U.S. Department of Agriculture ND Instruction 2033-A

Rural Development

PART 2033 - RECORDS

Subpart A - Records Management in Rural Development Field Offices

2033.1 - [Purpose]{.underline}

This instruction supplements RD Instruction 2033-A to assist in
maintaining office records and provides uniformity throughout the state.

2033.6(c) -- [File Maintenance]{.underline}

To maintain uniformity throughout field offices in the State, the
operational files listed in Exhibit A of this instruction will be
established. This is not an "all inclusive" list. Offices may establish
additional codes based on need. Disposition authorities listed in RD
Instruction 2033.13 and the Operational Records Manual, Section 4, are
to be followed. Exhibit B shows the file codes, file station locations,
and person(s) responsible for a particular group of records in the State
Office. Additional sub-files may be added as needed.

2033.6(b)(1)(iii) - [Filing cabinets - Locking Type.]{.underline}

To provide internal control of safe combinations, all Rural Development
State, Area and Local Offices should provide combination access to only
those employees who must have access to material stored in the fire
resistant file. There should be no evidence of the combination
maintained in either Area or Local Offices.

Upon termination or transfer of persons with access to the safe's
combination, the combination must be changed. Another envelope (marked
with the office code and contents) with the new combination is to be
submitted to the State Office, Attention: Management & Program Analyst.
The Area or Local Office name should also be written on the envelope.

2033.6(c)(3)(i) - [Folder Maintenance Requirements - Operational
Files]{.underline}

Exhibit C of this instruction contains the "Field Office Contract File
Organizer" for Contracting Officer Representative (COR) files. This
exhibit describes the position filing method required for documents in
the COR files. The appropriate page of the checklist should be filed at
the top of each position in contract files.

DISBRIBUTION: S, A, L Administrative Services

Records

Page 1

U.S. Department of Agriculture ND Instruction 2033-A

Rural Development

The non-contractual files shall be organized with the AD 838 (Purchase
Order) on the left side of the folder. The right side will contain Form
RD 838-B (Invoice-Receipt Certification) followed by the invoice (or
receipt marked "paid" for reimbursement of out-of-pocket expenses) and a
record of order placement (letter or record of phone call in
circumstances where RD must initiate the action. Each separate RD 838-B
and record of order shall be stapled together, with the most recent
order on top.

To reimburse an employee for out-of-pocket expenses, the AD-838 and RD
838-B are to be signed by the employee's supervisor.

Contracting Officer Representative files should be submitted to the
Contracting Officer two fiscal years after the fiscal year in which the
final payment has been initiated.

2033.8 - [Maintenance of active borrower case folders.]{.underline}

RD Instruction 2033-A, Exhibit B, will be supplemented by Guides 1, 3,
and 4 of ND Instruction 1942-A for Community Facility Loans. RD
Instruction 2033-A, Exhibit B, will be supplemented by Guides 1, 3, and
4 of ND Instruction 1780-A for Water and Waste and Guides 2 and 3 of ND
Instruction 1942-G for RBEG.

In cases of bankruptcy, see ND Instruction 2015-E for further direction
on maintenance of information that would not be releasable under the
Privacy Act.

2033.8(b)(6)(iii) - [Loss to the Government.]{.underline}

Annual reports on guaranteed loss monies collected must be completed for
5 years after the loss is paid. Therefore, retain guarantee loss to
government files for 7 fiscal years.

2033.8(b)(8) - [Property Acquisition.]{.underline}

For property that is acquired, the following items should be set up in
an inventory property file:

> 1\. Form 1955-1, Offer to Convey, and Warranty Deed in Voluntary
> conveyances.
>
> 2\. Notice of Sale, Judgment, Sheriff or U.S. Marshall deeds, legal
> notices, redemption's, etc. on foreclosures.
>
> 3\. Final Title Opinion giving Rural Development title to the
> property.
>
> 4\. Form 1955-3, Advice of Property Acquired.
>
> 5\. Form 1955-3A, Acquired Property - Maintenance.
>
> 6\. Form 1944-55, Multi-Family Transfer of Rental Assistance

Page 2

U.S. Department of Agriculture ND Instruction 2033-A

Rural Development

> 7\. Form 1965-19, Multi-Family Housing Advice of Mortgaged Real Estate
> Acquired.
>
> 8\. Appraisal prepared to obtain the property.
>
> 9\. Worksheet for accepting inventory property.
>
> 10\. All recoverable cost vouchers.
>
> 11\. Any lease information.
>
> 12\. Any information on chattels taken into inventory or a Bill of
> Sale on acquired chattels.
>
> 13\. In abandonment cases, any documentation giving the Area Director,
> Assistant Area Director or Rural Development Manager authority on what
> to do.
>
> 14\. Form 1940-22, Environmental Checklist for Categorical Exclusions,
> on leased property.
>
> 15\. Easements pertaining to the property.

Any actions taken after acquisition which pertain to that inventory
property (real estate owned property) will be filed in the inventory
property file.

When a credit sale is closed, the appraisal should be transferred to the
new borrower folder and the inventory property file should be marked
closed and disposed of in accordance with RD Instruction 2033.10(b).

Attachments: Exhibits A, B, and C.

o0o

Page 3

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  ----------- --------------------- ---------------------- ----------------- ---------------------------
  **PRIMARY   **SUBTITLE FILE       **DESCRIPTIONS**       **DISPOSITION**   **FILING REQUIREMENTS**
  FILE CODE** CODE**                                                         

  1700                              Rural Utilities        3 FY\'S           
                                    Service (General)                        

              1703-B                Rural Economic         3 FY\'S           
                                    Development Loan and                     
                                    Grant Program                            

              1703-D                Distance Learning &    2 FY\'S           
                                    Telemedicine Program                     

  1775                              Technical Assistance   3 FY\'S           
                                    and Training Grants                      

  1777                              Section 306C Water and 2 FY\'S           
                                    Waste Division Loans                     
                                    and Grants                               

  1778                              Emergency Community    2 FY\'S           
                                    Water Assistance                         
                                    Grants                                   

  1779                              Water & Waste Disposal 2 FY\'S           
                                    Guaranteed Loans                         

  1780                              Water and Waste Loan   2 FY\'S           
                                    and Grant Program                        

  1781                              Resource Conservation  3 FY\'S           
                                    and Development (RCD)                    
                                    Loans and Watershed                      
                                    (WS) Loans and                           
                                    Advances                                 

  1794                              Environmental Policies Disposition Not   
                                    and Procedures         Authorized        

              1806-A                Real Property          2 FY\'S           Regulation still shows
                                    Insurance                                426.1. Also formerly listed
                                                                             as 1926-A.

              1806-B                National Flood         50 FY\'S          Retain all material
                                    Insurance                                pertaining to designated
                                                                             areas eligible for National
                                                                             Flood Insurance. Regulation
                                                                             still shows 426.2. Also
                                                                             formerly listed as 1926-B.

              1806-B-1              Flood Hazard Maps      Upon receipt of   Regulation still shows
                                                           new map or when   426.2. Also formerly listed
                                                           no longer needed  as 1926-B.

  1900                              Program Operations     3 FY\'S           To include general
                                    (General)                                information on appeals.

              1900-1                Outreach               Disposition Not   
                                                           Authorized        

              1900-B                Adverse Decisions and  2 FY'S            
                                    Administrative Appeals                   

              1900-D                Processing and         3 FY'S            
                                    Servicing RD                             
                                    Assistance to                            
                                    Employees, Relatives &                   
                                    Associates                               

  1902                              Supervised Bank        1 FY              
                                    Accounts (General)                       

  1904                              Borrower Case          2 FY\'S           
                                    Classification                           
                                    (General)                                

  1905                              Management Systems     2 FY\'S           
                                    (General)                                

              1905-A                Field Office           retain until next Includes application and
                                    Management Systems     State Internal    processing cards or similar
                                                           Review            format for guaranteed loans
                                                                             and multi-family housing.

  1910                              General (Credit        2 FY\'S           
                                    Reports)                                 

              1910-B                Credit Reports         2 FY\'S           Provides guidance in
                                    (Individual)                             obtaining and utilizing
                                                                             credit reports.

  1922                              Appraisals (General)   2 FY\'S           To include the list of
                                                                             appraisers supplied to
                                                                             hearing officers and the
                                                                             qualification documentation
                                                                             as per Instruction
                                                                             1951.909.

              1922-01               Administrative         2FY\'S            Provides guidance on
                                    Appraisal Reviews-SFH                    utilizing and reviewing
                                                                             loan making and servicing
                                                                             appraisals.

  1924                              Construction and       2 FY\'S           Provides guidance on
                                    Repair (General)                         planning and performing
                                                                             construction and other
                                                                             development.

              1924-C-1,-2,-3 etc.   Name of, Subdivision   2 FY\'s after     Use a separate folder for
                                                           last lot is sold  each approved subdivision.

              1924-F                Complaints and                           To include list of debarred
                                    Compensation for                         contractors and grantees.
                                    Construction Defects                     Retain only the current
                                                                             list.

              1924-F-1, 2, 3, etc.  Complaints and         3 FY\'S after end To contain a history of
                                    Compensation for       of FY of final    actions taken on
                                    Construction Defects   disposition of    compliments from date of
                                    (Name of Builder)      complaint         receipt to date of final
                                                                             disposition.

  1925                              Taxes (General)        1 FY              

  1927                              Title Clearance and    Retain current    
                                    Loan Closing (General) designations,     
                                                           destroy 1 FY      
                                                           after             
                                                           termination, 3    
                                                           FY\'S for         
                                                           remaining         
                                                           material          

  1940                              Loan and Grant Making  3 FY\'S           To include information
                                    (General)                                about insured funding
                                                                             allocations and requests.

              1940-01               Evidence of                              [To be maintained in locked
                                    Indebtedness                             fireproof safe. Original
                                                                             promissory notes, renewal
                                                                             promissory notes,
                                                                             assumption agreements,
                                                                             stock certificates,
                                                                             accelerated repayment
                                                                             agreements, and grant
                                                                             agreements will be
                                                                             maintained in a set of A-Z
                                                                             folders in a locked
                                                                             fireproof safe. Evidence of
                                                                             Indebtedness and Stock
                                                                             Certificates for each
                                                                             borrower will be kept
                                                                             together.]{.underline}

              1940-02               Charged-Off Notes      6 FY\'S after     [To be maintained in locked
                                                           charged off       fireproof safe. To contain
                                                                             original promissory notes
                                                                             charged off without release
                                                                             of liability. Mark the
                                                                             disposition on each note as
                                                                             it is filed.]{.underline}

              1940-03               Evidence of            10 FY\'S after    [To be maintained in locked
                                    Indebtedness for       paid in full      fireproof safe. To contain
                                    Address for Unknown    otherwise         paid in full or otherwise
                                    Borrowers              satisfied         satisfied evidences of
                                                                             indebtedness which cannot
                                                                             be delivered to borrowers
                                                                             due to address
                                                                             unknown.]{.underline}

              1940-C                Davis-Bacon Act        3 FY\'S           To include Semi-Annual
                                                                             Labor Compliance Report and
                                                                             Davis-Bacon Wage Rates.

              1940-D (1901-E)       Civil Rights           4 FY\'S           (regulation still
                                    Compliance                               shows1901-E) To include
                                    Requirements                             annual report.

              1940-G                Environmental Program  3 FY\'S           Lead Based Paint, FEMA
                                                                             Disaster Declarations

              1940-M                Government-Wide        Retain current    Retain current listings and
                                    Debarment and          listings, destroy supplements.
                                    Suspension (Non        when no longer    
                                    procurement) and       needed            
                                    Requirements for                         
                                    Drug-Free Work Place                     

              1940-N (1901-N)       Indian Outreach        3 FY\'S           (regulation still shows
                                    Program                                  1901-N)

              1940-P (1901-P)       Computer Terminal      2 FY\'S           (regulation still
                                    Security (contains                       shows1901-P) To include
                                    annual security                          latest RD Security
                                    checklist)                               Handbook, and annual
                                                                             security checklists.

  1942                              Association Loans      2 FY\'S           
                                    (General)                                

              1942-A                Community Facility     2 FY'S            
                                    Loans                                    

  1944                              Housing (General)      2 FY\'S           To include RH Asset Sale
                                                                             information where
                                                                             applicable.

              1944-N                Housing Preservation   3 FY\'S           
                                    Grants (General)                         

  1948                              Rural Development      3 FY\'S           
                                    (General)                                

  1950                              Account Servicing      2 FY\'S           
                                    (General)                                

  1951                              Servicing and          2 FY\'S           
                                    Collections (General)                    

              1951-A                Account Servicing      3 FY\'S           To include Form 451-27,
                                    Policies                                 \"Annual Review of
                                                                             Collection Only Accounts\".

              1951-B                Collections            5 FY\'S           To include materials from
                                                                             training meetings, general
                                                                             information on Wholesale
                                                                             Lockbox Process and Form RD
                                                                             1951-44, \"Management
                                                                             Control & Review of Field
                                                                             Office Collection
                                                                             Activities\" for annual
                                                                             review.

              1951-B-1              Acknowledgement of     3 FY\'s after     [To be maintained in locked
                                    Cash Payments          date of last      fireproof safe. Keep field
                                                           receipt in book   office copy in receipt
                                                                             book. Keep original and
                                                                             copy of voided receipts in
                                                                             the book.]{.underline}

              1951-B-2,-3,-4, etc   Collections, (Month),  5 FY\'S           [To be maintained in locked
                                    (Year)                                   fireproof safe whenever
                                                                             possible. Refer to RD
                                                                             Instruction 1951-B for
                                                                             position filing. Due to the
                                                                             limited activity, local
                                                                             offices may maintain an
                                                                             annual file labeled
                                                                             \"Collections,
                                                                             (Year)\".]{.underline}

              1951-C                Offsets of Federal     5 FY\'S           Pos. 1 - Administrative
                                    Payments to USDA                         Offset; Pos. 2 - Salary
                                    Agency Borrowers                         Offset; Pos. 3 - IRS
                                                                             Offset; Pos. 4 - General
                                                                             Correspondence.

              1951-E                Servicing of Community 3 FY\'S           
                                    & Insured Business                       
                                    Program Loans and                        
                                    Grants                                   

              1951-F                Analyzing Credit Needs 3 FY\'S           To include Finance Office
                                    and Graduation of                        graduation lists, Form RD
                                    Borrowers                                1951-24, \"Results of
                                                                             Borrower Graduation
                                                                             Review\", Lender Contracts,
                                                                             and Exhibits A and B of
                                                                             Instruction 1951-F or a
                                                                             similar format.

  1955                              Property Management    2 FY\'S           To include inventory
                                    (General)                                property lists.

              1955-C-1,2,3,etc.     Form RD 1955-42,       5 FY\'S           Establish a file for each
                                    \"Open Real Property                     county in servicing area as
                                    Master Listing                           needed.
                                    Agreement\"                              

  1956                              Debt Settlement        2 FY\'S           
                                    (General)                                

  1962                              Personal Property      2 FY\'S           To include subordination
                                    (General)                                tally cards.

  1965                              Security Servicing -   2 FY\'S           
                                    Real Property                            
                                    (General)                                

  1980                              Guaranteed Loans       2 FY\'S           To include information
                                    (General)                                regarding losses which do
                                                                             not pertain to a particular
                                                                             borrower.

              1980-D-1,-2,-3,etc.   Certified/Approved                       Prepare a separate file for
                                    Lender (Name of                          each certified or approved
                                    Lender)                                  lender which contains all
                                                                             lenders' agreements for
                                                                             loans currently being
                                                                             serviced.

  1992                              Reports (General)      2 FY\'S           Establish a file for each
                                                                             type of report as needed.

              1992-E                Reporting to Internal  3 FY\'S           To include a copy of Form
                                    Revenue Service                          RD 1992-6, \"Acquisition or
                                                                             Abandonment of Secured
                                                                             Property\", and any
                                                                             reporting of cash
                                                                             collections in excess of
                                                                             \$10,000 annually from any
                                                                             one borrower.

  2000                              Administration         3 FY\'S           
                                    (General)                                

              2000-01               Emergency Planning     Retain current    To include a copy of the
                                                           plan              current field office
                                                                             Emergency Action Plan and
                                                                             current list of USDA County
                                                                             Emergency Board Members.

              2000-E                RD Policy on Meetings  2 FY\'S           

              2000-G                Notaries Public        Retain current    To include Form SF 1012 for
                                    Expense Act of 1955    designations      payment of notary public
                                                                             expenses and information on
                                                                             current designations.

  2003                              Organization (General) Retain current    To include organizational
                                                           information       charts.

  2006                              Management (General)   3 FY\'S           

              2006-F                Delegation of          5 FY\'S after     To include a copy of all
                                    Authority              revoked or        current delegations.
                                                           revised, or       Special delegations and
                                                           position is       redelegations. Destroy 5
                                                           eliminated        FY\'s after date specified
                                                                             in delegation; delegate is
                                                                             separated or removed from
                                                                             position with which
                                                                             delegation is identified;
                                                                             delegation is invalidated
                                                                             by regulations or other
                                                                             procedural issuances,
                                                                             whichever is later.

              2006-G                Designation of Acting  5 FY\'S after     To include a copy of
                                    Officials              termination,      designations of Acting
                                                           being revoked or  Officials.
                                                           separation        

              2006-I                Strategic Planning and Disposition Not   To include 5 Year Strategic
                                    Accountability         Authorized        Plan, Annual Performance
                                                                             Plan and annual
                                                                             accomplishments.

              2006-M                Management Control     Retain current    To include Evaluation
                                    System                 review            Reviews, Management Control
                                                                             Reviews, State Internal
                                                                             Reviews, Area Director
                                                                             Oversight reports, and
                                                                             correspondence on follow up
                                                                             and corrective actions.

              2006-U                Information Resources  3 FY\'S           To include any type of
                                    Management: Office                       automation related
                                    Automation and End                       newsletters, System
                                    User Computing                           Administrator information,
                                                                             etc., if not filed in
                                                                             binders. May sub-divide as
                                                                             needed.

  2009                              Budgets (General)      2 FY\'S           

  2012                              Audits and             2 FY\'S           
                                    Investigations                           
                                    (General)                                

  2015                              Information (General)  1 FY              To include \"questions and
                                                                             answers\", staff minutes,
                                                                             meeting minutes, etc.

              2015-B                Public Information     1 FY              To include bulletins,
                                    Functions of RD                          FYI\'s, news articles and
                                    Employees                                releases.

              2015-E                Availability of        5 FY\'S           To include a copy of each
                                    Information Under the                    accounting record of
                                    Privacy Act                              disclosures of information
                                                                             initiated by Rural
                                                                             Development under the
                                                                             Privacy Act as prescribed
                                                                             in RD Instruction 2015-E.
                                                                             File a copy of this
                                                                             accounting record with the
                                                                             record from which the
                                                                             disclosure was made.

  2018                              General                1 FY              To include RD Form 2018-1
                                    (Administrative                          \"Vehicle Commitment &
                                    Services)                                Authorization Form\". GSA
                                                                             travel records will be
                                                                             maintained in Operational
                                                                             File 2036.

              2018-E                Security of Valuable   5 FY\'S           [To be maintained in locked
                                    Documents                                fireproof safe. To include
                                                                             record of mailing or
                                                                             delivery of bonds and
                                                                             interest coupons and
                                                                             internal receipts. Files
                                                                             relating to alleged
                                                                             violations of orders, laws,
                                                                             or agency regulations for
                                                                             the safeguarding of
                                                                             information.]{.underline}

              2018-F                Availability of        5 FY\'S           To include copy of FOIA
                                    Information                              requests granted, \"Annual
                                                                             Report of Denials\", and
                                                                             Form RD 104-1, \"Public
                                                                             Information Transmittal
                                                                             and/or Receipt\". Excludes
                                                                             material pertaining to
                                                                             exempt records that have
                                                                             been denied, those records
                                                                             that have been furnished to
                                                                             the requester after appeal
                                                                             to the Administrator and
                                                                             records sought by
                                                                             compulsory process. Also
                                                                             include \"Annual Report of
                                                                             Denials\" and Form RD
                                                                             104-1, \"Public Information
                                                                             Transmittal and/or
                                                                             Receipt\".

  2021                              Space (General)        2 FY\'S           To include correspondence
                                                                             for space and maintenance
                                                                             matters, including
                                                                             allocation, utilization,
                                                                             and release of space.

              2021-A                Location (city or      1 FY after move   To include current floor
                                    town) of office        or closure        plan and leases for space.

  2024                              Property and Supply    2 FY\'S           To include Form RD 2024-6,
                                    (General)                                \"Notice of Transmittal and
                                                                             Receipt\".

              2024-A                Acquisition, Sales,    6 FY\'S & 3       
                                    and Leasing Authority  Months after      
                                                           final payment     

              2024-A-1              Master List of                           To include logs of
                                    Solicitations,                           solicitation numbers and
                                    Purchase Orders and                      purchase order numbers and
                                    NFC Reports                              NFC proof of purchase order
                                                                             payment reports.

              2024-A-2,3,4, etc.    Form RD 838-B          6 FY\'S & 3       FOR CONTRACTUAL FILES:
                                    \"Invoice-Receipt      Months            (Contract #) - (Type of
                                    Certification\"                          Contract) - (Name of
                                                                             Vendor) - (Dates of
                                                                             Contract). Maintain a
                                                                             separate 4 position folder
                                                                             for each contract. FOR
                                                                             NON-CONTRACTUAL FILES:
                                                                             (Vendor Name) - (Type of
                                                                             Contract) - (Fiscal Year).
                                                                             Maintain a separate folder
                                                                             for each vendor. Destroy
                                                                             files containing contracts
                                                                             under \$25,000 and
                                                                             Construction Contracts
                                                                             under \$2,000 3 fiscal
                                                                             years after final payment.

              2024-C                Request and Control of 2 FY\'S after     To include log of supply
                                    Forms, Supplies, and   termination or    costs and information on PO
                                    Miscellaneous Services completion of     box rent.
                                    by State, Area, and    transaction       
                                    Local Offices                            

              2024-H                Custody, Control,      3 FY\'S after     To include latest Personal
                                    Utilization, and       equipment is      Property Physical Inventory
                                    Disposal of            removed from      Report.
                                    Nonexpendable Personal Agency control.   
                                    Property                                 

  2027                              Reproduction (General) 1 FY              

  2030                              Communications         2 FY\'S           To include telephone
                                    (General)                                orders, mail survey
                                                                             reports, postal meter
                                                                             reports and agency
                                                                             directives.

  2033                              Records (General)      6 FY\'S           To contain evidence of
                                                                             files and records
                                                                             permanently transferred to
                                                                             N/O, other Federal
                                                                             agencies, or SRRC
                                                                             authority. Correspondence,
                                                                             reports, authorizations,
                                                                             and other records that
                                                                             relate to the management of
                                                                             agency records.

              2033-A-1              Receipts for Valuable  50 FY\'S          [To be maintained in locked
                                    Documents                                fireproof safe. To include
                                                                             receipted copies of Form
                                                                             140-4 or other evidence of
                                                                             valuable documents returned
                                                                             to a borrower.]{.underline}

  2036                              Travel (General)       2 FY\'S           To include information and
                                                                             report on GSA vehicles,
                                                                             updates of travel and
                                                                             transfer policies.

              2036-A-1,2,3,etc.     Name of Traveler,      6 FY\'S           These folders may be
                                    Travel Vouchers                          maintained as the
                                                                             employee\'s personal
                                                                             records but must be
                                                                             available for audit
                                                                             purposes upon request.

  2039                              Change of Official     6 FY\'S           
                                    Station (General)                        

  2042                              Tort Claims (General)  3 FY\'S           

  2045                              Personnel Management   3 FY\'S           To include correspondence,
                                    Programs, Services,                      reports, and other records
                                    and Activities                           relating to the general
                                    (General)                                administration and
                                                                             operation of personnel
                                                                             functions. (Excluding
                                                                             records specifically
                                                                             described elsewhere.)

              2045-X                Equal Employment       3 FY\'S           
                                    Opportunity (EEO)                        

  2048                              Position               2 FY\'S           
                                    Classification                           
                                    (General)                                

  2051                              Hours and Pay          3 FY\'S           
                                    (General)                                

              2051-G-1,2,3,etc.     Name of Employee, Time 6 FY\'S           Use a separate folder for
                                    & Attendance Reports                     each employee.

  2054                              Employment (General)   2 FY\'S           

              2054-1,2,3,etc.       Name of Regular        1 FY after        Use separate folder for
                                    Employee, Employment   separation        each employee. Destroy
                                                                             material directly from
                                                                             folder on 3-year disposal
                                                                             basis during continuous
                                                                             employment.

  2057                              Training (General)     2 FY\'S           

  2060                              Performance Ratings    4 FY\'S           
                                    (General)                                

  2063                              Employee Relations and 3 FY\'S           To include information on
                                    Services (General)                       incentive awards, labor
                                                                             management, legal
                                                                             assistance programs, and
                                                                             career assistance.

  2066                              Leave (General)        3 FY\'S           

  2069                              Safety and Injury      3 FY              
                                    Compensation (General)                   

  2075                              Voucher and Payroll    2 FY\'S           Includes correspondence,
                                    Accounting (General)                     reports, and data relating
                                                                             to voucher preparations,
                                                                             administrative audits, and
                                                                             other accounting and
                                                                             disbursing operations.

  3550                              Rural Housing Service  2 FY\'S           
                                    (General)                                

              3550-01               Introduction to the    2 FY\'S           Provides information on how
                                    Field Office Handbook                    the Handbook is organized
                                                                             and how to utilize it. It
                                                                             also contains the
                                                                             information on civil rights
                                                                             and appeal procedures.

              3550-02               Overview of Section    2FY\'S            Provides an overview of the
                                    502                                      key aspects of the 502
                                                                             program, DLOS processing
                                                                             system and steps involved
                                                                             in processing.

              3550-03               Application Processing 2 FY\'S           Describes the process of
                                                                             accepting and managing
                                                                             applications up to the
                                                                             point the applicant is
                                                                             selected for processing. To
                                                                             include \"Fiscal Year End\"
                                                                             Unifi reports which must be
                                                                             pulled on September 30 or
                                                                             the last business day of
                                                                             each fiscal year.

              3550-04               Borrower Eligibility   2 FY\'S           Provides guidance in
                                                                             evaluating a borrower's
                                                                             income, assets, credit
                                                                             history and other
                                                                             eligibility requirements.

              3550-05               Property Requirements  2 FY\'S           Provides guidance to ensure
                                                                             that the quality and value
                                                                             of the property meet
                                                                             minimum thresholds
                                                                             requirements which will
                                                                             protect the agencies and
                                                                             borrowers interests.

              3550-06               Underwriting the Loan  2 FY\'S           The underwriting process is
                                                                             brought together with the
                                                                             applicant eligibility and
                                                                             property requirements and
                                                                             the loan and subsidy
                                                                             requirements found in this
                                                                             chapter.

              3550-07               Escrow, Taxes, and     2 FY\'S           Cost associated with being
                                    Insurance                                a homeowner, which include
                                                                             real estate taxes, hazard
                                                                             and flood insurance, and
                                                                             special assessments are
                                                                             discussed and how they are
                                                                             a part of the entire loan
                                                                             making process.

              3550-08               Loan Approval and      2 FY\'S           Provides guidance in
                                    Closing                                  approving and closing a
                                                                             loan after the underwriting
                                                                             process and analysis has
                                                                             determined an applicant
                                                                             eligible.

              3550-09               Special Situations     2 FY\'S           Provides the requirements
                                                                             for processing Conditional
                                                                             Commitments, condominium
                                                                             ownership, community land
                                                                             trusts, planned unit
                                                                             developments and
                                                                             manufactured homes.

              3550-10               Leveraged Loans        2 FY\'S           Provides processing
                                                                             information when other
                                                                             funding sources are
                                                                             provided at the same time
                                                                             the Agency loan is closed.

              3550-11               Non Program Loans      2 FY\'S           Provides guidance when an
                                                                             extension of credit is
                                                                             provided to a borrower who
                                                                             does not qualify for
                                                                             program credit.

              3550-12               Section 504 Loans and  2 FY\'S           Provides guidance when
                                    Grants                                   providing loans and or
                                                                             grants to very-low income
                                                                             applicants to repair their
                                                                             existing homes.

              3550-13               Servicing and          2 FY\'S           Provides guidance about the
                                    Liquidation Functions                    role the field staff has in
                                                                             servicing loans that are
                                                                             under the jurisdiction of
                                                                             CSC and the liquidation
                                                                             process after the loan has
                                                                             been accelerated.

              3550-14               Refinancing with       2 FY\'S           Provides guidance to assist
                                    Private Credit                           borrowers to refinance
                                                                             their agency loan with
                                                                             other credit.

              3550-15               Managing Custodial &   2 FY\'S           Provides guidance to manage
                                    Real Estate Owned                        property the agency has
                                    Property                                 acquired title to either as
                                                                             a result of foreclosure or
                                                                             conveyance by deed in lieu
                                                                             of foreclosure.

              3550-16               Disposing of Real      2 FY\'S           Provides guidance to sell
                                    Estate Owned Property                    REO property quickly and at
                                                                             the best possible price.

  3560                              Direct Multi-Family    2 FY'S            
                                    Housing Loans and                        
                                    Grants (General)                         

  3565                              Guaranteed Rural                         
                                    Rental Housing                           
                                    (General)                                

              3565-1,2,3, etc.      RRH Approved Lender    Retain as long as 
                                    (Name of Lender)       agreement is in   
                                                           effect.           

  3570                              Community Programs     2 FY\'S           
                                    (General)                                

              3570-B                Community Facilities   Disposition Not   
                                    Grant Program          Authorized        

  3575                              General (Community     Disposition Not   
                                    Programs Guaranteed    Authorized        
                                    Loans)                                   

              3575-A                Community Programs     2 FY\'S           
                                    Guaranteed Loans                         

  4200                              Rural Business Service 3 FY\'S           
                                    (General)                                

  4274                              Direct and Insured     2 FY\'S           Included Intermediary
                                    Loan Making (General)                    Relending Program (IRP)

  4279                              Guaranteed Loan Making 2 FY\'S           
                                    (General)                                

              4279-B                Business and Industry  2 FY\'S           
                                    Loans                                    

  4284                              Grants (General)       Disposition Not   Includes Rural Cooperative
                                                           Authorized        Development Grants, Rural
                                                                             Business Opportunity Grants
                                                                             (RBOG), Value-Added Product
                                                                             Grants, and Agriculture
                                                                             Innovation Demonstration
                                                                             Centers.

  4287                              Servicing (General)    Disposition Not   Includes Business and
                                                           Authorized        Industry (B&I) Guaranteed
                                                                             Loans
  ----------- --------------------- ---------------------- ----------------- ---------------------------

THIS PAGE LEFT INTENTIONALLY BLANK

**STATE OFFICE FILE STATIONS**

  ----------- ------------ ------------------------------ ------------- ---------------
  **PRIMARY   **SUBTITLE   **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** FILE CODE**                                 STATION       PERSON(S)**
                                                          (SECTION)**   

  1700                     Rural Utilities Service        RBS/RUS       Program Staff
                           (General)                                    

              1703-B       Rural Economic Development     RBS/RUS       Program Staff
                           Loan and Grant Program                       

              1703-D       Distance Learning &            RBS/RUS       Program Staff
                           Telemedicine Program                         

  1775                     Technical Assistance and       RBS/RUS       Program Staff
                           Training Grants                              

  1777                     Section 306C Water and Waste   RBS/RUS       Program Staff
                           Division Loans and Grants                    

  1778                     Emergency Community Water      RBS/RUS       Program Staff
                           Assistance Grants                            

  1779                     Water & Waste Disposal         RBS/RUS       Program Staff
                           Guaranteed Loans                             

  1780                     Water and Waste Loan and Grant RBS/RUS       Program Staff
                           Program                                      

  1781                     Resource Conservation and      RBS/RUS       Program Staff
                           Development (RCD) Loans and                  
                           Watershed (WS) Loans and                     
                           Advances                                     

  1794                     Environmental Policies and     RBS/RUS       Program Staff
                           Procedures for Electric,                     
                           Telephone, and Water &                       
                           Environmental Programs                       

              1806-A       Real Property Insurance        RBS/RUS       Program Staff

              1806-B       National Flood Insurance       RBS/RUS       Program Staff

              1806-B-1     Flood Hazard Maps              RBS/RUS       Program Staff
  ----------- ------------ ------------------------------ ------------- ---------------

  ----------- ---------------- ------------------------------ ------------- -----------------
  **PRIMARY   **SUBTITLE FILE  **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                          STATION       PERSON(S)**
                                                              (SECTION)**   

  1900                         Program Operations (General)   RBS/RUS, RHS, Program Staff
                                                              CD            

              1900-1           Outreach                       RBS/RUS, RHS, Program Staff
                                                              CD            

              1900- B          Adverse Decisions and          RBS/RUS, RHS, Program Staff
                               Administrative Appeals         ADMIN         

              1900-D           Processing and Servicing RD    ADMIN         MCO/MPA
                               Assistance to Employees,                     
                               Relatives & Associates                       

  1902                         Supervised Bank Accounts       RBS/RUS, RHS  Program Staff
                               (General)                                    

  1904                         Borrower Case Classification   RBS/RUS, RHS  Program Staff
                               (General)                                    

  1905                         Management Systems (General)   RBS/RUS, RHS  Program Staff

  1910                         General (Note: This deals with RBS/RUS, RHS  Program Staff
                               credit reports)                              

  1922                         Appraisals (General)           RHS           Program Staff

              1922-01          Administrative Appraisal       RHS           CF
                               Reviews-SFH                                  Spec./Appraiser

  1924                         Construction and Repair        RBS/RUS, RHS  Program Staff
                               (General)                                    

              1924-C-1,-2,-3   Name of, Subdivision           RHS           Program Staff
              etc.                                                          

              1924-F           Complaints and Compensation    RHS           Program Staff
                               for Construction Defects                     

              1924-F-1, 2, 3,  Complaints and Compensation    RHS           Program Staff
              etc.             for Construction Defects (Name               
                               of Builder)                                  

  1925                         Taxes (General)                RHS           Program Staff

  1927                         Title Clearance and Loan       RHS           Program Staff
                               Closing (General)                            

  **PRIMARY   **SUBTITLE FILE  **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                          STATION       PERSON(S)**
                                                              (SECTION)**   

  1930                         Supervision (General)          RHS           Program Staff

              1930-C           Management and Supervision of  RHS           Program Staff
                               Multiple Family Housing                      
                               Borrowers and Grant Recipients               

  1940                         Loan and Grant Making          RBS/RUS, RHS  Program Staff
                               (General)                                    

              1940-01          Evidence of Indebtedness       RBS/RUS, RHS  Program Staff

              1940-02          Charged-Off Notes              RBS/RUS, RHS  Program Staff

              1940-03          Evidence of Indebtedness for   RBS/RUS, RHS  Program Staff
                               Address for Unknown Borrowers                

              1940-C           Davis-Bacon Act                ADMIN         Program Staff

              1940-D (1901-E)  Civil Rights Compliance        ADMIN         CRM
                               Requirements                                 

              1940-G           Environmental Program          RBS/RUS       Program Staff

              1940-M           Government-Wide Debarment and  RBS/RUS       Program Staff
                               Suspension (Non procurement)                 
                               and Requirements for Drug-Free               
                               Work Place                                   

              1940-N (1901-N)  Indian Outreach Program        RBS/RUS, RHS, Program Staff
                                                              CD            

              1940-P (1901-P)  Computer Terminal Security     ADMIN         IRM
                               (contains annual security                    
                               checklist)                                   

  1942                         Association Loans (General)    RBS/RUS       Program Staff

  1944                         Housing (General)              RHS           Program Staff
  ----------- ---------------- ------------------------------ ------------- -----------------

  ----------- --------------------- ------------------------------ ------------- ---------------
  **PRIMARY   **SUBTITLE FILE       **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                               STATION       PERSON(S)**
                                                                   (SECTION)**   

              1944-E                Rural Rental Housing Loan      RHS           Program Staff
                                    Policies, Procedures and                     
                                    Authorizations                               

              1944-N                Housing Preservation Grants    RHS           Program Staff

  1948                              Rural Development (General)    RBS/RUS       Program Staff

  1950                              Account Servicing (General)    RHS           Program Staff

  1951                              Servicing and Collections      RBS/RUS, RHS, Program Staff
                                    (General)                      ADMIN         

              1951-A                Account Servicing Policies     RHS           Program Staff

              1951-B                Collections                    RBS/RUS, RHS, Program Staff
                                                                   ADMIN         

              1951-B-2,-3,-4, etc   Collections, (Month), (Year)   RBS/RUS, RHS, Program Staff
                                                                   ADMIN         

              1951-C                Offsets of Federal Payments to RHS           Program Staff
                                    USDA Agency Borrowers                        

              1951-E                Servicing of Community &       RBS/RUS, RHS  Program Staff
                                    Insured Business Program Loans               
                                    and Grants                                   

              1951-F                Analyzing Credit Needs and     RBS/RUS, RHS  Program Staff
                                    Graduation of Borrowers                      

  1955                              Property Management (General)  ADMIN, RHS    Program Staff

              1955-C-1,2,3,etc.     Form RD 1955-42, \"Open Real   ADMIN         Program Staff
                                    Property Master Listing                      
                                    Agreement\"                                  

  1956                              Debt Settlement (General)      RBS/RUS, RHS  Program Staff

  1962                              Personal Property (General)    RBS/RUS, RHS  Program Staff

  **PRIMARY   **SUBTITLE FILE       **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                               STATION       PERSON(S)**
                                                                   (SECTION)**   

  1965                              Security Servicing - Real      RHS           Program Staff
                                    Property (General)                           

  1980                              Guaranteed Loans (General)     RHS           Program Staff

              1980-D-1,-2,-3,etc.   Certified/Approved Lender      RHS           Program Staff
                                    (Name of Lender)                             

  1992                              Reports (General)              RHS           Program Staff

              1992-E                Reporting to Internal Revenue  RHS           Program Staff
                                    Service                                      

  2000                              Administration (General)       RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

              2000-01               Emergency Planning             RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

              2000-E                RD Policy on Meetings          RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

              2000-G                Notaries Public Expense Act of ADMIN         Program Staff
                                    1955                                         

  2003                              Organization (General)         ADMIN         Program Staff

  2006                              Management (General)           RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

              2006-F                Delegation of Authority        ADMIN         Program Staff

              2006-G                Designation of Acting          ADMIN         Program Staff
                                    Officials                                    

              2006-I                Strategic Planning and         RBS/RUS, RHS, Program Staff
                                    Accountability                 CD, ADMIN     

              2006-M                Management Control System      RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

  **PRIMARY   **SUBTITLE FILE       **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                               STATION       PERSON(S)**
                                                                   (SECTION)**   

              2006-U                Information Resources          ADMIN         IRM
                                    Management: Office Automation                
                                    and End User Computing                       

  2009                              Budgets -- (General)           ADMIN         Program Staff

  2012                              Audits and Investigations      ADMIN         MCO/MPA
                                    (General)                                    

  2015                              Information (General)          ADMIN         PIC

              2015-B                Public Information Functions   RBS/RUS, RHS, Program Staff
                                    of RD Employees                CD, ADMIN     

              2015-E                Availability of Information    ADMIN         MCO/MPA
                                    Under the Privacy Act                        

  2018                              General (Administrative        RBS/RUS, RHS, Program Staff
                                    Services)                      CD, ADMIN     

              2018-E                Security of Valuable Documents RBS/RUS, RHS, Program Staff
                                                                   CD, ADMIN     

              2018-F                Availability of Information    ADMIN         MCO/MPA

  2021                              Space (General)                ADMIN         Program Staff

              2021-A                Location (city or town) of     ADMIN         Program Staff
                                    office                                       

  2024                              Property and Supply (General)  ADMIN, RHS    Program Staff

              2024-A                Acquisition, Sales, and        ADMIN, RHS    Program Staff
                                    Leasing Authority                            

              2024-A-1              Master List of Solicitations,  ADMIN         Program Staff
                                    Purchase Orders and NFC                      
                                    Reports                                      

              2024-A-2,3,4, etc.    Form RD 838-B                  ADMIN         Program Staff
                                    \"Invoice-Receipt                            
                                    Certification\"                              
  ----------- --------------------- ------------------------------ ------------- ---------------

  ----------- ------------------- ------------------------------ ------------- ---------------
  **PRIMARY   **SUBTITLE FILE     **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                             STATION       PERSON(S)**
                                                                 (SECTION)**   

              2024-C              Request and Control of Forms,  ADMIN         Program Staff
                                  Supplies, and Miscellaneous                  
                                  Services by State, Area, and                 
                                  Local Offices                                

              2024-H              Custody, Control, Utilization, ADMIN         Program Staff
                                  and Disposal of Nonexpendable                
                                  Personal Property                            

  2027                            Reproduction (General)         ADMIN         Program Staff

  2030                            Communications (General)       ADMIN         Program Staff

  2033                            Records (General)              ADMIN         Program Staff

              2033-A-1            Receipts for Valuable          ADMIN         Program Staff
                                  Documents                                    

  2036                            Travel (General)               RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

              2036-A-1,2,3,etc.   Name of Traveler, Travel       RBS/RUS, RHS, Program Staff
                                  Vouchers                       CD, ADMIN     

  2039                            Change of Official Station     ADMIN         Program Staff
                                  (General)                                    

  2042                            Tort Claims (General)          ADMIN         Program Staff

  2045                            Personnel Management Programs, ADMIN         Program Staff
                                  Services, and Activities                     
                                  (General)                                    

              2045-X              Equal Employment Opportunity   ADMIN         Program Staff
                                  (EEO)                                        

  2048                            Position Classification        ADMIN         Program Staff
                                  (General)                                    

  2051                            Hours and Pay (General)        RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

  **PRIMARY   **SUBTITLE FILE     **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                             STATION       PERSON(S)**
                                                                 (SECTION)**   

              2051-G-1,2,3,etc.   Name of Employee, Time &       RBS/RUS, RHS, Program Staff
                                  Attendance Reports             CD, ADMIN     

  2054                            Employment (General)           RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

              2054-1,2,3,etc.     Name of Regular Employee,      ADMIN         Program Staff
                                  Employment                                   

  2057                            Training (General)             RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

  2060                            Performance Ratings (General)  RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

  2063                            Employee Relations and         ADMIN         Program Staff
                                  Services (General)                           

  2066                            Leave (General)                RBS/RUS, RHS, Program Staff
                                                                 CD, ADMIN     

  2069                            Safety and Injury Compensation ADMIN         Program Staff
                                  (General)                                    

  2075                            Voucher and Payroll Accounting ADMIN         Program Staff
                                  (General)                                    

  3550                            Rural Housing Service          RHS           Program Staff
                                  (General)                                    

              3550-01             Introduction to the Field      RHS           Program Staff
                                  Office Handbook                              

              3550-02             Overview of Section 502        RHS           Program Staff

              3550-03             Application Processing         RHS           Program Staff

              3550-04             Borrower Eligibility           RHS           Program Staff

              3550-05             Property Requirements          RHS           Program Staff

              3550-06             Underwriting the Loan          RHS           Program Staff

              3550-07             Escrow, Taxes, and Insurance   RHS           Program Staff

  **PRIMARY   **SUBTITLE FILE     **TITLES**                     **FILE        **RESPONSIBLE
  FILE CODE** CODE**                                             STATION       PERSON(S)**
                                                                 (SECTION)**   

              3550-08             Loan Approval and Closing      RHS           Program Staff

              3550-09             Special Situations             RHS           Program Staff

              3550-10             Leveraged Loans                RHS           Program Staff

              3550-11             Non Program Loans              RHS           Program Staff

              3550-12             Section 504 Loans and Grants   RHS           Program Staff

              3550-13             Servicing and Liquidation      RHS           Program Staff
                                  Functions                                    

              3550-14             Refinancing with Private       RHS           Program Staff
                                  Credit                                       

              3550-15             Managing Custodial & Real      RHS           Program Staff
                                  Estate Owned Property                        

              3550-16             Disposing of Real Estate Owned RHS           Program Staff
                                  Property                                     

  3565                            Guaranteed Rural Rental        RHS           Program Staff
                                  Housing (General)                            

              3565-1,2,3, etc.    RRH Approved Lender (Name of   RHS           Program Staff
                                  Lender)                                      

  3570                            Community Programs (General)   RHS           Program Staff

              3570-B              Community Facilities Grant     RHS           Program Staff
                                  Program                                      

  3575                            Community Programs Guaranteed  RHS           Program Staff
                                  Loans (General)                              

              3575-A              Community Programs Guaranteed  RHS           Program Staff
                                  Loans                                        

  4200                            Rural Business Service         RBS/RUS       Program Staff
                                  (General)                                    

  4274                            Direct and Insured Loan Making RBS/RUS       Program Staff
                                  (General)                                    

  4279                            Guaranteed Loan Making         RBS/RUS       Program Staff
                                  (General)                                    

              4279-B              Business and Industry Loans    RBS/RUS       Program Staff

  4284                            Grants (General)               RBS/RUS       Program Staff

  4287                            Servicing (General)            RBS/RUS       Program Staff
  ----------- ------------------- ------------------------------ ------------- ---------------

THIS PAGE LEFT INTENTIONALLY BLANK

**FIELD OFFICE CONTRACT FILE ORGANIZER**

[POSITION 1:]{.underline}

> The Contract
>
> AD-838, Purchase Order
>
> SF-18, Request for Quotations and successful offerors entire
> solicitation package
>
> Statement of Work
>
> Modifications and Justifications
>
> Notice to Proceed (If used for construction contracts.)

CONTRACT MODIFICATION SUMMARY: Original, signed modifications should be
on top of the contract original.

  ----------- ------------------------------ ----------- -----------------
  MOD NO.     PURPOSE                        DATE        AMOUNT + or (-)

                                                         

                                                         

                                                         

                                                         

                                                         

                                                         

                                                         
  ----------- ------------------------------ ----------- -----------------

This is a four-part contract file organizer. Use these sheets as the
cover for each part in the file folder. The lists of filing requirements
shown herein are not intended to be all inclusive, but are merely shown
and grouped to promote better file organization.

**FIELD OFFICE CONTRACT FILE ORGANIZER**

[POSITION 2:]{.underline}

> Contracting Officer Representative (COR) Designations
>
> Pre-Work Conference and/or Preconstruction Notes
>
> Davis Bacon Compliance Reports (WH-347)
>
> Cure Notice -- Show Cause -- Termination
>
> Miscellaneous Post-Award Correspondence

Correspondence on any of the above subject matters that results in a
contract modification should be filed under a copy of the modification
in position 1.

**FIELD OFFICE CONTRACT FILE ORGANIZER**

[Position 3:]{.underline}

> Contract Payments
>
> RD 838-B, Invoice-Receipt Certification
>
> Contractors' Numbered Invoice
>
> Record of Payment Activity

Correspondence on any of the above subject matters that results in a
contract modification should be filed under a copy of the modification
in position 1.

**FIELD OFFICE CONTRACT FILE ORGANIZER**

[POSITION 4:]{.underline}

> Notice to Unsuccessful Offerors
>
> Request for Contract Services (Form RD 1955-62)

Source List