RD Instruction 2033-C

Table of Contents

Page 1

PART 2033 - RECORDS

Subpart C - Management of National Office Records

## [TABLE OF CONTENTS]{.underline}

[Sec]{.underline}. [Page]{.underline}

2033.101 Purpose. 1

2033.102 \[Reserved\] 1

2033.103 Authorities and responsibilities. 1

\(a\) Support Services Division (SSD),

General Services Branch (GSB). 1

\(b\) Central Files Unit (CFU). 1

\(c\) Other offices. 1

2033.104 Definitions. 2

2033.105 Official records. 4

\(a\) Removal, theft, falsification, mutilation, and

destruction of official records. 5

\(b\) Retention and disposal of official records. 5

\(c\) Confidential nature of work. 5

2033.106 Nonrecord material. 5

2033.107 Electronic records. 5

\(a\) Determining record material. 5

\(b\) Indexes. 6

\(c\) Nonrecord material associated with

electronic records. 6

\(d\) Disposal of electronic records. 7

2033.108 Procedures for CFU filing system. 8

\(a\) Classification of record material. 8

\(b\) Files management. 8

\(c\) Folder maintenance standards. 9

\(d\) Requests for files and records. 11

\(e\) Cross reference and charge out. 12

\(f\) Index reference system. 13

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RD Instruction 2033-C

Table of Contents

Page 2

[Sec]{.underline}. [Page]{.underline}

2033.109 Processing incoming mail. 14

\(a\) Classification. 14

\(b\) Previous correspondence (PC) search. 14

\(c\) Routing. 14

2033.110 Daily reading file (Administrator\'s circulating file). 15

2033.111 Records schedules, disposition, or transfer to FRC. 15

\(a\) Records schedules. 15

\(b\) Transfer of records to the FRC. 16

\(c\) Storage of inactive records in the CFU. 17

2033.112 Annual files review and disposition. 17

2033.113 Authority for disposition of National Office records. 17

2033.114 - 2033.150 \[Reserved\] 17

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RD Instruction 2033-C

PART 2033 - RECORDS

Subpart C - Management of National Office Records

§2033.101 [Purpose]{.underline}.

This Instruction prescribes the policies and methods for the management
of Rural Development, National Office records. This Instruction DOES NOT
PROVIDE FOR the maintenance of Official Personnel and Employee
Performance folders. These folders are subject to Office of Personnel
Management regulations and will be the responsibility of the Assistant
Administrator for Human Resources (AAHR).

§2033.102 \[Reserved\]

§2033.103 [Authorities and responsibilities]{.underline}.

\(a\) [Support Services Division (SSD), General Services Branch
(GSB)]{.underline}. Authority and primary responsibility for
administering the National Office records program are vested in the SSD,
GSB. Annually, GSB personnel will evaluate the application and
effectiveness of the National Office Central Files System to determine
compliance with the disposition of record and nonrecord material
contained in this Instruction.

\(b\) [Central Files Unit (CFU)]{.underline}. The CFU is responsible for
the servicing, disposition, and/or transfer of records to the Federal
Records Center (FRC)/National Archives and Records Administration (NARA)
for future disposition or archiving for historical purposes. The CFU
Team Leader is responsible for training the CFU staff and for a
continuing review of National Office records. The CFU Team Leader has
the responsibility for assigning the maintenance, servicing, and
disposition functions of the various record segments to individual CFU
employees. The CFU Team Leader will keep the Records Officer informed of
any major problems encountered and recommend necessary changes in
policy.

\(c\) [Other offices]{.underline}. Official records that are temporarily
maintained in offices other than the CFU, as shown in the National
Office Records Manual, are the responsibility of the Division or Staff
until sent to the CFU.

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

DISTRIBUTION: W in Washington, DC only Administrative Services

Records

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RD Instruction 2033-C

§2033.104 [Definitions]{.underline}.

The following definitions apply to terms used in this Instruction:

[Active records]{.underline}. Records used at least once a year.

[Agency disposal schedules]{.underline}. Disposal schedules developed by
Rural Development to provide disposition authority when certain records
are not covered by existing General Records Schedules (GRS) or existing
GRS do not adequately meet Agency needs.

[Applicant/borrower case files]{.underline}. These files contain
correspondence and documents concerning Rural Development borrowers,
applicants, and/or individuals and associations expressing interest in
obtaining Rural Development loan or grant assistance.

[Association]{.underline}. As used in this Instruction, \"association\"
includes associations, organizations, cooperatives, or other groups not
eligible as an individual for Rural Development assistance.
\"Association\" also includes Multi-Family Housing and Business and
Industrial Loan borrowers to whom loans and grants are made or
guaranteed by Rural Development.

[Block]{.underline}. One or more chronological segments of cutoff, or
closed, records that are in the same series and are dealt with as a unit
for disposition purposes.

[Charge out]{.underline}. Form RD 2033-3, \"Correspondence Charge and
Routing Slip,\" will replace material removed from a file; Form RD
2033-2, \"Out-Card,\" will replace the complete folder.

[Classification system]{.underline}. This system organizes record filing
and shows how to locate them after they have been filed. Each document
is classified by the subject to which it relates, based on the 1900 and
2000 Series Table of Contents.

[Disposal authority]{.underline}. Legal approval empowering an Agency to
transfer permanent records to the NARA or carry-out the disposal of
temporary records.

[Electronic records]{.underline}. Any record that is created, used,
maintained, transmitted, and disposed of in electronic form. These
records may be stored in fixed or removable media such as PC hard disk,
floppy diskettes, CD-ROMs, optional disks, or magnetic tapes. Offices
may or may not have nonrecord paper copies of electronic records.
Electronic records are also referred to as machine-readable records
because they require machine processing for conversion to human-readable
form.

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RD Instruction 2033-C

§2033.104 (Con.)

[Essential Rural Development records]{.underline}. Designated files or
documents requiring special protective measures in the event of fire,
flood, tornado, civil disorder, or other disruptive emergency situation.

[Federal Records Center (FRC)]{.underline}. A low-cost storage facility
maintained by NARA for the storage and servicing of inactive records of
Federal agencies.

[File break/File cutoff]{.underline}. Breaking or ending files at
regular intervals, usually at the close of a fiscal or calendar year, to
permit their disposal or transfer in complete blocks and, for
correspondence files, to permit the establishment of new files.

[General Records Schedules (GRS)]{.underline}. Records retention and
disposal schedules developed and issued by NARA to provide disposition
authority for records common to all Federal agencies.

[Inactive records]{.underline}. Records that are no longer required in
the day-to-day operations of the office and therefore may be sent to
inactive storage or transferred to off site depositories.

[National Archives and Records Administration (NARA)]{.underline}. A
facility where permanent records are located after being accessioned by
an archival agency.

[Nonrecord material]{.underline}. Informational type material made or
acquired for convenient reference purposes consisting of reader files;
extra copies of documents; reference publications in the format of
books, pamphlets, and factsheets; commercial advertising matter; rough
drafts; personal papers; or any similar material maintained solely for
the user's benefit.

[Official records]{.underline}. All documents prepared, received, or
processed which indicate the policies, procedures, decisions, and
transactions of the National Office in its conduct of Rural Development
programs. The carbon or duplicate copy is the official file copy of
letters written in the National Office.

[Operational files]{.underline}. Official records of general,
administrative, and program functions and reports.

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RD Instruction 2033-C

§2033.104 (Con.)

[Records]{.underline}. Includes all books, papers, maps, photographs,
machine-readable materials, or other documentary materials, regardless
of physical form or characteristics, made or received by an Agency of
the United States Government under Federal law or in connection with the
transaction of public business and preserved or appropriate for
preservation by that Agency or its legitimate successor as evidence of
the organization, functions, policies, decisions, procedures,
operations, or other activities of the Government or because of the
informational value of data in them. Library and museum material made or
acquired and preserved solely for reference or exhibition purposes,
extra copies of documents preserved only for convenience of reference,
and stocks of publications and of processed documents are not included.

[Records disposition]{.underline}. Removal and destruction as wastepaper
or by shredding, burning, or other suitable disposal methods of records
exceeding established retention periods. (Note: Destruction methods must
not compromise the confidentiality of information contained in the
records.)

[Records inventory]{.underline}. A count of all official records by
cubic feet.

[Retention period]{.underline}. The period of time which must elapse
before records are destroyed by Rural Development or FRC, or transferred
to the NARA for historical purposes.

[Temporary folder]{.underline}. A substitute folder placed in the files
during the prolonged absence of a regularly maintained case folder to
hold records accumulated during the interim period. (Note: Temporary
folders should be frequently reviewed to preclude the loss or
misplacement of the official case folder.)

§2033.105 [Official records]{.underline}.

Federal regulations require a record of official business complete
enough to facilitate informed action by Rural Development employees,
permit auditing and review, and protect the legal, financial, and other
rights of the Government and of persons directly affected by Rural
Development activities. Therefore, official records will not be withheld
from the official files of the National Office. Official records will be
located in the CFU, AAHR office, and in certain other offices that
temporarily retain official records as shown in the Records Manual.

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RD Instruction 2033-C

§2033.105 (Con.)

\(a\) [Removal, theft, falsification, mutilation, and destruction of
official records]{.underline}. The removal or transfer of official
records from Rural Development custody is prohibited, except as provided
in this Instruction. The theft, falsification, mutilation, or
destruction of official records by employees is punishable under public
law. Report the theft of such records or their loss, damage, or
destruction by fire, water, or vandalism to the Director, SSD, for
advice concerning appropriate action. Obtain concurrence and approval of
both the Freedom of Information Officer and the Records Officer,
National Office, before transferring records to other Government
agencies, institutions, corporations, or persons requesting them.

\(b\) [Retention and disposal of official records]{.underline}. The
retention and disposal requirements for official records maintained in
the CFU are mandatory and will not be changed without prior approval of
the Director, SSD, AND AN APPROPRIATE CHANGE IN THE NATIONAL OFFICE
RECORDS MANUAL.

\(c\) [Confidential nature of work]{.underline}. All oral or written
information of a confidential nature that comes to the knowledge of an
employee must neither be disclosed to nor discussed with any person
unless the official duties of such employee make such information a
proper subject for disclosure or discussion. This includes, but is not
limited to information obtained by employees concerning the personal and
financial affairs of borrowers and applicants, of fellow employees, and
of other persons who may become involved in the work of this Agency. RD
Instructions 2015-E and 2018-F prescribe the policy, restrictions, and
requirements with respect to public access to, use, and availability of
official records.

§2033.106 [Nonrecord material]{.underline}.

Accumulation of nonrecord material as defined in §2033.104 of this
Instruction must be held to a minimum. Nonrecord material will be kept
in the offices of the users and will be destroyed at their discretion.

§2033.107 [Electronic records]{.underline}.

Electronic records are subject to the same laws and regulations as paper
records and will be maintained and disposed of in accordance with this
Instruction, Departmental Regulations, and the NARA guidelines.

\(a\) [Determining record material]{.underline}. In determining record
material, use the following criteria:

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RD Instruction 2033-C

§2033.107(a) (Con.)

\(1\) Is the record identified in the Agency records disposal schedule
or other Agency regulations?

\(2\) Will the electronic copy serve as the official documentation of
the transaction?

\(3\) If the answer to either of paragraph (a)(1) or (2) of this section
is yes, then the record should be properly identified and maintained in
accordance with this Instruction. It should be labeled with the file
code, record name, brief description of the record, date of origination,
revision(s), and retention period to assure easy accessibility for
future use of the file.

\(b\) [Indexes]{.underline}. Indexes will also be established in a
manner which will allow the ready retrieval of the material whenever
necessary throughout the authorized retention period. The indexes will
include the following:

\(1\) Name of organization unit responsible for the data.

\(2\) The file series.

\(3\) The time covered by the records.

\(4\) Name of the equipment used to create the record.

\(c\) [Nonrecord material associated with electronic
records]{.underline}. Guidelines will not be established for the
retention of nonrecord material. This material will be created solely
for the purpose of convenience and reference, and will not be made a
part of the official indexes. Nonrecord material will be disposed of by
the user when no longer needed for reference purposes. They may include
the following types of information:

\(1\) Reading file copies of correspondence.

\(2\) Tickler, follow-up, or suspense copies of correspondence.

\(3\) Identical duplicate copies of all documents maintained in the same
file.

\(4\) Extra copies of printed or processed materials, of which official
copies have been retained for record purposes.

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RD Instruction 2033-C

§2033.107(c) (Con.)

\(5\) Superseded manuals and other directives maintained outside the
office that is responsible for retaining them.

\(6\) Materials documenting such fringe activities of agencies as
employee welfare activities and charitable fund drives.

\(7\) Routing slips.

\(8\) Working papers.

\(9\) Drafts of reports and correspondence.

\(10\) Transmittal sheets.

\(11\) Correspondence and other records of short term value that, after
action has been completed, have neither evidentiary nor informational
value, such as requests for publication and communications on hotel
reservation.

\(12\) Information copies of correspondence and other papers on which no
documented administrative action is taken.

\(d\) [Disposal of electronic records]{.underline}. As with the paper
version, electronic records must be disposed of in a timely manner. Due
to the relative small space required to store electronic records, they
are subject to be held longer than the authorized retention period.
However, because of legal ramifications, records eligible for
disposition must be completely removed from the system. They are to be
removed or disposed of by erasing or overwriting. (Not merely deleting
the information from the system.) Electronic records MUST not be kept
beyond the authorized retention periods. Permanent electronic records
will be maintained in accordance with the requirements of NARA
regulations. They will be converted to paper, microfilm, or other media
approved by the Archivist of the United States for retiring purposes.
Such records, along with adequate documentation and adjunct files to
permit access to them, will be transferred to the NARA as soon as
possible after it is determined that their purposes have been served.
For assistance in retiring electronic records contact SSD.

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RD Instruction 2033-C

§2033.108 [Procedures for CFU filing system]{.underline}.

Procedures for organizing and servicing the Central Files System are
designed for completeness and continuity of records, and for expediting
filing, findings, and servicing operations. The official files and
records of the National Office are divided into two categories: Program
applicant and borrower case (individual and association) files, and
operational files.

\(a\) [Classification of record material]{.underline}. The
classification of record material requires a thorough knowledge of the
functions of each mission area Agency and of record usage in the
transaction of Rural Development business. Employees of the CFU are
responsible for classifying all official record material by subject
matter. To determine the file classification, the classifier will:

\(1\) Read the document for the subject matter. Underline the key words
or phrases to determine file code selection.

\(2\) Select the subject file code from the National Office Records
Manual.

\(3\) Enter in blue pencil the selected file code in the upper right
corner of the document. Even though a letter may pertain to more than
one subject, only one file code will be used.

\(b\) [Files management]{.underline}. Each record must be checked before
filing to make certain that it belongs in the CFU and is ready for
filing. To avoid premature filing of material in the CFU, offices
sending other than routine-type records to be filed should enter \"CFU -
File\" in the upper right corner of the document. If the file clerk is
unable to determine if a record is to be filed, the CFU Team Leader
should be shown the material in question. The CFU Team Leader should
contact the sender of the material if he/she is unable to make the
necessary determination. Material to be filed will not be accumulated.
Related material, such as incoming letters, a copy of the reply, and/or
any other pertinent attachments, will be kept together by date of the
reply. If an official record attachment is not furnished with the
covering letter, a notation will be made on the file copy of such letter
stating that the attachment was not furnished to the CFU. Material not
needed (i.e., duplicates, envelopes, routing slips not containing record
information, paper clips, rubber bands, etc.) should be removed prior to
filing. The file clerks should arrange all material in alphabetical
order for applicant/borrower case files, or in numerical order by
subject code for operational files prior to filing. Documents will be
placed in the folder with the latest dated material on top.

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RD Instruction 2033-C

§2033.108 (Con.)

\(c\) [Folder maintenance standards]{.underline}. When a folder is
charged out, all papers will be fastened to the folder with prong
fasteners. For ease in handling and in reference, continuation folders
may be used. When this is done, the INITIAL folder is considered as the
\"1\" of \_\_\_\_\_\_ case folders, the first continuation folder as the
\"2\" of \_\_\_\_\_\_ case folders, and so forth, depending on the total
number of folders. The inclusive dates of the material in the previous
folder will be shown on the labels. To avoid folder deterioration, and
to provide for more rapid filing and retrieval, at least 2 inches of
filing space should be left in each file drawer.

\(1\) [Operational folders]{.underline}. Prescribed file codes and
headings listed in the Records Manual will be shown on the label of the
folder. When volume warrants, new folders will be established at the
beginning of each fiscal year (FY) with the FY entered on the label.
Otherwise, divider sheets will be used to separate material within an
operational file folder by FY for ease in records usage and disposition.
Position type filing may also be used to separate specific documents
within a folder.

\(2\) [Applicant/borrower case folders]{.underline}.

\(i\) File code \"4A\" will be used for all Single Family Housing case
records. Commercially pre-labeled A through Z guide folders will be
used. Records on each applicant/borrower will be kept together and filed
alphabetically by surname in each folder. However, if volume warrants, a
separate, right-tab folder will be used. Separate folders, labeled with
the name of the applicant/borrower and the State will be placed directly
behind the applicable A through Z folder.

\(ii\) File code \"4B\" will be used for association applicant/borrower
case records on separate, right-tab folders for each applicant/borrower.
The type of loan, name of the association, and the State will be shown
on the folder label. File in alphabetical sequence by name of the
association. Prepare labels for each folder, coded as follows:

\(A\) 4B1-WW\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(This code will be used for
all Water and Waste Disposal loan/grant cases.)

\(B\) 4B2-CF\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(This code will be used for
all Community Facility, and Community Recreation Facility loan cases,
and Industrial Development grant cases.)

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RD Instruction 2033-C

§2033.108(c)(2)(ii) (Con.)

\(C\) 4B4-MH\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(This code will be used for
all rental and cooperative housing, labor housing loans to individuals
and associations, technical assistance for self help housing and rural
housing site loans to organizations.)

\(D\) 4B5-B&I\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(This code will be used
for all Business and Industrial loan cases, and co-op loans.)

\(E\) 4B6-IRP\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(This code will be used
for all Intermediary Relending Program and/or Rural Development Loan
Program borrowers.)

\(iii\) Use the following alphabetical filing guides in filing \"4A\"
and \"4B\" records:

\(A\) File names of individuals by surname first, first name next, and
middle name(s) or initial(s) last. A dual surname such as Garcia-Valdez,
will be filed by the first surname; some Spanish dual surnames are not
hyphenated.

\(B\) Names beginning with prefixes, such as \"Mc,\" \"O,\" or \"Van,\"
are considered as one word and should be filed alphabetically as written
beginning with the first letter.

\(C\) File names of associations as written in their legal or official
title. Each word in the title will be considered separately in
determining file sequence. For example, \"Mount View\" will come before
\"Mountview\"; \"North West Hills\" will come before \"Northwest
Hills.\" A hyphen between two words will be disregarded and the two
words considered as one. Thus, \"Pine-view\" and \"Pineview\" are
considered the same. Words such as \"the,\" \"for,\" or \"and\" will not
be considered in determining file sequence.

\(D\) File abbreviations as though written in full.

\(3\) [U.S. Department of Agriculture (USDA) audits and investigations,
and discrimination complaint folders]{.underline}. These folders will
not contain any material concerning investigations of Rural Development
employees since these records are maintained by the Financial Management
Division. Office of the Inspector General (OIG) investigations, audits,
and discrimination complaint files are restricted \"For Official Use
Only\" records and will be kept in lock-file cabinets. Only the Chief,
GSB; Records Officer; and CFU Team Leader, and one other CFU employee
will be authorized to file or

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RD Instruction 2033-C

§2033.108(c)(3) (Con.)

retrieve material from these cabinets. These records are to be made
available only to authorized Rural Development users. File folders for
audits, investigations, and discrimination complaint cases will be
segregated into National Office, Finance Office, and State Office
categories. Special audits pertaining to a loan program or program
operation which cannot be segregated by location will be kept in one
alphabetical sequence by title of the special audit, and filed preceding
the audits and investigations for National, Finance, and State Offices.
The following is an example of the arrangement of audit, investigation,
and discrimination complaint file folders that can be segregated by
location:

[Alabama]{.underline}

2012-A [Audits]{.underline}

2012-A1 [Federal Bureau of Investigation Reports]{.underline}

2012-B [OIG Investigations]{.underline} (by headquarters city) for
office(s) being investigated; (by name) for individuals or associations
being investigated; (by title) for investigations concerning \"unknown\"
persons. Enter \"P\" after the file code on the label for employees
being investigated. EXAMPLE: \"2012 P - Smith, John A. (Alabama).\"

2012-B1 [Discrimination Complaints]{.underline} (Including
Investigations) (by name of person or organization filing complaint) for
an organization complaint, the name of the organization official who
signed the complaint will also be shown on the label. When there are two
or more complaints concerning the same office, the file will be
established in the name of the county or office concerned and a listing
of the names of the complainants will be maintained with the file. When
the complaint is made by an employee, enter \"P\" after the file code.

\(d\) [Requests for files and records]{.underline}. To maintain an
accurate record of charged-out files, only CFU employees will remove
files from the CFU.

\(1\) [Telephone requests]{.underline}. Telephone requests for files may
be made to CFU. Adequate information should be provided by the requester
to expedite locating the file. Personnel requesting records should allow
sufficient time to permit the file clerk to locate the material and
prepare for pickup. If the record is needed immediately, the requester
may arrange to pickup the file from the CFU. If a requested file cannot
be located, the file clerk must promptly notify the requester and the
CFU Team Leader.

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RD Instruction 2033-C

§2033.108(d) (Con.)

\(2\) [Form RD 2033-5, \"Request for Future Delivery of File(s) and/or
Establishing a Follow up]{.underline}.\" Form RD 2033-5 (original only)
may be used by personnel desiring the delivery of a file on a given
date. Sufficient descriptive information must be given to identify the
file requested. Generally, Form RD 2033-5 is attached by the requester
to the file copy of an outgoing letter. These forms are filed in the CFU
in a suspense or tickler file by date of requested delivery. At that
time, the CFU will attach the form to the file requested and send it to
the requester.

\(e\) [Cross reference and charge out]{.underline}.

\(1\) [Form RD 2033-1, \"X-Reference Card]{.underline}.\" This form will
be used to indicate the exact filing location of a folder if its
identification has been changed or when the file logically could be
filed in another place.

\(2\) [Form RD 2033-2, \"Out-Card]{.underline}.\"

\(i\) When a file folder is charged out of the CFU, Form\
RD 2033-2 will replace the file, showing the name of the requester and
date of charge out; this will be lined through upon return of the file
to the CFU. The person to whom the file is last charged is responsible
for the file. If an individual transfers a file to another office, that
individual will be responsible for notifying the CFU of the transfer so
that Form RD 2033-2 may be changed accordingly. During the time the file
is charged out, the CFU will keep Form RD 2033-2 and any correspondence
received during charge out in a \"red\" temporary folder, which is for
CFU use only; and may not be charged out to any requester. A new file
folder will not be established during the absence of a file from the
CFU.

\(ii\) All red folders will be reviewed by the CFU in July. Individuals
holding files 3 months or more will be contacted by the file clerk to
see if they are still needed. If the file is still needed and
correspondence has accumulated in the red temporary file folder, the
holder of the permanent file folder should be requested to return the
file to the CFU in order for the accumulated correspondence to be filed,
after which it will be returned to the user. If the file cannot be
located, the file clerk will report this to the CFU Team Leader. Upon
completion of the review of all red folders, the CFU Team Leader will
report to the Records Officer, all files which cannot be located.

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RD Instruction 2033-C

§2033.108(e) (Con.)

\(3\) [Form RD 2033-3, \"Correspondence Charge and Routing
Slip]{.underline}.\" When material from a file is charged out, one copy
of Form RD 2033-3 will be stapled on top of the material removed and
delivered to the requester. The other copy will be placed in the file
folder

to identify the material and the individual to whom the material was
sent. The CFU will destroy the Form RD 2033-3 when the material is
returned. Form RD 2033-3 will not be used for controlled correspondence.

\(4\) [Cross-reference copies]{.underline}. When a single letter
contains more than one subject, additional cross-reference copies will
be made and placed in the related subject folders. These copies will
show the file code of the official copy.

\(f\) [Index reference system]{.underline}. A white manifold carbon copy
or a duplicate of most letters written in the National Office is
prepared for the CFU to use as a cross-reference (001) in locating
files. The CFU will indicate the file classification on the lower
portion of each copy, and it will be filed in one of the following
categories, of which copies will be retained for 3 FYs and then
destroyed:

\(1\) [Congressional]{.underline} (Letters addressed to Members of
Congress\--filed alphabetically by name of Representative.)

\(2\) [Individuals]{.underline} (Letters to individuals outside of
Government\--filed in date order in A through Z folders by name of
addressee.)

\(3\) [State Directors]{.underline} (Letters to Rural Development State
Offices\--filed by State.)

\(4\) [Finance Office, St. Louis]{.underline} (Letters to the Finance
Office.)

\(5\) [Rural Development Divisions]{.underline} (Letters to Rural
Development National Office Divisions/Staffs offices\--filed by
Division/Staff or office.)

\(6\) [Departmental]{.underline} (Letters to USDA offices, other than
Rural Development.)

\(7\) [Government]{.underline} (Letters to Government agencies, other
than USDA.)

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RD Instruction 2033-C

§2033.109 [Processing incoming mail]{.underline}.

Incoming mail will be processed as follows, but not necessarily in the
order listed. Priority correspondence (paragraph (c)(1) of this section)
will be given precedence over other correspondence and handled as
quickly as possible because there is a time limit within which a reply
must be made.

\(a\) [Classification]{.underline}. All incoming mail, except mail
addressed to individual employees, will be classified as prescribed in
§2033.108(a) of this Instruction. The file classification code will be
entered in blue pencil in the upper right corner of the mail.

\(b\) [Previous correspondence (PC) search]{.underline}. A search for PC
will be made:

\(1\) For each incoming letter which indicates there may have been prior
written correspondence, or

\(2\) If the file clerk determines the related subject or
applicant/borrower file may be helpful to the individual preparing the
reply. The PC will be attached to the incoming letter for delivery to
the office responsible for preparing the reply. Each letter will be
stamped \"PC\" in the upper right corner (and the information concerning
the PC will be entered).

\(c\) [Routing]{.underline}. The initials of the office to which the
correspondence will be routed will be entered in blue pencil in the
upper left corner, except mail directed to the Administrator or his/her
staff. For this mail, enter \"AD\" and the name of the individual to
whom it will be sent. Mail will be routed as follows:

\(1\) [Priority correspondence]{.underline} will be routed to the
Executive Secretariat Staff (ESS). Priority correspondence consists of
all letters addressed to Rural Development from Members of Congress.

\(2\) [Correspondence from Rural Development offices]{.underline} will
be routed to the office responsible for preparing the reply. However,
when an incoming letter is addressed to the attention of a certain
individual or office, the letter should be routed to the individual or
office mentioned.

\(3\) [Correspondence from the general public]{.underline} will be
routed to ESS.

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RD Instruction 2033-C

§2033.110 [Daily reading file (Administrator\'s circulating
file)]{.underline}.

To keep the Administrator and his/her staff informed of transactions
handled through written communications, a copy of each letter written in
the National Office (except letters of a confidential nature) is
prepared for the daily reading file. Copies of letters dispatched each
day will be placed in a file folder (reading file) by the CFU for
delivery the next workday to the Administrator and his/her staff. The
\"Daily Reading File\" routing sheet, showing the date of the
correspondence, will be stapled to the cover of the file and circulated
to the individuals listed. When the daily reading file is returned to
the CFU after circulation, and the routing sheet indicates that it has
cleared each office listed, the copies will be destroyed.

§2033.111 [Records schedules, disposition, and transfer to
FRC]{.underline}.

The Records Disposal Act of 1950 requires that \"no records of the
United States Government shall be alienated or destroyed except in
accordance with provisions of the Act.\"

\(a\) [Records schedules]{.underline}. The GSB will develop and
coordinate the clearance of all Rural Development records disposal
authorities and schedules with RD and, if necessary, the General
Accounting Office (GAO). Standard Form (SF)-115, \"Request for Records
Disposition Authority,\" will be used for this purpose.

\(1\) Records that show a GRS number in the \"authority\" column of the
Records Manual are common to all Federal agencies. After the specified
period of time shown in the \"retention period\" columns, such records
will not have any further administrative, legal, fiscal, research, or
other value to warrant their further preservation.

\(2\) Records that do not show a GRS number in the \"authority\" column
of the Records Manual pertain only to Rural Development. The retention
period for these records is based primarily upon the need of the user.

\(3\) Records listed as \"permanent\" in the \"archives\" column of the
Records Manual have potential historical and research value, and will be
offered to the NARA after the end of the scheduled retention period. The
Archivist will determine whether these records will be retained in the
NARA or destroyed.

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(04-09-97) PN 275

RD Instruction 2033-C

§2033.111 (Con.)

\(b\) [Transfer of records to the FRC]{.underline}. Records to be
transferred to the FRC for further retention and disposal, or to be
archived, are indicated in the Records Manual. The criteria for
transferring records to the FRC is based on: infrequent reference by
users, retention periods, and availability of filing equipment and space
in the CFU. However, records will not be transferred to FRC unless they
are to be retained there for at least 3 years and each transfer includes
at least 6 cubic feet of records.

\(1\) [SF-135, \"Records Transmittal and Receipt]{.underline}.\" An
SF-135 and, if needed, SF-135A, \"Records Transmittal and Receipt,
Continuation,\" will be prepared as shown on the reverse of SF-135 when
records are to be transferred to the FRC. The contents of each box must
be sufficiently described on SF-135 to identify and expedite retrieving
records in a given box. The original and two copies of SF-135 must
arrive at the FRC at least 2 weeks (10 workdays) before the desired date
of shipment of the records. When the transfer is approved, the FRC will
return two copies of SF-135. One copy will be placed in the first carton
of the shipment. The second copy will be retained by GSB to serve as an
inventory of Rural Development records in the FRC and as a source of
information if the retrieval of specified records is requested.

\(2\) [Records shipment boxes]{.underline}. Use only boxes obtained from
the Federal Supply Service (National Stock Number 8115-00-117-8249). As
the boxes are packed, number them in sequence beginning with the number
\"1\" for each accession number assigned to the shipment. Before
shipment, mark (using black felt marking pen) the front of each box
with:

\(i\) The accession number (shown on SF-135) in the upper left corner;
and

\(ii\) The box number (e.g., 1/25, 2/25, 3/25, etc.) in the upper right
corner.

\(3\) [Form National Archives (NA) 13001, \"Notice of Intent to Destroy
Records]{.underline}.\" Before destroying records that have been
transferred, the FRC will notify the GSB by Form NA 13001. Eligible
records will be destroyed 90 days from the date of notice unless Rural
Development does not concur. If approval is withheld, Form NA 13001 will
be returned to the FRC with a justification for continued retention
(including a proposed new disposal date) entered on the reverse of the
form and signed by the Records Officer. When disposal is approved,
annotate the related SF-135 by drawing lines through the box numbers and
the description of the records to be destroyed, and entering \"Form NA
13001\" and the notice date opposite the records to

## 16

##  

RD Instruction 2033-C

§2033.111(b)(3) (Con.)

be destroyed. File Form NA 13001 under file code 2033-C, "Federal
Records Center accessions excluding Finance Office" with related

SF-135.

\(4\) [Retrieval of transferred records]{.underline}. Transferred
records may be retrieved from the FRC by submitting Optional Form 11,
\"Reference Request - Federal Records Centers.\" Requests for such
records will be made through the GSB. To readily identify a file
retrieved from the FRC, the CFU will staple to such file Form RD 2033-2
to indicate the FRC box from which the file was removed and the date
forwarded to the requester.

\(c\) [Storage of inactive records in the CFU]{.underline}. Records that
are no longer needed in the day-to-day operations of the Division/Staff
offices may be sent to the CFU. Offices requesting inactive storage of
these records MUST contact the Records Officer for specific guidance.

§2033.112 [Annual files review and disposition]{.underline}.

No later than September 30 of each year, the CFU will complete a review
of the official records maintained in CFU. Material eligible for
destruction will be extracted, measured for reporting purposes, and
destroyed. Official records maintained by Divisions/Staffs will be
disposed of in the same process. Records containing confidential
information, such as \"For Official Use Only\" personnel records, and
other records (as determined by the Records Officer) will be mutilated
beyond reconstruction. The CFU Team Leader is

responsible for maintaining a record of material destroyed by the CFU
during each FY. Division/Staff offices are responsible for maintaining a
record of material destroyed by each office. A copy of this record
should be forwarded to the Records Officer at the end of the FY. Under
supervision of the Records Officer, a review of official records
maintained in offices other than CFU will be completed annually.

§2033.113 [Authority for disposition of National Office
records]{.underline}.

NARA has granted Rural Development authority to retain its official
records according to the schedule found in the National Office Records
Manual (NARA Job Nos. NC96-75-1, NC96-78-1, NC1-96-75-1, NC1-96-76-2,
NC1-96-77-1, NC1-96-78-1 and N1-96-92-1). No official records may be
destroyed outside of this schedule without first seeking approval from
NARA and GAO.

§§2033.114 - 2033.150 \[Reserved\]

## oOo

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(04-09-97) PN 275