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 Job NC1-207-80-5,

human-readable information to item 14a)

encoded data and vice versa.

These are an organized series

of descriptive documents required

to initiate, develop, operate

and maintain specific

applications of ADP systems.

b\. Program. Delete from

operational program

library when system is

placed on inactive

list. (NARA Job

NC1-207-80-5,

item 14b)

10/88 10

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2225.6 REV-1 CHG-4

APPENDIX 3

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RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

c\. Printouts, output

reports. Destroy when superseded,

obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 14c)

15\. IDEAS Case Files.

a\. Rejected. Destroy 2 years after

rejection. (NARA Job N1-

207-89-1, item 15a)

b\. Adopted. Retain for 2 years from

date of adoption, then

retire to Federal Records

Center. Destroy 5 years

after date of adoption.

(NARA Job N1-207-89-1,

item 15b)

Contracts, Grants, Supplies

16\. Records related to contracts

subject to the Federal Acqui-

sition Regulations (FAR) (48

CFR Chapter 1), to grants and

other forms of assistance, and

to obtaining supplies. Other

forms of assistance include

loans, cooperative agreements,

and contracts not subject to

the FAR.

11 1/95

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

a\. Case files on grants and Use the appropriate HUD

other forms of assistance records disposition

created and maintained by schedule covering the

HUD program offices such program\'s records. (NARA

as Housing, Community Job N1-207-93-4, item

Planning and Development,

Fair Housing and Equal

Opportunity, Public and

Indian Housing, and

Policy Development and

Research. These files

include accepted

applications among other

documents, related

correspondence and final

product files.

16a)b. All other records. Use General Records

Schedule (GRS) 3 except:

(1)Use item 17-2 of this

Schedule in place of GRS

3, items 3a(1) and

(2). (NARA Job N1-207-

95-3, item 16b(1)).

(2)Use item 17-3 of

this schedule in

place of GRS 3, item

13\. (NARA Job N1-

207-93-4, item

16b(2))

(3)Use items 17, 17-1,

17-4, 18, and 19 in

addition to GRS 3.

(NARA Job N1-207-93-

4, item 16b(3))

1/95 12

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

17\. Government Technical Destroy 6 years after

Representative (GTR) case contract or grant is

files. The GTR is the program formally closed out.

person responsible for the (NARA Job N1-207-91-1,

technical direction and evalu- item 17)

ation of contractor/grantee

performance. GTR case files

consist of copies of the

request for services, Request

for Proposals (RFP) and amend-

ments, technical and cost

proposals and modifications

submitted by the contractor/

grantee, conformed copy of

contract/copy of grant

agreement and modifications,

contractor\'s/grantee\'s

management reports to GTR, GTR

reports and memoranda,

contractor\'s/grantee\'s interim

and final technical reports,

GTR evaluation reports,

distribution list for final

report, statement of final

contract/grant status and any

related correspondence or

other documents.

17-1. Government Technical Monitor

(GTM) files. The content of

GTM files varies depending

on what authority the GTR

has delegated to the GTM.

GTM files have the same

kinds of documentation as

GTR files.Transfer files to the GTR

when contract/grant is

closed out. The GTR

screens the files to

eliminate any duplicate

records and adds the

remaining files to the

GTR case file. Use the

disposition in item 17

for the combined files.

(NARA Job N1-207-91-1,

item 17-1)

12.1

1/95

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

17-2. Routine procurement files.

Contract,requisition, purchase

order, lease, bond and surety

records, and interagency

acquisitions, including

correspondence and related papers

pertaining to award,

administration, receipt,

inspection and payment (other

than those covered in GRS 3,

items 1 and 12).

17-3. Files on unsuccessful Retain in office for 1

applications for grants and year after date of award

other forms of assistance. of the grant or other

Other forms of assistance form of assistance.

include loans, cooperative Retire to the Federal

agreements, and contracts Records Center anytime

not subject to the Federal thereafter that volume

Acquisition Regulations warrants.

(FAR) (48 CFR Chapter 1).

1/95 12.2

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Files include applications, (Exception: The Commu-

correspondence, and other nity Planning and

records relating to Development Processing

unsuccessful (rejected or and Control Unit in

withdrawn) applications. Headquarters may retire

a\. Unsuccessful application these records to the

files for grants and Center anytime after the

other forms of assist- date of award that volume

ance under HUD programs warrants.)

that provide for

competitive distribution Destroy 5 years and 30

of assistance. These days after the date of

programs, some of which award of the grant or

are listed in 24 CFR other form of assistance.

[Part 12](http://www.gpoaccess.gov/cfr/index.html), Subpart B,
Unsuccessful application

section 12.10, are files for Section 312

subject to the public Rehabilitation Loans are

inspection requirements part of the Privacy Act

of section 102(a)(4)(E) System of Record

of the HUD Reform Act. HUD/DEPT-29. (NARA Job

N1-207-93-4, item 17-3a)

12.3

1/95

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Unsuccessful application Retire inactive records

files for grants and to the Federal Records

other forms of assist- Center anytime after

ance under HUD programs rejection or withdrawal

that do not provide for that volume warrants.

competitive distribution Destroy 3 years after

of assistance. rejection or withdrawal.

(NARA Job N1-207-93-4,

item 17-3b)

17-4. Procurement office files on Retain in office for 1

grants and other forms of year after final payment.

assistance. Other forms of Retire to the Federal

assistance include loans, Records Center anytime

cooperative agreements, and thereafter that volume

contracts not subject to the warrants. Destroy 6

Federal Acquisition years and 3 months after

Regulation (FAR) (48 CFR final payment. (NARA Job

Chapter 1). N1-207-93-4, item 17-4)

18\. Extra copies of contractor\'s/ Destroy when superseded,

grantee\'s final report. obsolete, or no longer

needed for reference.

(NARA Job N1-207-91-1,

item 18)

19\. Office of Procurement and

Contracts (OPC) Management

Information System. This ADP

system will provide a system-

atic procedure and reporting

structure to monitor procure-

ment actions in both pre-award

and post-award phases of a

contract. It will report

contract status for each

1/95 12.4

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

procurement action processed and

also provide summary reports

concerning overall OPC division

performance/workload and contract

specialist performance/workload.

a\. Documentation files. Cover those Destroy 1 year

records required for servicing after system is

machine-readable records\--for placed on inactive

converting them from list. (NARA Job

human-readable information to NC1-207-81-4,

encoded data and vice versa. item 19a)

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 third

documents intended solely to update cycle. (NARA

serve as inputs to the system. Job NC1-207-81-4,

item 19b(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 NC1-207-81-4,

system. item 19b(2))

c\. Processing files. Those Scratch after third

machine-readable files (from update cycle. (NARA

work files and raw data input Job NC1-207-81-4,

files to publication files and item 19c)

security 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.

13 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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

operational. update cycle. (NARA

Job NC1-207-81-4,

item 19d(1))

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NC1-207-81-4,

item 19d(2))

e\. Printouts, output reports. Destroy when

superseded, obsolete,

or no longer needed

for reference. (NARA

Job NC1-207-81-4,

item 19e)

Property Disposal

20\. Property disposal records. Consist Use General Records

of records relating to sales of Schedule (GRS) 4

real and personal Government except: Use item 21

property which is surplus to HUD of this schedule

needs. Do not include records in place of GRS 4,

relating to the disposition of item 3.

HUD-acquired single or multifamily

property which are covered by HUD

Records Disposition Schedule 7.

21\. Excess real property reports. Destroy 1 year after

excess real property

is sold, donated,

traded, or otherwise

passes from HUD

ownership. (NARA Job

NC1-207-80-5, item 21)

10/88 14

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Budget

22\. Budget records. Consist of files Use General Records

related to formulating and justifying schedule (GRS) 5

the HUD budget submitted to the except:

Secretary, Office of Management and

Budget and Congress; defending such a. Use item 23 of

budget requests; and managing the this schedule in

budget during the fiscal year for place of GRS 5,

which it applies. item 1.

b\. Use item 24 of this

schedule in place

of GRS 5, item 2a.

c\. Use items 25 and 26

of this schedule

for related ADP

systems files.

23\. Budget policy files. Consist of Break file at end of

correspondence or subject files in fiscal year. Destroy

formally organized budget offices 6 years after end of

documenting HUD policy and procedures fiscal year. (NARA

governing budget administration and Job NC1-207-80-5,

reflecting policy decisions affecting item 23)

expenditures for HUD programs. (See

GRS 5, item 3, for non-policy budget

correspondence files.)

24\. Copies of budget estimates and

justifications. Include appropriation

language sheets, narrative statements,

and related schedules and data.

a\. Record copy of the final Break file at end

consolidated

15 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Department budget submitted to the of fiscal year.

Office of Management and Budget Destroy 6 years after

and to Congress. Kept in Head- end of fiscal year.

quarters budget office. (NARA Job

NC1-207-80-5,

item 24a)

b\. Record copies of feeder budget Break file at end of

estimates and justifications. fiscal year. Destroy

Kept in each preparing office. 3 years after end of

fiscal year. (NARA

Job NC1-207-80-5,

item 24b)

c\. All other copies. Destroy when obsolete,

superseded or no

longer needed for

reference. (NARA Job

NC1-207-80-5,

item 24c)

25\. Budget Management Information System.

This ADP system maintains a current

staffing file, by activity and source

fund, from which the operating expenses

budget reports are prepared for

HUD\'s budget office. Future fiscal year

staffing projections in the annual

budget submissions to the Secretary,

the Office of Management and Budget

and the Congress are one of the major

products of the system.

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 NC1-207-80-5,

information to encoded data and item 25a)

vice versa. These are an organized

series of descriptive documents

required to initiate, develop,

operate and maintain specific

applications of ADP systems.

10/88 16

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Input documents.

\(1\) Forms, reports and other Destroy after third

documents intended solely update cycle. (NARA

to serve as inputs to the Job NC1-207-80-5,

system. item 25b(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 NC1-207-80-5, item

system. 25b(2))

c\. Processing files. Those Scratch after readable

machine-readable files (from third update

work files and raw data input cycle. (NARA Job

files to publication files and NC1-207-80-5,

security backup files) which item 25c)

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 NC1-207-80-5,

item 25d(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 NC1-207-80-5,

item 25d(2))

e\. Printouts, output reports.

\(1\) Master set maintained by Destroy when 5 years

system sponsor. old. (NARA Job

NC1-207-80-5,

item 25e(1))

\(2\) All other copies. Destroy when 3 years

old. (NARA Job

NC1-207-80-5,

item 25e(2))

17 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

26\. Zero Base Budgeting System (ZBBS).

This ADP system maintains the budget

and staffing figures for the current

fiscal year, next estimated fiscal

year, and the fiscal year being

budgeted for the HUD submission to

the Office of Management and Budget,

under the Zero Base Budgeting concept.

The system also produces the budget

and staffing figures on magnetic tape

for the Office of Management and

Budget\'s use with their Budget

Statistical System (BSS).

a\. Documentation files. Cover Destroy 1 year

those records required for after system is

servicing machine-readable placed on inactive

records\--for converting them list. (NARA Job

from human-readable information NC1-207-80-5,

to encoded data and vice versa. item 26a)

These are an organized series of

descriptive documents required to

initiate, develop, operate and

maintain specific applications

of ADP systems.

b\. Input documents. Consist of Destroy after data

forms, reports and other document has been entered into

intended solely to serve as the system and

inputs to the system. verified. (NARA Job

NC1-207-80-5,

item 26b)

c\. Processing files. Those Scratch after next

machine-readable files (from update cycle. (NARA

work files and raw data input Job NC1-207-80-5,

files to publication files and item 26c)

security backup files) which

are used to create and use a

master file.

10/88 18

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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 next

operational. update cycle. (NARA

Job NC1-207-80-5,

item 26d(1))

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NC1-207-80-5,

item 26d(2))

e\. Printouts, output reports.

\(1\) Master set maintained by Destroy when 5 years

system sponsor. old. (NARA Job

NC1-207-80-5,

item 26e (1))

\(2\) All other copies. Destroy when 3 years

old. (NARA Job

NC1-207-80-5,

item 26e(2))

Financial Accounting

27\. Financial accounting records. Use General Records

Schedules 6 and 7.

27-1.RESERVED.

Stores, Plant and Cost Accounting

28\. Specialized stores, plant and cost Use General Records

accounting records. Stores Schedule (GRS) 8

accounting records provide personal except:

accountability for receipt and

custody of materials and a. Use item 29 of

indicate how much the materials this schedule in

are worth. Plant accounting place of GRS 8,

records give the principal item 1.

19 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

characteristics of each item

of physical plant and equipment,

including real property. Cost b. Use item 30 of

accounting records show cost of this schedule for

HUD\'s operation and direct and related ADP

indirect cost of production, systems files.

administration, and performing

HUD program functions.

29\. Plant accounting files. Consist Destroy 3 years after

of plant account cards and ledgers structure passes from

pertaining to structures. HUD ownership. (NARA

Job NC1-207-80-5,

item 29)

30\. Personal Property Management System.

This ADP system will provide

comprehensive, detailed and

responsive capability to control

and account for the personal property

investment of the Department as

required by the basic laws and

regulations governing control and

accounting for Federal Property.

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NC1-207-80-5,

from human-readable information item 30a)

to encoded data and 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

documents intended solely has been entered into

to serve as inputs to the the system and

system. verified. (NARA Job

NC1-207-80-5,

item 30b(1))

10/88 20

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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

documents which serve item elsewhere in

other program uses in this schedule. (NARA

addition to serving Job NC1-207-80-5,

as inputs to the system. item 30b(2))

c\. Processing files. Those Scratch after third

machine-readable files (from update cycle. (NARA

work files and raw data input Job NC1-207-80-5,

files to publication files and item 30c)

security 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 NC1-207-80-5,

item 30d(1))

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

from the inventory of active after system is

systems. placed on inactive

list. (NARA Job

NC1-207-80-5,

item 30d(2))

e\. Printouts, output reports. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NC1-207-80-5,

item 30e)

Travel and Transportation

31\. Travel and transportation records. Use General Records

Consist of HUD records dealing Schedule 9.

with the movement of goods and

persons under Government orders.

21 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Motor Vehicle Maintenance and Operation

32\. Motor vehicle maintenance and operation Use General Records

records. Consist of chauffeur Schedule 10.

service logs and reports, vehicle

repair and maintenance check-off sheets,

cost ledgers and claims correspondence

and forms.

Space and Maintenance

33\. Records related to space and Use General Records

maintenance. Schedule 11.

Communications

34\. Records documenting communication Use General Records

functions. Include messenger Schedule 12.

service data, telecommunications

service control and operational

records, summary of long distance

telephone reports, postal records,

mail control records and related

papers, HUD copies of penalty mail

reports, and records relating to

private delivery services (such as

United Parcel Service).

Printing, Binding, Duplication and Distribution

35\. Records relating to printing,

binding, duplicating and Use General Records

distribution. Schedule (GRS) 13

except:

a\. Use item 36 of this

schedule in place

of GRS 13, item 1a.

10/88 22

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APPENDIX 3

CORRECTED VERSION 2225.6 REV-1 CHG-20

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Use Item 37 of

this schedule in

place of GRS 13,

item 3a.

36\. Record copy of publications files. Permanent.

Also known as the \"HUD Printed \* Break file monthly

Archives.\" Consists of copies of then retire to Federal

each HUD publication, poster, chart, Records Center. Trans-

directive, regulation, booklet, speech, fer to the National

form, press release, and other material Archives at the end of

printed by HUD. Does not include copies each calendar year.

and related program material kept in (NARA JOB NC1-207-80-

originating office or which are part 5, item 36) \*

of the issuances file (item 63 of

this schedule) or the rules and

regulations files (Records Disposition

Schedule 2). The HUD Printed Archives

is kept in Headquarters.

37\. Project files pertaining to the

accomplishment of the printing,

binding, duplication and distribution

jobs. Include requisitions, bills,

samples, camera-ready copies,

manuscript clearances and related

papers. Do not include requisitions

on the Public Printer and related

records and records relating to

services obtained outside HUD.

a\. Camera-ready copies of items which Destroy when

are reprinted periodically, such superseded or

as letterhead stationery and forms. obsolete. (NARA Job

NC1-207-80-5, Item 37a)

b\. All other copies, documents and Destroy 1 year

files. Include camera-ready after completion

copies of one-time publications. of job. (NARA Job NC1-

207-80-5, item 37b)

23 6/96

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Informational Services

38\. Informational services records. Use General Records

Consist of records- pertaining to Schedule (GRS) 14

informational services performed except:

by HUD in Its day-to-day affairs and

relations with the public. Include a. Use item 39 of this

records created in administering schedule in place

the Freedom of Information Act and of GRS 14, item 1.

Privacy Act Programs.

b\. Use Item 40 of this

schedule in place

of GRS 14, item 2.

39\. Information files. Consist of a

complete set of formal informational

releases and publications, such as

press releases, press conference

transcripts, official speeches, and

indexes thereto.

a\. Information case files. Also Break files annually.

known as publication case files. Retire to Federal

Include clearance response Records Center 1 year

records, approval records and after files break.

final printed version of the Destroy 5 years after

publication. files break. (NARA Job

NC1-207-80-5, Item 39a)

b\. Originals and printed copies Break file annually.

of press releases and speeches Destroy 3 years

kept by the Headquarters public after files break.

affairs office to fill requests. (NARA Job NC1-207-80-5,

Item 39b)

c\. Working peers and background Destroy when 6 months

material not significant enough old. (NARA Job NC1-207-

to be included in the case file 80-5, item 39c)

in item 39a of this schedule.

10/88 24

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

d\. All other copies. Do not include Destroy when

those which are part of the HUD superseded, obsolete,

Printed Archives (item 36 of this or no longer needed

schedule). for reference. (NARA

Job NC1-207-80-5

item 39d)

40\. Information subject files. Consist of Destroy when

subject files of formally designated superseded, obsolete,

informational offices, not covered or no longer needed

elsewhere in this schedule. for reference. (NARA

Job NC1-207-80-5,

item 40)

Planning, Management and Evaluation

Note: Items 41 through 67 of this schedule will be used in

place of General Records Schedule 16.

41\. Management planning files. Consist of

documents relating to the establishment

of short- and long-term planning for

the Department. Include documents

setting HUD\'s objectives, establishing

schedules to meet the objectives,

developing new concepts and

requirements for planning purposes,

and evaluating progress in meeting

the objectives established by the

plans.

a\. Files kept by the Headquarters Place in inactive file

office responsible for preparing when plan is

the plan. superseded. Retire to

Federal Records Center

3 years after plan is

superseded or when

volume warrants.

Destroy when 10 years

old. (NARA Job

NC1-207-80-5,

item 41a)

25 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Comments or input provided Destroy when

by other HUD offices (not obsolete or no

including those which have longer needed for

become a part of the files in reference. (NARA Job

item 41a) and duplicate copies. NC1-207-80-5,

item 41b)

42\. Organizational records. Consist of

organization charts, functional

charts, staff studies, reports of

working groups, and related

records which document HUD\'s

organization and functions.

a\. Record copy. Place in inactive file

when organizational

change is completed.

Retire to Federal

Records Center when

volume warrants.

Destroy when 10 years

old. (NARA Job

NC1-207-80-5,

item 42a)

b\. All other copies. Destroy when

superseded or

obsolete. (NARA Job

NC1-207-80-5,

item 42b)

43\. Evaluation project files. Consist

of files relating to the evaluation

of HUD program efforts to determine

if goals were achieved and to assess

the effectiveness of the program.

a\. Copy of final published evaluation Same as for the

report which becomes a part of HUD Printed Archives

the HUD Printed Archives in in item 36 of this

item 36 of this schedule. Schedule. (NARA Job

NC1-207-80-5,

item 43a)

10/88 26

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Record copy of evaluation project Place in inactive

file. Includes copies of reports, file when evaluation

questionnaires, and other data; project is completed.

evaluation of guidelines and Retire to Federal

procedural documents; progress Records Center 3

reports and other papers years after evaluation

reflecting the status of the project is completed

project; and a copy of the or when volume

final evaluation report. warrants. Destroy 6

years after project

completion. (NARA Job

NC1-207-80-5,

item 43b)

c\. All other copies. Destroy when no longer

needed for reference.

(NARA Job

NC1-207-80-5,

item 43c)

d\. Working papers and background Destroy 6 months

materials. after final action on

project report or 3

years after completion

of report if no action

is taken. (NARA Job

NC1-207-80-5 item 43d)

44\. Management improvement files.

Include interagency management

improvement projects initiated

by the Office of Management and

Budget and projects authorized

by HUD management.

a\. Management improvement project

files. Include authorization

for project, progress reports and

correspondence, finished project

report, and actions taken as a

result of project.

27 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(1\) Record copy kept by office Place in inactive

conducting project or by office file when action is

sponsoring the contract for completed on project.

project services. Retire to Federal

Records Center 3 years

after action is

completed on project

or when volume

warrants. Destroy 7

years after project

completion. (NARA Job

NC1-207-80-5,

item 44a(1))

\(2\) All other copies. Destroy when no longer

needed for reference.

(NARA Job

NC1-207-80-5,

item 44a(2))

b\. Project working papers and Destroy 6 months

background material. Do not after final action

include material which is a part on project report

of the project file in item 4a of or 3 years after

this schedule. completion of report

if no action is taken.

(NARA Job

NC1-207-80-5,

item 44b)

c\. Office of Management and Budget

(OMB) Circular files. Consist of

correspondence and related documents

concerning the coordination of HUD

activities in response to OMB

Circulars.

\(1\) Record copy of files relating Destroy when 6

to HUD activities in response years old. (NARA Job

to [OMB Circular
A-102](http://www.whitehouse.gov/OMB/circulars/a102/a102.html) (Federal
NC1-207-80-5,

Management Circular 74-7). item 44c(1))

Uniform Administrative

Requirements for Grants-in-Aid

to State and Local Governments.

10/88 28

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2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(2\) Record copy of files relating to Destroy when 2 years old.

HUD activities in response to (NARA Job NC1-207-80-5,

all other OMB (FMC) Circulars. item 44c(2))

\(3\) All other copies. Destroy when no longer

needed for reference.

(NARA Job NC1-207-80-5.

item 44c(3))

45\. Files on general management projects,

studies or reviews of problem areas

in HUD or special concerns of top

management. Include pamphlets, reports,

published processed documents (or the

last manuscript report if not published).

a\. Record copy. Includes supporting Place in inactive file

papers which document the inception, when action is

scope and purpose of the project, completed on project,

study or review. Kept by office study or review.

conducting the project, study or Retire to Federal

review or by office sponsoring Records Center 3

the contract for study services. years after action is

completed or when

volume warrants.

Destroy 7 years after

action is completed.

(NARA Job NC1-207-80-5,

item 45a)

b\. All other copies. Destroy when no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 45b)

c\. Working papers and background Destroy 6 months after

material. final action on

project/study/review

report or 3 years after

completion of report

if no final action is

taken. (NARA Job NC1-207-

80-5, item 45c)

29 10/88

2225.6 REV-1 CHG-37

APPENDIX 3

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

46\. Project control files. Memoranda, Destroy 1 year after the

reports and other records docu- year in which project is

menting assignments, progress and closed. (NARA Job NC1-

completion of projects. 207-80-5, item 46)

47\. Records of Committees, Boards,

Conferences, Task Forces and

Special Initiatives.

a\. Record set of documentation

relating to the establishment,

organization, membership and

termination of the committee,

board, conference, task force

or special initiative.

Includes establishment proposals,

approvals, charters, membership

lists, and related documents.

Kept by the Committee Management

Officer in Headquarters or by

the office serving as the office

of record.

\(1\) Inter-agency, advisory and Permanent. Break file at

international committees, end of calendar year in

boards, conferences, task which the committee,

forces and special initia- board, conference, task

tives where HUD is the spon- force, or special initia-

sor or the secretariat. tive is terminated.

Retire to the Federal

Records Center 1 year

after file break.

Transfer to the National

Archives 3 years after

file break. (NARA Job N1-207-96-10,

item 47a(1)).

6/97 30

2225.6 REV-1 CHG-37

APPENDIX 3

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(2\) Internal, intra-agency

committees, boards, con-

ferences, task forces and

special initiatives.

\(a\) Records of internal HUD Permanent. Break files at

mission oriented intra- end of calendar year in

agency committees, boards, which the internal,

conferences, task forces intra-agency committee,

and special initiatives. board, conference, task

force or special initiative is

terminated Retire to the Federal

Records Center 1 year

after file break. Transfer to the

National Archives 3 years after

file break. (NARA Job N1-207-96-10, item

47a(2)(a)).

\(b\) Records of internal non- Break files at end of

mission orientated intra- calendar year in which

agency committees, boards, the internal, intra-

conferences, task forces agency committee, board,

and special initiatives. conference, task force

and special initiative is

terminated. Retire to the

Federal Records Center 1

year after file break.

Destroy 3 years after

file break. (NARA Job N1-207-96-10,

item 47a(2)(b)).

31 6/97

2225.6 REV-1 CHG-37

APPENDIX 3

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(3\) Records on committees, Break file at end of

boards, conferences, calendar year in which

task forces and special the committee, board,

initiatives that were conference, task force

proposed, but disapproved. or special initiative is

disapproved. Destroy 3

years after file break.

(NARA Job N1-207-96-10,

item 47a(3)).

b\. Record set of documentation

created by committees, boards,

conferences, task forces and

special initiatives. Includes

agenda, minutes, special studies,

final reports, project case files

and related records documenting

major activities and accomplishments.

This is the designated official

record set of the chairman,

secretariat, recorder, or office

of record.

6/97 31.1

2225.6 REV-1 CHG-37

APPENDIX 3

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(1\) Inter-Agency, advisory Permanent. Break file

and international at end of calendar year

committees, boards, in which the committee,

conferences, task forces board, conference, task

and special initiatives force or special initia-

where HUD is the sponsor tive is terminated. Retire

or secretariat. to the Federal Records Center

1 year after file break.

Transfer to the National

Archives 3 years after file

break. (NARA Job N1-207-96-10,

item 47b(1)).

\(2\) Internal, intra-agency

committees, boards,

conferences, task forces

and special initiatives.

\(a\) Records of internal Permanent. Break files at end

HUD mission oriented of calendar year in which

intra-agency commit- committee, board, conference,

tees, boards, confer- task force and special initia-

ences, task forces and tive is terminated. Retire to

special initiatives. the Federal Records Center 1

year after file break.

Transfer to the National

Archives 3 years after file

break. (NARA Job N1-207-96-10,

item 47b(2)(a)).

31.2 6/97

2225.6 REV-1 CHG-37

APPENDIX 3

HUD RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Records of internal Break files at end

HUD non-mission of calendar year in which

orientated intra- committee, board, conference,

agency task forces, task force or special initia-

special project groups, tive is terminated. Retire

committees, boards to the Federal Records Center

and conferences. 1 year after file break.

Destroy 3 years after file

break. (NARA Job N1-207-96-10,

item 47b(2)(b)).

c\. All other committee records Destroy when 3 years old or

and copies. when no longer needed for

reference. (NARA Job NC1-207-

80-5, item 4c).

Duplicative, fragmentary, non-record materials and items covered

by the General Records Schedule may be disposed of without

further permission from the Department of Housing and Urban

Development.

6/97 31.3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

48\. Staff meeting records. Consist Destroy when no longer

of memoranda, handwritten notes, needed for reference

and other papers relating to staff or when one year old,

meetings held by Departmental whichever is earlier.

officials. (NARA Job

NC1-207-80-5,

Item 48)

49\. Process analysis, work measurement

and productivity files.

a\. Study reports. Consist of

reports on the findings and

recommendations based on

process analysis/work

measurement/productivity

studies. May include

printed copies of flow

charts as part of the report.

\(1\) Final study report. Destroy when 10 years

old. (NARA Job

NC1-207-80-5,

item 49a(1))

\(2\) Draft study report. Destroy when final

study report is

completed and

accepted. (NARA Job

NC1-207-80-5,

item 49a(2))

b\. Background data. Includes Destroy 3 years after

data forms completed by completion and

employees of the office(s) acceptance of final

under study. study report. (NARA

Job NC1-207-80-5,

item 49b)

c\. Flow charts.

\(1\) Camera copies.

\(a\) Flow charts prepared Destroy 2 years after

as part of process the final study report

analysis/work is completed. (NARA

measurement/productivity Job NC1-207-80-5,

studies. item 49c(1)(a))

10/88 32

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Flow charts prepared Destroy when 2 years

separately in response old. (NARA Job

to special requests. NC1-207-80-5,

item 49 c(1)(b))

\(2\) Other copies. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NC1-207-80-5,

item 49c(2))

50\. Workload reports. Prepared monthly

by selected offices. Used to

gather data used primarily in work

measurement/productivity analysis.

a\. Copies submitted to Destroy when 5 years

Headquarters. old. (NARA Job

NC1-207-80-5,

item 50a)

b\. Copy retained in reporting Destroy when 3 years

office. Includes Field old. (NARA Job

input. NC1-207-80-5,

item 50b)

51\. Regional Employee Time Reporting

System (RETRS). This ADP system

applies time expended against HUD

programs by Regional and Field

Offices. It produces detailed

reports which assist

Administrators in tracking

personnel expenditures by program

area against projected program

budgets. The system also produces

data used for budget formulation

and execution, monitoring staff

resource expenditures against the

Regional Operating Plan, work

measurement and productivity

analyses and for billing other

Federal agencies for reimbursable

work performed.

33 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NC1-207-80-5,

from human-readable information item 51a)

to encoded data and 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. Consist of

forms intended solely to serve

as inputs to the system.

\(1\) Forms prepared by each

Regional and Field Office

employee to show how much

time is spent on each

activity and related

documents, such as Forms

HUD 193.1, 193.3 and 193.4.

\(a\) Copies submitted to Destroy when 3 months

Headquarters each old. (NARA Job

month. NC1-207-80-5,

item 51b(1)(a))

\(b\) Copies retained in Break file at end of

Field Offices. fiscal year. Destroy

1 year after file

break. (NARA Job

NC1-207-80-5,

item 51b(1)(b))

\(2\) Other input documents. Destroy after data has

been entered into the

system and verified.

(NARA Job

NC1-207-80-5,

item 51b(2))

10/88 34

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

c\. Processing files. Those Scratch after third

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

work files and raw data input NC1-207-80-5, item 51c)

files to publication files and

security 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 when 2 years

operational. old. (NARA Job

NC1-207-80-5, item

51d(1))

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NC1-207-80-5, item

51d(2))

e\. Printouts, output reports.

Most output reports are

produced in microfiche. A

few, less voluminous output

reports are generated in paper

form.

\(1\) Research set maintained

by system sponsor.

\(a\) Monthly reports. Destroy upon receipt of

quarterly report

incorporating those

monthly reports. (NARA

Job NC1-207-82-6, item

51e(1)(a))

\(b\) Quarterly reports. Destroy when 2 years

old. (NARA Job

NC1-207-82-6, item

51e(1)(b))

35 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(c\) National year-end Destroy when 6 years

reports and the old. (NARA Job

program/activity NC1-207-82-6, item

summary data from 51e(1)(c))

the Regional

year-end reports.

\(d\) Regional year-end Destroy when 2 years

report except the old. (NARA Job

program/activity NC1-207-82-6, item

summary data. 51e(1)(d))

\(2\) Field copies.

\(a\) Monthly reports. Destroy when 1 year old.

(NARA Job NC1-207-82-6,

item 51e(2)(a))

\(b\) Year end reports. Destroy when 3 years

old. (NARA Job

NC1-207-82-6, item

51e(2)(b))

\(3\) All other copies, wherever Destroy when superseded,

maintained. obsolete or no longer

needed for reference.

(NARA Job NC1-207-82-6,

item 51e(3))

52\. Files on the narrative and

control table portion of

the Regional Operating Plans

(ROP\'s). Manually prepared

before the beginning of the

Fiscal Year and revised once

during the Fiscal Year.

a\. Files kept by Headquarters Destroy when 5 years

office responsible for old. (NARA Job

finalizing and assembling the NC1-207-80-5, item

narrative and control table 52a)

portion of the ROPs and

arranging for printing and

distribution.

10/88 36

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Files kept by Regional Office Destroy when 3 years

unit responsible for preparing old. (NARA Job

the narrative and control table NC1-207-80-5, item

portion of the Regional 52b)

Operating Plan submission.

c\. Input for narrative and control Destroy when superseded,

table portion of the ROP kept obsolete or no longer

by individual program offices. needed for reference

(NARA Job NC1-207-80-5,

item 52c)

d\. Other printed copies of the Destroy when superseded,

narrative and control table obsolete or no longer

portion of the ROPs. needed for reference.

(NARA Job NC1-207-80-5,

item 52d)

53\. Regional and Field Operating Plan

System (OPLAN). This ADP system

is intended to expedite the

planning, negotiation, and

preparation of the Regional

Operating Plans which govern the

establishment of Priority

Objectives and the allocation of

workload and staff resources to

organizational elements.

Accepting data from both

Headquarters and the Field, the

system will also allow monthly

monitoring of Priority Objectives

and a monthly comparison

of work accomplished and staff

resources expended. Information

will be displayed to the work-unit

level for each activity of HUD

programs. This system became

operational in March 1979 and

replaced the demonstration

automated Regional Operating Plan

System and the Field Operating

Plan System. All three systems

are covered by items 53a

through 53e.

37 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NC1-207-80-5, item

from human-readable information 53a)

to encoded data and 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.

\(1\) Performance Data Forms. Break file at end of

fiscal year. Destroy 3

months after files

break. (NARA Job

NC1-207-80-5, item

53b(1))

\(2\) All other input documents Destroy after data has

intended solely to serve been entered into the

as input to the system. system and verified.

(NARA Job NC1-207-80-5,

item 53b(2))

c\. Processing files. Those Retention period cannot

machine-readable files (from be specified until

work files and raw data input system has been

files to publication files and operational for a full

security backup files) which fiscal year. Review in

are used to create and use a 1 year. (NARA Job

master file. NC1-207-80-5, item 53c)

d\. Master files. Constitute

the definitive state of a

data file in a system at a

given time.

\(1\) While the system is Destroy when 5 years

operational. old. (NARA Job

NC1-207-80-5, items

53d(1))

10/88 38

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NC1-207-80-5, item

53d(2))

e\. Printouts, output reports.

\(1\) Master set kept by system Destroy when 5 years

sponsor. Old. (NARA Job

NC1-207-80-5, item

53e(1))

\(2\) Sets kept by Regional Destroy when 3 years

Offices. old. (NARA Job

NC1-207-80-5, item

53e(2))

\(3\) All other copies. Destroy when superseded,

obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 53e(3))

54\. Executive Management Report

(EMR) files. Consist of

monthly reports which measure

the Regional Offices\' progress

against current and cumulative

monthly targets for selected

priority objectives established

in the Regional Operating Plans.

Data for these monthly reports

are automatically extracted from

the OPLAN data base. Includes

input reports and related

documents.

a\. EMR files kept by Headquarters Destroy 5 years after

office responsible for end of Fiscal Year in

coordinating, assembling, and which report is

arranging for printing and prepared. (NARA Job

NC1-207-80-5, item 54a)

39 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

distribution of the EMRs.

Files include background

sheets, originals, and a

printed copy of each

monthly EMR.

b\. EMR files kept by individual Destroy when superseded,

program offices in Head- obsolete or no longer

quarters and Field. Consist of needed for reference.

copies of the program office\'s (NARA Job NC1-207-80-5,

input for inclusion in the item 54b)

EMR, in cases where items are

not automatically extracted

from the OPLAN data base.

c\. Other printed copies of the Destroy when superseded,

EMRs. obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 54c)

55\. Reorganization staffing lists

files. Consist of historical

data relating to the impact of

Departmental reorganizations

on staffing.

a\. Files kept by the Headquarters Destroy 2 years after

office responsible for staffing reorganization is

resource matters. These completed (NARA Job

files contain original staffing NC1-207-80-5, item

lists, proposed staffing 55a)

patterns, appeals, and final

official Permanent Full Time

(PFT) staffing lists.

b\. Copies of the final official Destroy when superseded,

PFT staffing lists and related obsolete or no longer

documents kept in Regions and needed for reference.

Headquarters offices other than (NARA Job NC1-207-80-5,

that named in item 55a. item 55b)

10/88 40

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

56\. HUD Statistical Yearbook files.

The HUD Statistical Yearbook is

an annual compilation of data on

HUD\'s program and financial

operations and statistical

information related to housing

and urban activities.

a\. Typed originals of Yearbook and Destroy when 1 year old.

submissions from HUD program (NARA Job NC1-207-80-5,

offices and outside sources kept item 56a)

in the Headquarters office

responsible for compiling the

Yearbook.

b\. Copies of the program Destroy after

submissions kept in the HUD publication of Yearbook

program offices which prepared incorporating those

them. submissions. (NARA Job

NC1-207-80-5, item 56b)

c\. Extra printed copies of Destroy when superseded,

Yearbook. obsolete or no longer

needed for reference

(NARA Job NC1-207-80-5,

item 56c)

57\. Housing and Urban Development

Trends files. The Housing and

Urban Development Trends is a

quarterly publication which

provides current information on

housing production and financing

and on HUD\'s program activities.

The publication displays data

for the most recent 3 to 4 years.

a\. Typed originals of publication Break file quarterly.

and monthly submissions from Destroy after next HUD

HUD program offices and outside quarterly update. (NARA

sources kept in the Headquarters Job NC1-207-80-5,

office which is responsible for item 57a)

compiling the publication.

41 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Copies of the monthly program Destroy after

submissions kept in the HUD publication of the

program offices which prepared quarterly update

them. incorporating those

submissions. (NARA Job

NC1-207-80-5, item 57b)

c\. Extra printed copies of Trends. Destroy when superseded,

obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 57c)

58\. HUD Master Locality File

System. This ADP system

maintains a master reference

file containing geographic

codes which uniquely identify

each place where a HUD project

is located. It uses a

geographical hierarchy of

places (using State, county and

locality codes) by population,

for use as an analytical tool.

The file is also used to

interface with other automated

systems to achieve standardization

within HUD programs and to

eliminate redundant data entry

into each program file of elements

of information regarding the

localities of projects.

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NC1-207-80-5, item

from human-readable 58a)

information to encoded data

and vice versa. These are an

organized series of descriptive

documents required to initiate,

develop, operate and maintain

specific applications of ADP

systems.

10/88 42

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Input documents. Consist of Destroy after data has

forms, reports and other been entered into the

documents intended solely to system and verified.

serve as inputs to the system. (NARA Job NC1-207-80-5,

item 58b)

c\. Master files. Constitute the

definitive state of a data file

in a system at a given time.

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

operational. update cycle. (NARA Job

NC1-207-80-5, item

58c(1))

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

deleted from the system is placed on

inventory of active inactive list. (NARA

systems. Job NC1-207-80-5, item

58c(2))

d\. Printouts, output reports.

\(1\) Master set kept by system Keep the two most recent

sponsor. issues and destroy all

previous issues. (NARA

Job NC1-207-80-5, item

58d(1))

\(2\) All other copies. Destroy all previous

copies when new copy is

received. (NARA Job

NC1-207-80-5, item

58d(2))

e\. Memoranda listing ink

corrections to be made to

printouts. Serves to help

users keep their copies

up-to-date until next printout

is received.

43 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(1\) Master set kept by Destroy when 5 years

system sponsor. old. (NARA Job

NC1-207-80-5, item

58e(1))

\(2\) All other copies. Destroy after ink

corrections are made to

printout. (NARA Job

NC1-207-80-5, item

58e(2))

59\. Federal Information Exchange (FIX)

System. This ADP system provides

the Community Services

Administration (formerly Office of

Economic Opportunity) with Federal

outlays by geographic location

(counties and cities having

25,000 or more inhabitants) for

prior Fiscal Year activity on

selected HUD programs.

CSA produces a yearly publication

for each State using data submitted

by all Federal agencies. This

system is authorized by OMB

Circular A-84.

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NC1-207-80-5, item

from human-readable 59a)

information to encoded data

and 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. Consist of Destroy after data has

forms, reports and other been entered into the

documents intended solely to system and verified and

serve as inputs to the system. cannot be reused. (NARA

Job NC1-207-80-5, item

59b)

10/88 44

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

c\. Processing files. Those Scratch after third

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

work files and raw data input NC1-207-80-5,

files to publication files and item 59c)

security backup files) which

are used to create and use a

master file.

d\. FIX data files. Consist of

summary tapes.

\(1\) Tape submitted to CSA. This Scratch when tape is

tape is eventually returned returned to HUD. (NARA

to HUD. Job NC1-207-80-5, item

59d(1))

\(2\) Duplicate tape kept by HUD. Scratch when 1 year old.

(NARA Job NC1-207-80-5,

item 59d(2))

e\. Printouts, output reports.

\(1\) Copies kept by system Destroy when 5 years

sponsor. old. (NARA Job

NC1-207-80-5, item

59e(1))

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

obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 59e(2))

Paperwork Management

60\. Paperwork management program files. Destroy when 6 years

Consist of records on the old. (NARA Job

development and improvement of the NC1-207-80-5, item 60)

Department\'s paperwork management

program, which involves management

45 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

of records, forms, correspondence,

mail, reports, microfilm, word

processing and vital records.

Files include reports,

correspondence authorizations,

and related records not covered

elsewhere in this Schedule.

61\. Paperwork management liaison Destroy when superseded

officer designations. Consist of by a new designation or

documents reflecting the names of when obsolete. (NARA

and information about individuals Job NC1-207-80-5, item

designated to perform paperwork 61)

management duties in specific HUD

organizations. Include

designations for Records Management

Liaison Officers, Issuances

Management Officers, Forms

Management Liaison Officers, and

similar representatives.

62\. Issuances and other directives.

Directive or guidance material

issued by the Department, including

the Field, to Departmental

employees and program participants.

Include Handbooks, Notices, and

Special Issuances such as Staff

Bulletins, Title I Letters,

Mortgagee Letters, Structural

Engineering Bulletins, Materials

Releases, Use of Materials

Bulletins, and Land Planning

Bulletins. Also include directives

and guidance material issued by

HUD\'s predecessor agencies. Do not

include regulations and notices

published in the Federal Register

(see HUD Records Disposition

Schedule 2) or general publications

(see item 39 of this Schedule).

10/88 46

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

a\. Issuance case history files. Cut off when issuance is

Case files on issuances rescinded, superseded,

prescribing administrative or or obsolete and place in

programmatic policies, inactive file. Retire

procedures, instructions or inactive file to Federal

guidelines and issuances of Records Center three

an informational nature years after cutoff or

for special audiences. when volume warrants.

Include drafts showing the Destroy 15 years after

development of the material, cutoff. (NARA Job

clearance response records, notes NC1-207-80-5, item 62a)

on the development of the issuance,

approval records, and the final

printed version of the issuance.

These case files are kept by the

Departmental Issuances Management

Officer or, as he/she authorizes,

at designated substations in the

Headquarters and Field.

b\. Working papers and background Destroy 6 months after

material on the development of date the final printed

an issuance which are not version of the issuance

significant enough to be a part is received by

of the issuance case history Issuances Management

files. Officer for the

originating office as

entered on the Clearance

Log. (NARA Job

NC1-207-80-5, item 62b)

c\. Master reference files. Destroy issuances when

Consist of a complete file rescinded, superseded,

of all current issuances or obsolete. (NARA Job

designated as a \"master\" set. NC1-207-80-5, item 62c)

Serves as a central reference

set for all personnel at that

geographical location. Usually

kept in loose-leaf binders.

The Departmental Issuances

Management Officer keeps the

HUD master reference file of all

issuances issued within the

47 10/88

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Department. Primary

organizations and their components

may maintain comprehensive or

partial master reference files as

needed.

d\. Extra copies of the clearance Destroy when 3 years old

package for each issuance which or when no longer needed

are distributed to each for reference purposes,

clearance point for concurrent whichever is earlier.

clearances and the comments (NARA Job NC1-207-80-5,

given to clearance point for item 62d)

preparation of a consolidated

response. Do not include those

parts of the package and

responses which become part of

the issuance case history file.

e\. Printed copies of the final Destroy when rescinded,

printed version of the issuance superseded, obsolete, or

distributed to HUD employees no longer needed for

for use as reference. reference purposes.

(NARA Job NC1-207-80-5,

item 62e)

63\. Forms Files.

a\. Forms history files. Consist of

documentation of the complete

history of each form from its

development to its current

status.

\(1\) Numerical forms history Place in inactive file

files kept by Departmental when form is

Forms Management Officer and discontinued,

Regional Forms Management superseded, or

Liaison Officers. Include cancelled. Retire to

camera copy, rough drafts Federal Records Center

showing development of the two years after

form, printing requisition, form is discontinued,

processing forms and Plain superseded, or

English clearance approvals. cancelled, or when

volume warrants.

Destroy 5 years after

form is discontinued or

cancelled. (NARA Job

NC1-207-82-3, item

63a(1))

10/88 48

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Arranged sequentially by

form number.

\(2\) Files kept by the Destroy 1 year after

originating offices on the form is discontinued or

reasons for revising the cancelled or when no

form. Include correspondence longer needed for

on suggested changes. reference, whichever is

earlier. (NARA Job

NC1-207-80-5, item

63a(2))

b\. Working papers and background Destroy when related

material on the development or form is discontinued,

revision of a form which are superseded, or

not significant enough to be a cancelled. (NARA

part of the forms history Job NC1-207-80-5,

files in item 63a. item 63b)

c\. Forms reference files. Consist Destroy when no longer

of files kept by Headquarters needed for reference.

Forms Management Liaison (NARA Job

Officers on all forms originated NC1-207-80-5, item 63c)

by their organization.

d\. Forms register. Card files Destroy one year after

showing pertinent information form is discontinued.

about the form such as dates (NARA Job

initiated, approved, and NC1-207-80-5, item 63d)

discontinued; office of primary

interest; and the preparing

office. Kept by Departmental

Forms Management Officer.

64\. Reports files.

a\. Reports control files. Consist

of case files maintained for

each Department public use,

internal, or interagency report

created, cancelled, or superseded.

Include requests for clearance

and approval of reports; copies

49 10/88

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

of pertinent forms; copies of the

issuance requiring the report;

preparation instructions;

documents relating to the

continuance of or changes to the

report; and correspondence,

evaluations, and other documents

relating to the reports.

\(1\) Master file of case folders Destroy two years after

kept by the Reports the report is

Management Officer in discontinued.

Headquarters for the (NARA Job

Department. NC1-207-80-5, item

64a(1))

\(2\) Case files of cleared Destroy 6 months after

reports kept by the Reports the report is

Liaison Officers in discontinued. (NARA Job

Headquarters and the Field. NC1-207-80-5, item

64a(2))

b\. Log of report clearance symbols Destroy when no longer

assigned for each major HUD needed for controlling

component. Kept by Reports the assignment of new

Management Officer in report clearance

Headquarters. symbols. (NARA Job

NC1-207-80-5, item 64b)

65\. Reporting and Data Inventory

Control System (RADICS). This

ADP system provides information

on reports, forms and issuances

which aid in the management of

these functions within HUD. The

inclusion of data elements for

reports and issuances aids

substantially in the tracking of

data to avoid duplication of

collection activities and to

provide a basis for standardization

10/88 50

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

activities. This system provides

direct access to stored data via

terminals. The system is

maintained and operated at HUD.

However, all data are stored on

equipment owned by the contractor.

This system replaced the Reports

Management System (RMS).

a\. Documentation files. Consist of Destroy one year after

those records produced in the system is cancelled.

initiation, analysis, design and (NARA Job

development of the system from NC1-207-80-5, item 65a)

the user request through the

project documentation.

b\. Master files. Constitute the Destroy one year after

definitive state of a data file system is cancelled.

in a system at a given time. (NARA Job

NC1-207-80-5, item 65b)

c\. Printouts, output reports.

\(1\) Reports inventories.

Consist of listings of HUD

reporting requirements by

type. Contain skeletal

management data.

\(a\) Copies kept by Keep two latest copies

Departmental Reports and destroy all previous

Management Officer in copies. (NARA Job

Headquarters. NC1-207-80-5, item 65c

(1)(a))

\(b\) Copies kept by Reports Destroy after next

Liaison Officers updated inventory is

(RLO\'s) in Headquarters received. (NARA Job

and Field. NC1-207-80-5, item

65c(1)(b))

51 10/88

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(2\) Complex prints which list Destroy when obsolete,

management data and data superseded or no longer

elements for each report for needed for reference.

internal file maintenance (NARA Job NC1-207-80-5,

use only. item 65c(2))

\(3\) Key word listings which Destroy when obsolete,

show all data elements in superseded or no longer

the system in alphabetical needed for reference.

order. (NARA Job NC1-207-80-5,

item 65c(3))

\(4\) Issuances inventory.

Consists of a listing of

current HUD issuances. A

HUD Handbook is printed

from this RADICS printout.

\(a\) Printed issuances Use item 62 of this

inventory handbook. schedule.

\(b\) Copy from which Use item 35 of this

handbook is printed. schedule.

\(5\) Forms Catalog. Consists of

a listing of current HUD forms,

including Standard and

Optional Forms used in HUD.

\(a\) Master copy (actually Place in inactive file

part of the numerical when Forms Catalog is

forms history files in discontinued, superseded

item 63a(1)). Kept by or cancelled. Retire to

the Departmental Forms Federal Records Center

Management Officer in 2 years after Forms

Headquarters. Catalog is discontinued,

superseded or cancelled,

or when volume warrants.

Destroy 10 years after

Forms Catalog is

discontinued, superseded

or cancelled. (NARA

Job NC1-207-80-5, item

65c(5)(a))

10/88 52

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Copy from which Use item 35 of this

Catalog is printed. schedule.

\(c\) All other copies. Destroy when superseded,

obsolete or no longer

needed for reference.

(NARA Job NC1-207-80-5,

item 65c(5)(c))

\(6\) Codes listings. Consist of Destroy after HUD

listings of organizational Handbook of Codes

codes, program codes, Standard is printed. (NARA Job

Metropolitan Statistical Areas NC1-207-80-5, item

(SMSA) and Standard 65c(6))

Consolidated Statistical Areas

(SCSA) codes, and geographic

codes for the United States

and U.S. territories. The

listings are used as input

to the HUD Handbook of Codes.

66\. Records disposition files. These

files relate to the retirement,

transfer, or destruction of records.

a\. Descriptive inventories, Destroy 1 year after all

disposal lists and shelf lists. records covered by the

Include Standard Form 115, disposal list or SF 135

Request for Records Disposition are destroyed. (NARA

Authority, when used to prepare Job NC1-207-80-5, Item

a one-time request for 66a)

destruction (a disposal list).

Also includes Standard Form 135,

Records Transmittal and Receipt.

53 10/88

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. HUD Records Disposition Destroy 1 year after

Schedules on [Standard Form
115](http://www.forms.gov/bgfPortal/citizen.portal?_nfpb=true&_pageLabel=citizen_page_2&portlet_1_1_actionOverride=/portlets/eFormSearch/agencyForms),

supersession. (NARA Job

Request for Records Disposition NC1-207-80-5, item 66b)

Authority. Does not include

copies of the Schedules issued

through the Unified Issuances

System (see item 62).

c\. Documentation of direct offer

of unscheduled records or

transfer of scheduled records

to the National Archives.

Normally prepared on Standard

Form 258, Request to Transfer,

Approval, and Receipt of Records

to National Archives of the

United States.

\(1\) Approved. Destroy 1 year after

records are transferred

to National Archives.

(NARA Job NC1-207-80-5,

item 66c(1))

\(2\) Disapproved. Destroy 1 year after

disapproval.

(NARA Job NC1-207-80-5,

item 66c(2))

d\. Reports related to records Destroy when 3 years

disposition. Include the annual old. (NARA Job

records holdings reports and NC1-207-80-5, item 66d)

records retention reports. The

annual records holdings reports

are statistical reports of the

Department\'s records holdings

required by the General Services

Administration and include feeder

reports from all HUD offices and

data on the volume of records

disposed of by destruction or

transfer. The records retention

10/88 54

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

APPENDIX 3

2225.5 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

reports are reports on changes or

additions to the recordkeeping

requirements imposed on the

public by the Department\'s

regulations and include feeder

reports from all HUD offices.

The records retention reports

are required by the Office of the

Federal Register.

e\. Extra copies and routine Destroy when no longer needed

correspondence and memoranda. for reference. (NARA Job

NC1-207-80-5, item 66e)

f\. Working papers and background Destroy when no longer needed

material relating to records for reference. (NARA Job

disposition but which are not NC1-207-80- 5, item 66f)

significant enough to be a

part of items 66a through d.

g\. Records disposition control Destroy when superseded or

cards. Card files which show obsolete. (NARA Job

the disposition of records. NC1-207-80-5, item 66g)

Used to insure that records

are disposed of promptly in

accordance with approved

records schedules.

Security and Protective Services

67\. Security and protective services Use General Records

records. Include files created Schedule (GRS)

to control and protect classified 18 except:

information; to protect Government a. Use item 68 of this

facilities from unauthorized entry, schedule in place of

sabotage or loss; to determine loyalty GRS 18, item 28.

and fitness of current or b. Use item 69 of this

prospective Government employees; schedule

and to develop and implement in place of GRS 18,

plans to protect life and property item 30.

under emergency conditions.

55 10/88

2225.6 REV-1, CHG-44A

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

68\. Emergency planning case files. Destroy when super-

Consist of record copies of plans seded or obsolete.

or directives issued, with related NARA Job NC1-207-

background papers. Kept by offices 80-5, item 68)

responsible for preparing and issuing

emergency plans and directives.

69\. Emergency planning reports. HUD Destroy when 3 years

reports of operations tests. old. NARA Job NC1-

Consist of consolidated or compre- 207-80-5, item 69)

hensive reports reflecting HUD-wide

results of tests conducted under

emergency plans.

Audiovisual

70\. Audio Visual Records. Created

specifically by or for the

Department of Housing and Urban

Development (HUD) or acquired by

HUD from outside sources in the

course of business. They range

from still photographs in various

forms such as prints, negatives,

slides, transparencies, and contact

sheets; to graphic materials such

as posters, to motion picture films,

videos and sound recordings. Related

reference aids include logs, indexes,

and electronic data bases, as well as

images (still or motion) reproduced

in analog form on video disks or in

digital form on CD-ROMs, diskettes or

hard drives. NOTE: Posters are

distributed by the HUD Printing Branch

directly to the National Archives Still

Pictures Branch using HUD Records

Disposition Schedule 3, item number 36.

08/01 56

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(1\) The Headquarters Visual Arts

Branch Photograph Library. The

Library creates, acquires and

maintains still photographic

records such as prints, negatives,

slides, contact sheets, and related

reference aids.

\(a\) Central Assignment File. PERMANENT. Cut off

Contains color (majority) at the end of the

and black and white Presidential Adminis-

photographic negatives, tration and immediately

with many corresponding transfer to the National

prints and contact sheets, Archives with all related

along with color slides, reference aids. (NARA Job

mostly gathered on official N1-207-97-6, item

HUD photographic coverages. 70(1)(a))

Permanently valuable

coverages document swearing-

in ceremonies, press

conferences, speeches,

Congressional testimony,

and historic commemorations

featuring senior HUD

officials; coverages of

visits of political and

cultural dignitaries and

celebrities to HUD

facilities; coverages of

the announcement, promo-

tion and implementation

of HUD programs, and

other mission-related

matters; coverages of

housing problems, issues

and trends, and of

neighborhood life in

communities, and coverages

of other subjects bearing

on unique agency responsi-

bilities. Arranged by HUD

assignment number, reflecting

coverage chronology.

57 08/01

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Assignment Logbooks and PERMANENT. Cut off

Other Reference Aids. at end of the

Contains caption entries for Presidential

official HUD photographic Administration;

coverages, entered in highlight assignment

written electronic form with log entries corres-

a printed backup. Arranged ponding to permanent

by HUD assignment number, coverages;

immediately

reflecting coverage transfer with related

chronology. Other reference prints and negatives

to

aids reproduce selected the National Archives

images in electronic form in hard copy and, if

with accompanying available and feasible,

cataloging. in an electronic form

compatible with

National Archives

systems. (NARA Job

No. N1-207-97-6,

item 70 (1)(b))

\(c\) Portrait File. Contains PERMANENT. Cut off

color (majority) and black at end of the

Presi-

and white negatives, some dential

Administra-

with corresponding prints, tion and

immediately

of high-level HUD officials transfer to the

and other dignitaries. National Archives

Arranged alphabetically by with related

reference

surname. aids. NARA Job

No. N1-207-97-6, item 70 (1) (c))

\(d\) Routine Still Photographs of Temporary. Use

the Visual Arts Branch General Records

Photograph Library. Contains Schedule 21, items

still photographs from the 1,2,3, and 4.

Central Assignment File, the

Portrait File and other

coverages relating to routine

subjects, such as employee

awards; retirement or promotion

08/01 58

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

ceremonies; holiday gatherings;

workshops; campaigns and pro-

motions common to most Federal

agencies; portraits of low-level

HUD personnel or other low-level

government personnel.

\(2\) Still Photographs Not Maintained

by the Visual Arts Branch

Photograph Library. Still photo-

graphs created or received and

maintained by program office

personnel at Headquarters or by

personnel at the State/Field

Offices, and not created or

maintained in the Visual Arts

Branch Photograph Library.

NOTE: Program Office Personnel

must provide proper captioning

and numbering.

\(a\) Historically Significant PERMANENT. Break

Still Photographs. Encom- file every 4

years.

passes color and black and Transfer

immediately

white still photographic to National

prints,negatives, contact Archives after

sheets, slides, transparen- consultation

with

cies, and filmstrips the National

relating to official Archives\' Still

program functions; unique Pictures Branch

and

regional HUD activities; with the NARA

housing problems, issues, Regional

Records

trends and neighborhood Services facility

life in communities, and/or for photographs

in

the Secretary\'s or the field. (NARA

Secretary\'s Representatives\' Job No. N1-207-97-6,

mission-related activities item 70 (2)(a))

along with associated logs,

indexes or other reference

aids, including analog

or digital reproductions.

59 08/01

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\(b\) Routine Still Photographs. Temporary. Use

Includes still photographic General Records

prints, negatives, contact Schedule 21, items

sheet, slides, transparencies, 1,2,3, and 4.

and filmstrips (or copies of

these images in analog or

digital form) of routine award

ceremonies, social events, and

activities not related to HUD\'s

mission; official portraits of

non-senior level HUD officials;

personnel identification;

internal personnel and

administrative training film-

strips and slide programs

that do not reflect HUD\'s

mission; and duplicates

exceeding preservation needs.

Apply to Headquarters, State

and Field Offices.

Library Services

71\. Library Periodicals Control System.

This ADP system provides a control

of periodicals received by the HUD

Library and produces a published list

of such periodicals including the names

and addresses of publishers and vendors.

Another product of the system is a listing

reflecting the disposition or filing

location of the periodical within the

Library, which is used as a directory

for both filing and retrieving the

materials.

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job No. NC1-207-80-5,

item 71a.)

08/01 60

2225.6 REV-1, CHG-44A

APPENDIX 3

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

from human-readable information

to encoded data and 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

documents intended solely has been entered

to serve as inputs to the into the system and

system. verified. (NARA Job

Ncl-207-80-5, item

7lb(l))

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

documents which serve other item elsewhere in

program uses in addition to this schedule.

serving as inputs to the (NARA Job

system. NCl-207-80-5, item

7lb(2))

c\. Processing files. Those machine- Scratch after third

readable files (from work files update cycle.(NARA

and raw data input files to Job NCl-207-80-5,

publication files and security item 71c)

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

Ncl-207-80-5, item

71d(1))

61 10/88

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NC1-207-80-5,

item 71d(2))

e\. Printouts, output reports. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NC1-207-80-

5, item 71e)

72\. Library 701 Reports Control System.

This ADP system supports the HUD

Library in cataloging HUD sponsored

planning reports. It disseminates the

technical planning and research information

contained in the HUD sponsored 701 Planning

Reports to HUD users and outside client groups.

a\. Documentation files. Cover Destroy 1 year after

those records required for system is placed on

servicing machine-readable inactive list. (NARA

records\--for converting them Job NCl-207-80-5,

from human-readable information item 72a)

to encoded data and 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

documents intended solely has been entered

to serve as inputs to the into the system and

system. verified. (NARA Job

NC1-207-80-5, item

72b(l))

10/88 62

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

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

documents which serve other item elsewhere in

program uses in addition this schedule. (NARA

to serving as inputs to the Job NC1-207-80-5,

system. item 72b(2))

c\. Processing files. Those Scratch after third

machine-readable files (from update cycle.(NARA

work files and raw data input Job NCl-207-80-5,

files to publication files and item 72c)

security 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 NCl-207-80-5,

item 72d(l))

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

from the inventory of system is placed on

active systems. inactive list. (NARA

Job NCl-207-80-5,

item 72d(2))

e\. Printouts, output reports. Destroy when

superseded, obsolete

or no longer needed

for reference.

(NARA Job NCl-207-

805, item 72e)

Automatic Data Processing

73\. Automatic data processing (ADP)

records. Also called machine-readable

records. Includes the related

documentation required to service them.

63 10/88

2225.6 REV-1

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

a\. Records relating to management Use items 74 through

of the automatic data processing 76 of this schedule

function itself. in place of General

Records Schedule 20.

b\. Records relating to a specific Use the functional

ADP system. HUD Records

Disposition Schedule

to which the

ADP system relates

and the appropriate

item covering that

system. (NARA Job

Ncl-207-80-5,

item 73b)

74\. HUD Inventory of Automated

Systems files. The HUD Inventory

of Automated Systems is a

publication which lists HUD

automated systems which are

operational, under development

or planned. It is produced annually

and reflects system status as of the

last day of the Fiscal Year. Files

include interim updates.

a\. Working files kept by the Destroy when 1 year

office which prepares the old. (NARA Job

Inventory. NCl-207-80-5, item

74a)

b\. Copies of printed Inventory. Destroy when

superseded, obsolete

or no longer needed

for reference. (NARA

Job NCl-207-80-

5, item 74b)

75\. Master set of documents used in Destroy when 10

requesting new ADP systems or new years old. (NARA Job

reports from existing systems. NCl-207-80-5, item

Consists of Advanced Requirements 75)

Notice (ARN), Evaluation of

Proposal (EOP) and System

Requirement Specification (SRS).

The ARN and SRS are prepared by

the user.

10/88 64

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

The EOP is prepared by the Office

of Information Policies and Systems.

Copies of the ARN, EOP and SRS are

also part of the documentation files

for each operational system. However,

this master set also contains

documents on disapproved user requests.

76\. Computer usage accounting records. Destroy when 5 years

Consist of records on how much old. (NARA Job

computer time was used for each NC1-207-80-5, item

program and administrative area user. 76)

Claims Collection

77\. Claims collection case files. Place in inactive

consist of records relating to file when

the collection of claims of the administrative

United States for money or collection action on

property arising from Departmental claim is completed.

activities. Kept by claims Retire to Federal

collection officers or the Records Center 2

Departmental Claims officer. years after

administrative

collection action on

claim is completed

or when volume

warrants. Destroy 7

years after administrative

collection action on

claim is

completed. (NARA Job

Nl-207-80-5, item

77\)

78\. Claims collection reports files. Destroy when 2 years

Consist of reports on claims old. (NARA Job

collection activities in HUD. NC1-207-80-5, item

Consist of monthly reports 78)

prepared by Field and Head-

quarters claims collection

officers and quarterly

cumulative reports prepared

by the Regional Office Claims

Report Coordinators.

65 9/92

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

Inspector General Records

\*79-1. Investigative, audit and related Use items 79 through

records created or kept by an OIG 86 in place of

in performing its duties and General Records

responsibilities. Schedule (GRS) 22. \*

79\. Audit Case Files - Headquarters

copies of the audit report issued

in the Field and all related

correspondence received in or

generated by Headquarters.

a\. Cycle Audits (External). Destroy upon receipt

of new audit case

file. (NARA Job NC1-

207-85-1, item 79a)

b\. Final and Request Audits Destroy 1 year after

(External). date of report.

(NARA Job

NC1-207-85-1, item

79b)

c\. Recurring Audits and all other Retain for 5 years

audits (Internal). after date of audit

report. Retire to

the Federal Records

Center and destroy 8

years after date of

audit. (NARA Job

NC1-207-85-1, item

79c)

\*80. GAO Audit Report Files. Audits

of specific activities impacting

upon HUD and its mission. Reports

are arranged by Region and

thereunder chronologically. \*

9/92 66

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\* a. Official Copy. PERMANENT. Cut off

annually. Retire to

the Federal Records

Center when 3 years

old. Transfer to

NARA when 10 years

old. (NARA Job N1-

207-91-2, item

2a)

b\. Background File. This file Retire to Federal

contains a copy of the draft, Records 3 years

letter and published GAO reports after all required

and all inquiries and all actions have been

material and correspondence taken, or when

relating to HUD\'s review, volume warrants.

replies to the actions on GAO Destroy 6 years

findings, and statements after all required

required by [OMB Circular
A-50](http://www.whitehouse.gov/OMB/circulars/a050/a050.html).

actions have been

taken. (NARA Job

NC1-207-85-1, Item

80\)

c\. Agency Reference Copies. Destroy when no

longer needed for

agency use. (NARA

Job N1- 207-91-2,

item 2b) \*

81\. Investigation Case Files.

a\. Files are set up by consti-

tuent organization within

the Department of HUD,

type of violation, and by

number in consecutive

order of receipt.

\* (1) Headquarters.

(a)Record copy of case PERMANENT. Retire

files of historic to Federal

value. Records Center 2 years after

case is closed.

Transfer to

National Archives in

five-year blocks

when 20-25 years old

or sooner if

negotiated between

the National.

Archives and HUD.

67 9/92

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\* NOTE: Files of

historic value

will normally be

selected by the

HUD Office of

Inspector General

and will normally

include files

on all cases that:

\(I\) attract

national news media

attention;

\(ii\) result in

Congressional

investigation; or

\(iii\) result in

substantive changes

to agency

policies and

procedures. (NARA

Job N1-207-90-2,

item a(l)a)

\(b\) All other case files. Retire to Federal

Records Center

2 years after case

is closed.

Destroy 10 years

after case is

closed. Privacy Act

System of

Record HUD/OIG-1,

published in

the June 12, 1992,

Federal

Register (57 FR

25069). (NARA

Job N1-207-90-2,

item a(l)b)

(c)Disposition report. Microfilm

Synopsis or brief Disposition

Report report.

or brief of report 2

years after case

file is closed.

Refile hard

copy in case file

after film is

verified. Retain

microfilm

onsite. Destroy 10

years after

case is closed.

Privacy Art

System of Record

HUD/OIG-1.

(NARA Job NC1-207-

85-1, item

81a(l)(b))

\(2\) Field Offices. Destroy 1 year after

case is closed.

Privacy Act System

of Record HUD/OIG-1.

(NARA Job NC1-

207-85-1, item

8la(2)) \*

9/92 68

2225.6 REV-1 CHG-4

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

b\. Balky exhibits, consisting of When case is closed,

originals or signed state- review the bulky

ments, documents, accounting exhibits to

work papers, and other evidence determine which

accumulated during an should be retained.

investigation. Forward this to

Headquarters for

inclusion in main

file. Return others

to those who

furnished the

material to OIG.

Destroy balance of

files. Privacy Act

System of Record

HUD/OIG-1. (NARA Job

NC-1- 207-85-1, item

81b) \*

82\. General Subject Files. Program Records.

a\. Headquarters. Cut off files

annually. Retire to

Federal Records

Center when 4 years

old. Destroy when 10

years old. (NARA Job

NCl-207-85- 1, item

82a)

b\. Field Offices. Review annually and

destroy any

material over 4

years old which

has no more value.

(NARA Job

NC1-207-85-1, item

82b)

83\. Previous participation experience Destroy when 1 year

check. This is a request for old. (NARA Job

information on individuals or NC1-207-85-1, item

firms who are making application 83)

to participate in programs of the

Department.

69 9/92

2225.6 REV-1 CHG-4

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

\*84. Monthly Reports of Investigations

and Audits to the Secretary.

Reports from the IG to the

Secretary highlighting topics

of current interest. Reports

are arranged chronologically.

a\. Official Copy. PERMANENT. Cut off

annually. Retire to

Federal Records Center

when 5 years old, or

volume warrants.

Transfer to NARA in 5

year blocks when 10 - 15

years old. (NARA Job N1-

207-91-2, item 3a)

b\. All other copies. Cut off annually. Retire

to Federal Records Center

when 5 years old, or

volume warrants. Destroy

when 8 years old. (NARA

Job N1-207-91-2, item 3b)

85\. Semi-Annual Reports to Congress.

Contains IG messages to Congress,

overview of HUD actions, audits and

investigations, and specific problem areas.

Arranged chronologically.

a\. Official Copy. PERMANENT. Cut off

annually. Retire to

Federal Records Center

when 3 years old, or

volume warrants.

Transfer to NARA in 5

year blocks when 10 - 15

years old. (NARA Job N1-

207-91-2, item 1a)

b\. Agency Reference copies. Destroy when no longer

needed for

agency use. (NARA Job N1-

207-912, item 1b) \*

9/92 70

2225.6 REV-1 CHG-4

APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of Records Disposition

86\. OIG Automated system. These (ADP systems G01 through

include: OIG Audits and Management G04 are covered by NARA

System (G04); OIG Audit and Job NC1-207-84-1, items

Investigative Support System (G01); 18(1) through (7). ADP

OIG Planning and Operations System systems G05, G07, and G08

(G03); OIG Investigative Case are covered by NARA Job

Management System (G02); OIG NC1-207-85-1, items 84a

Hotline Management System (G05), through g.)

OIG Name Indices System (G07);

and OIG Complaint Management

System (G08).

Seven files are kept for each

system. The retention period

for each kind of file is the same in

each system.

a\. Documentation Files. Destroy 1 year after

system is

placed on inactive list.

b\. Input Documents and Monthly Maintain for 1 year; then

Reports, maintained in Manage- destroy if no longer

ment Information Division Files. needed for reference.

c\. Quarter Ended and Fiscal Year Maintain for 3 years;

Ended Reports, maintained in then destroy if no longer

Management Information Division needed for reference.

Files.

d\. Processing Files. Scratch after third

update cycle.

e\. Processing Files. Those Scratch after third

machine-readable files (from work update cycle.

files and raw data input files to

publication files and security backup

files) which are used to create

and use a master file.

71 9/92

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APPENDIX 3

RECORDS DISPOSITION SCHEDULE 3

ADMINISTRATIVE RECORDS

Item

No. Description of

Records Disposition

f\. Master Files. Constitute the

definitive state of a data file

in a system at a given time.

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

operational. update cycle.

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

from the inventory of active after system is

systems. placed on

inactive list.

g\. All other printings and output Destroy when

reports. superseded,

obsolete, or no

longer needed

for reference.

NOTE: Use the appropriate functional HUD Records Disposition

Schedule in place of General Records Schedules 15, 17, 19,

and 22.

9/92 72