2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

A. Active Program: This schedule provides disposition instructions for

Headquarters and Field records relating to the following active
Community

Planning and Development (CPD) programs:

Affordable Housing-

Comprehensive Housing Affordability Strategy (CHAS)

HOME Disaster Assistance

HOME Investment Partnerships

HOPE for Homeownership of Single Family Homes (HOPE 3)

Community Development Block Grants (CDBG)-

Disaster Assistance

Entitlement Communities Program

Nonentitlement Program:

Insular Areas

Small Cities

States

Section 108 Loan Guarantee Program

Economic Development-

Empowerment Zones/Enterprise Communities

Youthbuild

Environment and Energy-

District Heating/Cooling Grants

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

John Heins Neighborhood Development Program (NDP)

Minority Business Enterprise (SNAP)-

General Technical Assistance/Management Improvement Grants

Minority Business Enterprise (MBE) Agreements

Minority Business Enterprise (MBE) Performance

Special Needs Assistance Program (SNAP)-

Emergency Shelter Grant (Formula)

Emergency Shelter Indian Tribe Competition

Housing Opportunities for Persons with AIDS Program (HOPWA):

Competitive

Formula

HUD-Owned Single Family Property Disposition Initiative

Section 8 Moderate Rehabilitation Single Room Occupancy (SRO)

Shelter Plus Care (S+C) Program

Supportive Housing Program, Including:

Permanent Housing for Handicapped Homeless

Renewal of Supportive housing Grants

Transitional Housing for the Homeless

Surplus Property for Use to Assist the Homeless Program

(Title V)

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT

Special Purpose Grants-

Community Adjustment Planning Grants

Community Outreach Partnerships

Historic Black Colleges and Universities (HBCU)

Joint Community Development Program

National Cities - In Schools Program

National Community Development Initiative

Technical Assistance Program

Work Study Program

B. Inactive Programs: This schedule also covers records generated as a

result of the following earlier categorical and other HUD grant
programs:

Community Development Block Grants (CDBG)

Secretary\'s Discretionary Fund (Special Project Grants)

Comprehensive Homeless Assistance Plan (CHAP)

Comprehensive Planning Assistance (Section 701) Program

Energy Innovative Grants

Neighborhood Facilities

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Open Space Land Program, including:

Historic Preservation

Urban Beautification

Supplemental Assistance for Facilities to Assist the

Homeless (SAFA)

Urban Development Action Grants (UDAG)

Urban Homesteading

Urban Renewal

C. Programs Covered by Other HUD Schedules: Records of the following

earlier categorical and other HUD grant programs are covered by other
HUD

records disposition schedules:

For this program Use this

HUD Schedule\...

New Communities Records 60

Public Facilities Loan 16

Revolving Fund (Liquidating Program) 16

Section 312 Rental Rehabilitation Loans Grants 66

Solar Energy and Energy Conservation Bank 30

Title IX\--Urban Information and Technical 55

Assistance Grants

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No . Description of Records Disposition

l\. General subject correspondence Break files annually.

files. Consist of official Destroy when 3 years

record copies (Forms HUD-713 old. (NARA Job N1 207-

or equivalent) of outgoing 94-4, item 1)

correspondence, original

incoming correspondence, and

related documents.

2\. Chronological files. Break files annually.

Destroy when 3 years old.

Do not retire to Federal

Records Center. (NARA Job

N1 207-94-4, item 2)

3\. Reference copies of legal Destroy when superseded

opinions, policy and or obsolete, or when no

procedural issuances, inter- longer needed for refer-

pretations, informational ence. Do not retire to

releases and publications, Federal Records Center.

and any related published (NARA Job. NC1 207-79-6,

materials maintained in item 4)

Community Planning and

Development (CPD) offices.

4\. Official CPD grant records

kept in Headquarters and

Field Offices.

a\. Disapproved and withdrawn Use item 17-3 of HUD

applications and proposals Records Disposition

on which no contract was Schedule 3.

executed.

b\. Canceled, suspended, or Place in inactive file

terminated project on after final audit and

which a contract was settlement of account.

executed. Retire to Federal Records

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

Center 1 year after final

audit and settlement of

account, or any time

thereafter that volume

warrants. Destroy 6 years

after final audit and

settlement of account.

(NARA Job N1 207-94-4,

item 4b)

c\. Headquarters and/or Field

Office approved grantee

application, review,

approval, and performance

files.

\(1\) Formula entitlement Maintain at official file

grants maintained on station for 3 years after

a program year basis. the end of the program

year; then transfer to

inactive file. Retire to

Federal Records Center 4

years after the end of the

program year, or any time

thereafter that volume

warrants. Destroy 6 years

after the end of the

program year. (NARA Job

N1 207-94-4, Item 4c (1))

\(2\) All other grants. Maintain at official file

Includes discre- station until grant close-

tionary or out; then transfer to

competitive grants. inactive file. Retire to

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

Federal Records Center

1 year after grant close-

out, or anytime thereafter

that volume warrants.

Destroy 6 years after

grant closeout. (NARA Job

N1 207-94-4, item 4c(2))

d\. Program and technical

review and processing

copies of grantee appli-

cation packages, and all

related work papers that

typically accumulate at

each step in the review

process, but that do not

constitute the official

file containing the

record copies of

all approval actions.

\(1\) Related to Retire 1 year after date

applications for of decision on award of

discretionary or the grant, or anytime

competitive grants. thereafter that volume

warrants. Destroy 5 years

and 30 days after date of

decision on award of the

grant. (NARA Job N1 207-

94-4, item 4d (1))

\(2\) Related to applica- Retire 1 year after date

tions for formula of notification of the

entitlement grants award of the grant, or

(noncompetitive anytime thereafter that

grants). volume warrants. Destroy

Click Here to Download Change 50 in MS Word

2225.6 REV-1 CHG-50

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

3 years after date

of notification of

the award of the grant.

(NARA Job 207-94-4,

item 4d (2))

e\. Economic Development Initiative

Targeted Grants (EDI). Case files of

grants earmarked by Congress that HUD

must fund and manage projects of varying

topics such as creating affordable

housing, encouraging home-

ownership, building renovations,

historic preservation and restoration,

land acquisition, educational centers,

and other diverse areas. Record materials

included applications, correspondence,

budgets, ratings, progress reports,

deliverables, and other related materials.

Files are arranged according to an

alpha-numerical scheme identifying

these case files as EDI and the fiscal

year. Dates: 1998 to Present.

Estimated annual accumulation of

closed files: 15 cubic feet.

1\. Record Copy. Temporary. Cut off at

end of calendar year

in which grant is

closed out. Retire to

Records Center at time

of cutoff. Destroy 6

years after cutoff.

(NARA Job No. 207-02-2,

item 4e (1.))

8

2225.6 REV-1 CHG-50

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

2\. All other copies. Temporary. Cut off at

end of calendar year

in which grant is

closed out. Destroy 1

year after cutoff.

(NARA Job No. 207-02-2,

item 4e (2))

f\. Final grant reports of the comprehen-

sive Planning Assistance (Section 701)

Program.

\(1\) Record set of final grant reports, PERMANENT. Transfer to

dated 1951-1981, kept in HUD the National Archives

Headquarters Library. January 1, 1997. (NARA

Job N1-207-92-2,

item 1)

\(2\) Final grant reports automated index\-- PERMANENT. Retire

printed version. immediately to the

Washington National

Records Center.

Transfer to the

National Archives

January 1, 1997.

(NARA Job N1-207-

92-2, item 2)

5\. Financial accounting files relating to CPD grant

programs and maintained by the Headquarters

Office of Finance and Accounting and/or by

the Regional Accounting Division.

a\. Accountable Officers\' files. Use General Records

Schedule 6, item 1a.

b\. Memoranda or extra copies of accountable Use General Records

officers\' returns. Schedule 6, item 1b.

9

2225.6 REV-1 CHG-50

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT

Item

No. Description of Record Disposition

6 Electronic Copies. Electronic version of records created

by electronic mail and/or word processing applications for the series

contained in this schedule (Economic Development Initiative Targeted

Grant records).

a\. Copies that have no further administrative Temporary. Delete

value after the recordkeeping copy is made. within 180 days after

Includes copies maintained by individuals the record-keeping

in personal files, personal electronic mail copy has been

directories, or other personal directories produced. (NARA Job

on hard disk or network drives, and copies No. N1-207-02-2, item

on shared network drives that are used i 6a)

only to produce the recordkeeping copy.

b\. Copies used for the dissemination, Temporary. Delete when

revision, or updating is complete. Dissemination,

revision, or updating

is complete. (NARA

Job No. N1-207-02-2,

item 6b)

10

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

6\. Community Planning and Devel-

opment automated systems

and the related documen-

tation required to service

them.

a\. Newly established CPD Prepare Standard Form

automated systems 115, Request for Records

not covered in this Disposition Authority,to

Records Disposition cover new automated

Schedule. system.

Submit through

CPD\'s Data

Systems and

Statistics Division to the

Departmental Records

Management Officer.

Attach a copy of the record

layout and the glossary of

terms/general

purpose

format. (NARA Job NC1

207-79-6, item 8a)

b\. The following automated

system is \"permanent.\"

\(1\) Rehabilitation Loans

and Grants System

(R84).

\(a\) System documen- Permanent. Transfer a

tation, includ- copy to the National

ing a copy of Archives, together with

the record lay- a copy of the current

out and glossary master file. (NARA

terms. Job NC1-207-79-6,

item 8b(1)(a)).

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

\(b\) System documen- Destroy 3 years after

tation maintained system is eliminated

by HUD, including from inventory of active

all technical doc- systems. (NARA Job NC1-

uments identified 207-79-6, item 8b(1)(b))

in HUD\'s ADP

Documentation

Standards Manual.

\(c\) Input Documents. Destroy after data has

Copies of forms been entered into the

and reports in- system and verified.

tended to serve (NARA Job NC1-207-79-6,

solely as inputs item 8b(1)(c))

to the system.

\(d\) Input Documents. Destroy in accordance with

Documents that are relevant instructions in part of

official this schedule. (NARA job

record files NC1-207-79-6, item

covered covered elsewhere

8b(1)(d))

in this schedule.

\(e\) Processing Files. Scratch after third update

Initial, Interme- cycle. (NARA Job NC1-207- diate or

Valid 79-6, item 8b(1)(e))

Transaction Data.

\(f\) Processing Files. Apply provisions of

Publication and General Records Schedule

Print Files. (GRS) 20, items 20 and 21.

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT RECORDS

Item

No. Description of Records Disposition

\(g\) Master Files. Transfer a copy of the

Copy of current current master to the

master file. National Archives immedi-

ately and future updates

on an annual basis. (NARA

Job NC1-207-79-6, item

8b(1)(g))

\(h\) Master files Scratch after third update

retained in HUD cycle. Destroy final ver-

tape library. sion of master 3 years

after system is eliminated

from inventory of active

systems. (NARA Job NC1-

207-79-6, item 8b(1)(h))

\(i\) Printouts and Destroy when superseded,

other output obsolete, or no longer

reports. needed for administrative

or reference purposes.

(NARA Job NC1-207-79-6,

item 8b(1)(i))

C. COMMUNITY PLANNING AND DEVELOPMENT GRANT RECORDS

The following Automated

Systems are \"Disposable.\"

\(1\) Community Development

Block Grant (CDBG)

Discretionary Balance

Study System, 1975 (C29).

\(2\) CDBG Discretionary

Balance Study System,

1976 (C30).

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT GRANT RECORDS

Item

No. Description of Records Disposition

\(3\) CDBG Discretionary

Grants System (C20).

\(4\) CDBG Entitlement

Determination

System (D98).

\(5\) CDBG Funding Survey

System (C15).

\(6\) CDBG Grantee

Performance System

(C21).

\(7\) CDBG Management

System (C11).

\(8\) CDBG Program Evaluation

System (C16).

\(9\) Comprehensive Planning

Assistance Data

System (CPADS)(C23).

\(10\) Comprehensive Planning

Fund Allocation

System (C10).

\(11\) Land Acquisition/

Relocation System

(LARS) (C12).

\(12\) CDBG Entitlement

Determination

System (C13).

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT GRANT RECORDS

Item

No. Description of Records Disposition

\(13\) CDBG Housing Assistance

Plan System (HAPS-1976)

(C25).

\(14\) Rehabilitation Section

312 Returned Loan

Analysis System (C31).

\(15\) CDBG Discretionary

Applications Analysis

System.

\(16\) CDBG Discretionary

Balance Study

System, 1977 (C32).

\(17\) CDBG Entitlement

Applications

Analysis System.

\(18\) Community Planning

and Development

(CPD) Programs Fund

Assignment

System (C27).

\(19\) CPD Workload

Indicators System

(C22).

\(20\) Comprehensive

Planning Assistance

Directory System (C17).

2225.6 REV-1 CHG-14

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT GRANT RECORDS

Item

No. Description of Records Disposition

\(21\) Open Space System.

\(22\) Urban Development

Action Grant (UDAG)

Data Analysis

System.

\(23\) Water and Sewer Directory

System.

Disposition instructions for these

systems are:

\(a\) System documen- Retire to Federal Records

tation maintained Center 1 year after system

by HUD, including is eliminated from

all technical doc- inventory of active

uments identified systems, or any time after

in HUD\'s ADP such event that volume

Documentation warrants. Destroy 3 years

Standards Manual. after system is eliminated

from inventory of active

systems. (NARA Job NC1-

207-79-6, item 8c(a)).

\(b\) Input Documents Destroy after data has

Copies of forms been entered into system

and reports in- and verified. (NARA Job

tended to serve NC1-2077-79-6, item 8c(b))

solely as inputs

to the system.

2225.6 REV-1 CHG-35

APPENDIX 69

RECORDS DISPOSITION SCHEDULE 69

COMMUNITY PLANNING AND DEVELOPMENT GRANT RECORDS

Item

No. Description of Records Disposition

\(c\) Input Documents. Destroy in accordance

Documents that with relevant instructions

are part of in this schedule. (NARA

official record Job NC1-207-79-6, item

files covered 8c(c)

elsewhere in this

schedule.

\(d\) Processing Files. Scratch after third update

cycle. (NARA Job NC1-207-

79-6, item 8c(d))

\(e\) Master File. Scratch after third update

Operational pro- cycle. (NARA Job NC1-207-

cessing mode. 79-6, item 8c(e))

\(f\) Master File. Retire to Federal Records

System elimi- Center with system docu-

nated from HUD\'s mentation. Destroy 3

inventory of years after system\'s

active systems. elimination from inventory

of active systems. (NARA

Job NC1-207-79-6, item

8c(f))

\(g\) Printouts and Destroy when superseded or

output reports. obsolete, or no longer

needed for administrative

or reference purposes.

(NARA Job 207-79-6, item

8c(g))

7\. RESERVED

8\. RESERVED

15 5/97

BLANK PAGE

2225.6 REV-1 CHG-35

APPENDIX 69

Records Disposition Schedule 69

Community Planning and Development Grant Records

System Name: Homeless Assistance Management Information System

(HAMIS)

System Code: C38

Description: The C38 System is a microcomputer system used to

manage homeless assistance support systems which are comprised of

application process systems, selection support systems and data

downloaded from the Line of Credit Control System (LOCCS). Its

master files are contained in its Application History System

(AHS) and its Office of Special Needs Assistance Programs (SNAPS)

Manage-ment Information System (SNAPS-MIS), a post selection

system.

The C38 System receives and transmits information as support for

CPD\'s Homeless Programs such as Emergency Shelter Grants Program

(ESGP), Community Development Block Grant (CDBG) Homeless

Assistance Programs, Surplus Property for Use to Assist the

Homeless (Title V), Supplemental Assistance for Facilities to

Assist the Homeless (SAFAH) Program, the Transitional and

Permanent Housing Component of the Supportive Housing

Demonstration Programs. The C38 System receives and transmits

information which covers grant applications, grant awards, post

approval monitoring and grantee performance reporting.

This systems also provides support for other CPD activities

pertaining to the homeless. Data are transmitted via magnetic

media to the Interagency Council on the Homeless which is

currently a working group from the White House Domestic Policy

Council.

16 5/97

2225.6 REV-1 CHG-35

APPENDIX 69

Records Disposition Schedule 69

Community Planning and Development Grant Records

System Name: Homeless Assistance Management Information System

(HAMIS)

System Code: C38

Item

No. Description of Records Disposition

9\. Homeless Assistance Management

Information System (HAMIS)

(C38).

a\. Application History System

(AHS). Consists of data used

for responses to ad hoc

queries from the public,

Congress and analyses for

CPD management.

\(1\) AHS Data. Data is

maintained in 19

separate tables.

\(a\) 1987-1993. PERMANENT. Transfer 1

ASCII copy of data for each

table to the National

Archives (NA)

upon schedule approval.

Job N1-207-96-6, item 9 a

\(1\) (a))

\(b\) 1993 forward. PERMANENT. Transfer 1

ASCII copy to NA every 5

years or before the

system becomes inactive,

is replaced, suspended,

or deleted whichever is

sooner.

Job N1-207-96-6, item 9 a

\(1\) (b))

\(2\) System documentation. PERMANENT. Transfer to

May consist of data NA with the related data.

elements dictionary, (NARA Job N1-207-96-6,

record layouts, source item 9 a (2))

codes, user\'s manual

and related doc-

umentation.

5/97 17

2225.6 REV-1 CHG- 32

APPENDIX 69

Records Disposition Schedule 69

Community Planning and Development Grant Records

System Name: Homeless Assistancegement Information System

System Code: C38

Item

No. Description of Records Disposition

\(3\) AHS Output Reports. Destroy when superseded or when no

longer needed.

(NARA Job N1-207-96-6, item 9 a (3))

b\. SNAPS Management Information

System (SNAPS MIS). Consists

of data which form the basis

of a post selection support

system. The data in this

system partially duplicate

data in the AHs.

\(1\) SNAPS MIS Data. Delete when superseded or

no longer needed.

(NARA Job N1-207-96-6, item 9 b (1))

\(2\) System Documentation Delete when superseded or

for SNAPS MIS. no longer needed.

(NARA Job N1-207-96-6, item 9 b (2))

\(3\) SNAPS MIS Output Delete when superseded or

Reports. no longer needed.

(NARA Job N1-207-96-6, item 9 b (3))

18 3/97

2225.6 REV-1 CHG-32

APPENDIX 69

Records Disposition Schedule 69

Community Planning and Development Grant Records

System Name: Homeless Assistance Management Information System

System Code: C38

Item

No. Description of Records Disposition

c\. Application Tracking

System (ATS). Consists

of temporary data used

to process applications

for assistance. Selected

data copied to AHS before

deletion.

\(1\) ATS Data. Delete after copies

made to AHS have been

verified.

(NARA Job N1-207-96-6, item 9 c (1))

\(2\) System Documentation

for ATS. Delete when superseded or

no longer needed.

(NARA Job N1-207-96-6, item 9 c (2))

\(3\) ATS Output Reports. Delete when superseded or

no longer needed.

(NARA Job N1-207-96-6, item 9 c (3))

19 3/97