**November 4, 1997 RCS VB-1**

**Part I**

**CONTENTS**

**SECTION PAGE**

Introduction: A. Purpose and Instructions for Use. . . . . . . . . . . .
. . . . . . . . v

> B. Disposition of Personal Papers and Official Records. . . . . . vi
>
> C. Convenience Files. . . . . . . . . . . . . . . . . . . . . . . . .
> . . . . . . vi

I. Director\'s Office . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . 1-1

II\. (Deleted.)

III\. Administrative . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . 3-1

IV\. (Deleted.)

V. Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . 5-1

VI\. Veterans Services . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . 6-1

VII\. Education and Vocational Rehabilitation and Counseling . . . . . .
. . . . . . . 7-1

VIII\. Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . 8-1

IX\. Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . 9-1

X. (Deleted.)

XI\. (Deleted.)

XII\. Loan Guaranty . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . 12-1

XIII\. General Administrative . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . 13-1

XIV\. (Deleted.)

XV\. (Deleted.)

XVI\. (Deleted.)

**APPENDIX**

A. Alphabetical Index . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . A-1

B. Forms/Form Letters Index . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . B-1

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**November 4, 1997**

**RCS VB-1**

**Part I**

**INTRODUCTION**

**A. PURPOSE AND INSTRUCTIONS FOR USE**

1\. The purpose of the VBA records control schedule is to provide
authority for prompt and orderly disposition of records, when
appropriate, and to provide for the retention of records of permanent
value. The records control schedule is required by Federal statute and
the instructions contained in it are mandatory. The VBA Supplement to
MP-1, part 11, chapter 1, provides procedures for requesting deviation
from instructions when local conditions so warrant.

2\. The VBA records control schedule is the sole authority for final
disposition of records under the jurisdiction of the Veterans Benefits
Administration. Part 1, which covers field station records, is separated
into sections covering a particular category of records. Authorities for
records common to more than one organizational element are listed in the
general administrative section. Each section contains instructions for
records relating to a particular functional operation or program.

a\. The title and/or description column contains the qualifying and
restrictive description of material identified under each item number.
When a description includes the term \"or equivalent,\" the disposition
authority applies to predecessor and successor records and records used
in the same manner and for the same purpose as the records described.

b\. The disposition column contains instructions applicable to material
described in the title and/or description column. Instructions may be
for permanent retention, transfer, retirement, or destruction.

c\. The authority column includes the source of the disposition
instructions. This is for Central Office use. The column also includes
the identification of nonrecord material. All material not specifically
identified as nonrecord in this column is categorized as record
material.

3\. Definitions applicable to this schedule:

a\. Disposal-Removal of records by destruction, sale as wastepaper or
other forms of salvage.

b\. Disposal Authority-Legal authorization to dispose of records.

c\. Disposition-Determination whether records shall be retained,
transferred, image reproduced, disposed of, or the action taken upon
making such determination.

d\. Retention-Continued keeping of records, the positive aspect of
disposition.

e\. Retention Period-The period of time records must be kept before they
may be disposed of, usually stated in terms of months or years, but
sometimes contingent upon occurrence of an event.

f\. Retirement-Transfer of less or inactive records to storage at a FRC
(Federal Records Center) or an archival agency.

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**RCS VB-1**

**Part I**

**B. DISPOSITION OF PERSONAL PAPERS AND OFFICIAL RECORDS**

1\. Federal law and related regulations require that agency officials
and personnel be made aware of established procedures for maintaining
personal papers and ensuring the security and integrity of official
records.

2\. The definition of official records, as cited in 44 U.S.C. 3301,
covers materials made or received either in pursuance of Federal law or
in connection with the transaction of public business, and includes
\"\...all books, papers, maps, photographs, machine readable materials,
or other documentary materials, regardless of physical form or
characteristics \....\" The definition of personal papers covers
materials pertaining solely to an individual\'s private affairs. When
material of this nature is kept in the office of a Federal employee, it
will be clearly designated as nonofficial and filed separately from
official records. In instances when matters involving the transaction of
official business are included in private personal correspondence, that
portion pertaining to official business will be extracted and made a
part of the official files.

3\. The definition of records, as cited in 44 U.S.C. 3301, excludes
\"\...extra copies of documents preserved only for personal convenience
of reference.\" Such copies are considered as nonrecord material and are
disposable without reference to Federal law. They may be retained in
personal files provided such retention does not decrease official agency
record holdings, violate national security, privacy or other
confidentiality aspects protected by law, nor detract from normal
administrative economies.

4\. Unlawful removal and/or destruction of records in agency custody is
governed by specific provisions of 44 U.S.C. ch. 33 with criminal
penalties provided for under 18 U.S.C. 2071. Unlawful disclosure of
certain information pertaining to national security carries penalties
under 18 U.S.C. 793, 794, and 798. Employees are legally responsible for
reporting to Records Management Officers any actual or threatened
unlawful loss or removal of official records.

5\. Records Management Officers are responsible for monitoring
compliance, on a regular basis, with the requirement for identifying and
maintaining personal papers separately from official records as well as
the requirement for ensuring the security and integrity of official
records.

**C. CONVENIENCE FILES**

**1. POLICY**

a\. A convenience file is a temporary file of informational papers, such
as printed or duplicated copies of publications, extra copies of
correspondence, completed forms, reports used as reading files, and
other material considered as working papers, which are kept conveniently
near the user(s) for immediate reference.

b\. Convenience files will be maintained in minimum numbers, in minimum
volumes and physically separated from official files in order to serve
as ready reference and to be easily disposed of.

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**Part I**

c\. Convenience files are identified under a variety of names. The most
common are:

> \(1\) Reading Files. Reading files contain copies of correspondence
> and other documents prepared in addition to official file copies and
> are maintained or circulated for information purposes. Most often,
> reading file material is arranged by date only. However, reading files
> are also known as alphabetical, subject, station, division, history,
> precedent, general and/or miscellaneous files; the material is
> arranged by date under the title assigned. The term \"history,\"
> should not be used in connection with reading files since directives
> require the keeping of certain history files of official papers.
>
> \(2\) Suspense Files. These consist of copies of papers, arranged by
> due date of pending action, and are used as ticklers for follow-up
> purposes.
>
> \(3\) Working Files. Working files contain originals, record of
> nonrecord copies, printed or duplicated materials, etc., accumulated
> on a current project or study and kept at action level. These are all
> papers which may be kept together for ready reference until completion
> of an assignment or job. Record materials in this type of convenience
> file will ultimately become part of official files.
>
> \(4\) Control and Index Files. These may consist of copies of papers
> but usually are cards which are maintained for administrative control
> or index purposes.
>
> \(5\) Handout Files. These consist of copies of material, usually
> printed or otherwise reproduced, which are in excess of immediate
> needs and kept in volume for handing out when requested or for
> forwarding with other material as informational attachments. There
> must be a valid need for every file. Since convenience files have only
> limited reference and administrative uses, costs and value should be
> seriously considered before the decision is made to start a file or to
> continue one already begun.

**2. MAINTENANCE.** Convenience files will be arranged to provide quick
reference, simple maintenance operations and easy disposal.

a\. Convenience files, except working files, will contain nothing of an
official nature and nothing which properly belongs in the official
files. Record material kept with nonrecord material in working files
will be sent to the official files when the accumulation is ready for
filing.

b\. Convenience files, other than reading and suspense files, will be
arranged by subject.

c\. The files should be kept in an orderly and uniform manner, folders
and drawers labeled as to contents, papers neatly filed within folders,
etc.

d\. Chronological cutoffs of the files will be established and observed.

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**RCS VB-1**

**Part I**

e\. Any folders, guides, labels, etc., may be used in the maintenance of
convenience files except those specified for mandatory use in official
files. However, convenience files are not intended for lengthy
preservation and the least expensive supplies will serve every purpose.

f\. Convenience files will be housed in less expensive or less desirable
filing equipment. They may be filed in any standard filing equipment of
proper size except fire-resistant, locked, and the like, which will be
reserved for records needing special protection.

**3. DISPOSITION**

a\. Convenience files will be disposed of in accordance with the
authorities in Records Control Schedule VB-1.

b\. Piecemeal disposal of individual papers upon completion of an action
such as transmittal, receipt of superseding information, etc., may be
done by the office having custody of the files. When the action occurs,
the paper is immediately withdrawn from file and discarded. This keeps
the filed information current and the volume of the files fairly
constant.

c\. Convenience files will be kept in the office having their custody
until eligible for bulk or piecemeal destruction. Under no circumstances
will they be stored.

**v**