**[CHAPTER 11]{.underline}**

**[RECORDS AND FILES MANAGEMENT]{.underline}**

**1. POLICY.**

A. The overall objective of the Department\'s records and files
management program is to provide efficient, economical, and effective
management of all Departmental information and records to include
creation, use, maintenance, and disposition.

B. Develop standards and instructions to cover the life cycle of
information and records created by HUD programs.

C. Develop and apply effective records retention schedules accepted and
approved by the National Archives and Records Administration (NARA) and
the General Accounting Office (GAO).

D. Set up and maintain files that can easily be disposed of based on HUD
Handbook 2225.6, Records Disposition Schedules and HUD Handbook 2228.2,
General Records Schedules.

E. Make filing HUD records as easy and uniform as possible, by
standardizing filing classification schemes.

F. Ensure that records of permanent value are appropriately preserved
and transferred to NARA for permanent retention.

G. Retire inactive records from costly office space to a Federal Records
Center for storage.

H. Ensure appropriate disposal of records that are no longer needed.

I. Ensure implementation of and compliance with regulatory requirements.

**2. FUNCTIONAL ORGANIZATIONS.**

A. **Office of Administration.**

1\. [Office of Administrative and Management Services
(OAMS]{.underline}). The Document Division oversees the Department\'s
records and files management program.

OAMS' Headquarters Records Center Liaison Unit (RCLU) assists in the
retirement, retrieval, transfer, and disposition of Headquarters records
and serves as liaison with the Washington National Records Center
(WNRC). The Document Division\'s Departmental Records Management Officer
(DRMO) serves as HUD liaison on records and files management concerns
with NARA, GAO, and other Federal agencies, provides advice and
assistance to the Department\'s organizational components on the
management of their records, including the development of records
retention schedules and disposition. The DRMO apprises high level HUD
officials of responsibilities concerning personal papers and proprietary
records, conducts training and development of organizational Records
Management Liaison Officers, and provides orientation of new
Departmental employees regarding Federal records management
responsibilities.

2\. [Office of Information Technology (OIT)]{.underline}. In
coordination with the DRMO and program office staff, the OIT develops
and implements records retention schedules for the Department\'s
automated systems designs and the records created and maintained in
those systems.

3\. [Administrative Service Centers (ASC)]{.underline}. ASC Directors
oversee Field Office records management policy implementation and
administration.

4\. [Administrative Resources Divisions (ARD)]{.underline}. ARD
Directors name a Records Management Liaison Officer (RMLO) and an
alternate and coordinate all records disposition services for each of
their organizations.

5\. [The Directors of Field Information Technology
Divisions]{.underline}. The Directors of the Field Information
Technology Divisions and their staff establish retention periods for
locally developed automated/electronic files, as part of ADP systems
development.

B. **Records Management Liaison Officers (RMLOs).**

1\. Headquarters and Field RMLOs coordinate and evaluate all records and
files management activities for their respective organizations and serve
as the principal organizational contact regarding records and files
related concerns. They must:

a\. Provide technical leadership and assistance on records and files
management.

b\. Evaluate all records and files management activities to ensure they
are useful and up-to-date.

c\. Inform the Records and Directives Branch, OAMS, of any problems,
including noncompliance with the policy outlined herein when the Program
Organization Heads (POH) cannot resolve them.

C. **Program Organization Heads.** POHs are managers responsible for
major HUD organizations who report directly to the Secretary. The POHs
are the Assistant Secretaries, General Counsel, President of Government
National Mortgage Association, Inspector General, Chief Financial
Officer, and the Director for the Office of Lead Hazard Control.

D. **HUD Employees.** Employees must treat the official records in their
custody as Federal property and ensure against their unlawful use,
removal, and destruction. They must also implement approved retention
periods for the files they create and maintain.

**3. REGULATORY AUTHORITIES.** National Archives and Records
Administration Act of 1984 (44 U.S.C. 101); 36 CFR, Part 1228, 36 CFR,
Part 1230 issued by the National Archives and Records Administration
(NARA); 18 U.S.C. 2071; 18 U.S.C., Section 641; 18 U.S.C., Sections 793,
794, 798; The Federal Records Act of 1950 (44 U.S.C., Section 3102);
1976 Federal Records Management Amendments to the Federal Records Act of
1950.

**4. PRIVACY ACT CONSIDERATIONS.** See HUD Handbook 1327.1, Privacy Act
Handbook.

**5. CONTRACT REQUIREMENTS.** See HUD Handbook 2228.1, Chapter 9.

**6. RECORDS RETENTION/DISPOSITION REQUIREMENTS.** See HUD Handbook
2228.2, General Records Schedules and HUD Handbook 2225.6, HUD Records
Disposition Schedules.

**7. KEY REFERENCES.**

A. HUD Handbook 2229.1, Records Disposition Scheduling for Automated
Systems.

B. HUD Handbook 2228.2, General Records Schedules.

C. HUD Handbook 2225.6, HUD Records Disposition Schedules.

D. Managing Electronic Records, issued by NARA.

E. Electronic Record keeping, issued by NARA.

F. HUD Guidebook A000.1G, Files Management.

G. HUD Handbook 1750.1, National Security Information.

**8. ACRONYMS.**

**ARD** - Administrative Resources Division

**ASC** - Administrative Service Center

**ASCII -** American Standard for Information Interchange

**DRMO -** Departmental Records Management Officer

**FRC** - Federal Records Center

**GRS** - General Records Schedules

**NARA -** National Archives and Records Administration

**OAMS -** Office of Administrative and Management Services

**OIG** - Office of Inspector General

**OIT** - Office of Information Technology

**OPF** - Official Personnel File

**RCLU -** Records Center Liaison Unit

**RMLO -** Records Management Liaison Officer

**WNRC -** Washington National Records Center

**9. FORMS** **REFERENCED AND/OR REQUIRED.**

[**SF-115**](http://www.forms.gov/bgfPortal/citizen.portal?_nfpb=true&_pageLabel=citizen_page_2&portlet_1_1_actionOverride=/portlets/eFormSearch/agencyForms)
**-** Request for Records Disposition Authority

**SF-258** - Request for Transfer, Approval and Receipt of Records to
National Archives of the United States

**SF - 135 -** Records Transmittal and Receipt

**SF-2806 -** Individual Retirement Record

**SF - 127 -** Request for Official Personnel Folder

**SF - 184 -** Request for Employee Medical Folder

**SF-277** - Computer Magnetic Tape File Properties

**OF-11 -** Preference Request - Federal Records Center

**[HUD-58A](http://www.hud.gov/utilities/intercept.cfm?/offices/adm/hudclips/forms/files/58-a.pdf)
-** Clearance for Separation of Employee

**HUD-552** - Request for Change in HUD Records Schedule

**HUD-67** - Files Survey

**NA Form 13001** - Notice of Intent to Destroy Records

**NA Form 1300** - Agency Review for Contingent Disposal

**10. REPORTING REQUIREMENTS SUMMARY.** Records and files management
reporting requirements are referenced in the appropriate sections of
this chapter.

**[SECTION 1]{.underline}**

**[RECORDS INVENTORY AND APPRAISAL]{.underline}**

**11. INVENTORY AND APPRAISAL REQUIREMENTS.** An inventory determines
what unscheduled records exist and appraisal assigns a value to the
records. All unscheduled Departmental records must be inventoried and
appraised.

A. **Inventory Requirements.**

1\. Inventories and schedules must address records in a basic unit of a
series, rather than separate folder or documents. A series is a group of
records which:

a\. Have the same physical form.

b\. Are arranged under a single filing system.

c\. Relate to a particular subject.

d\. Document a certain kind of transaction.

e\. Are produced by the same activity.

2\. Each record series and all nonrecord material must be documented on
form HUD-67, Files Survey. Include:

a\. All records and nonrecord material of the organization or function
concerned, including any material not stored in filing equipment.

b\. All records and nonrecord material, regardless of physical form
(e.g., microform, electronic, photographs, etc.).

c\. Clear and brief descriptions of the records, including how often
they are used and disposition instructions.

d\. Restrictions on access and use of the records (i.e., Executive
Order, law, security classification, internal directives, etc.).

3\. [Appraisal Requirements]{.underline}. Appraisals must be assigned to
records as a series.

a\. [Appraisal Categories]{.underline}. All records are categorized into
a series which is either:

**(**1) [Permanent]{.underline}**.** Records selected and permanently
maintained by NARA.

**(**2) [Temporary]{.underline}. Records that are disposable within
NARA-approved timeframes.

b\. [Appraisal Values]{.underline}.

\(1\) [Primary Value]{.underline}. The primary value of records are the
administrative, legal and/or fiscal information they contain. Records
are temporary, and so disposable, if they have one, or more, primary
value(s), but no secondary value.

\(a\) [Administrative Value]{.underline}. The value of records in
helping HUD do its work. Administrative records are:

[1]{.underline} [Short-Term]{.underline}. Normal housekeeping records
documenting routine transactions which are quickly completed.

[2]{.underline} [Long-Term]{.underline}. Case history files on
directives and regulations. Long-term records with a recommended
retention of 10 years, or more, must be justified to NARA.

\(b\) [Legal Value]{.underline}. Value as evidence of legally
enforceable rights or obligations of the Government.

\(c\) [Fiscal Value]{.underline}. Value of records documenting financial
transactions. Exception: Records on the development of fiscal policy may
have permanent value.

\(2\) [Secondary Value]{.underline}. The research value to others after
the Department\'s needs have been met. Secondary value is also called
archival value.

\(a\) [Evidential Value]{.underline}. The value of records as evidence
of HUD\'s organization and functions (records indicating how the
Government determined and met the needs of its citizens.)

\(b\) [Informational Value]{.underline}. The value of the information
the records contain on persons, things, problems, and conditions with
persons, things, problems, and conditions with which the Department has
dealt. NARA test for assigning informational value:

[1]{.underline} [Uniqueness]{.underline}. The information cannot be
found elsewhere (either from federal and nonfederal sources) in as
complete and useful form.

[2]{.underline} [Form]{.underline}. Concentration of information,
physical conditions of records, and ease of access to data.

[3]{.underline} [Importance of Research Value]{.underline}.

**[SECTION 2]{.underline}**

**[RECORDS DISPOSITION SCHEDULES]{.underline}**

**12. DEFINITION.** A records disposition schedule documents the
timeframe a Federal record must be retained and/or preserved and
provides the authority by which final disposition of a Federal record
may occur.

**13. HUD POLICY.**

A. **HUD Requirements**. The Department\'s policy is to develop records
disposition schedules on a program or functional basis versus an
organization basis. All HUD records must be scheduled, regardless of
form or media. Existing records disposition schedules must be reviewed
annually for needed revisions. All proposed records schedules must be
forwarded to the DRMO for submission to NARA for approval. Schedules
must be approved by NARA and GAO, as appropriate, before they can be
used as authority to dispose of Departmental files.

B. **NARA Requirements**. NARA must seek public comment before approving
any new schedules, or revisions of schedules proposing a decrease in
retention periods. Only records selected by NARA can be kept
permanently.

C. **NARA Final Notice of Approval.** The Archivist of the United States
must approve and sign SF-115, Request for Records Disposition Authority
for a records schedule to take effect.

**14. HUD HANDBOOK 2228.2, GENERAL RECORDS SCHEDULES (GRS).** This
handbook contains the GRS which are issued by NARA to cover the
disposition of records common to most Federal agencies, i.e., records
mainly consisting of administrative functions and nontextual records.
All Federal agencies must use them.

**15. HUD HANDBOOK 2225.6, HUD RECORDS DISPOSITION SCHEDULES.**

A. This handbook contains HUD-initiated, NARA-approved deviations from
the GRS. HUD may request deviations from the GRS for one of the
following reasons:

1\. The Department seeks longer, or shorter, retention periods for
certain administrative, legal, or fiscal records to meet a unique
requirement, or specific need.

2\. Certain GRS schedules may be deleted by NARA so that it may appraise
an agency's records on a case-by-case basis for archival value.

3\. Certain Departmental administrative records may be unique.

B. This handbook also contains the NARA-approved schedules which the
Department has developed to cover its unique functions and programs.

**16. RECORDS DISPOSITION AUTHORITY.**

A. **Form SF-115.** All records disposition schedules must be prepared
using a Form SF-115.

B. **Concurrences Required.**

1\. [Program Office]{.underline}. The office(s) creating and/or keeping
the records covered by the schedule must concur. The DRMO can assist in
determining the appropriate concurrences.

2\. [Legal Concurrence]{.underline}. To make sure legal needs are
considered, the Office of the General Counsel must concur.

3\. [Audit/Investigation Concurrence]{.underline}. The Office of the
Inspector General (OIG) must concur to make sure audit and investigative
needs were considered.

C. **Submission of SF-115.** The DRMO must certify the proposed schedule
by signing and dating the SF-115 as agency representative.

1\. [NARA]{.underline}. The DRMO will forward the request to NARA.

2\. [GAO]{.underline}. The DRMO forwards the request to GAO. GAO
approval is required for a schedule covering:

a\. Administrative functions where the proposed retention periods are
less than those in the GRS.

b\. Program records to be kept for less than 3 years.

c\. Records relating to claims or demands by or against the Government
when the proposed retention period is less than that required in the
GRS.

D. **SF-115 Prepared by a Federal Records Center (FRC).** FRCs will
prepare SF-115s to cover unscheduled records stored there, or to reduce
retention period for scheduled records. NARA will clear their SF-115s
with HUD before approving them.

**17. SF-115 CERTIFICATIONS REQUIRED FOR MICROFORMED RECORDS.** When
proposing to microfilm permanently valuable records, the Department is
required to follow certain technical filming and storage standards. The
SF-115 must be documented indicating that these standards have been met.

A. **Certifications Required**.

1\. \"This certifies that the records described on this form will be
microfilmed in accordance with the standards set forth in 36 CFR Part
1230.\"

2\. Storage conditions for the silver original microforms must meet the
standards in 36 CFR 1230.20. Also, the first inspection date of the
microforms must be indicated.

B. **Microform and Hard Copy Scheduling** **Requirements.** Separate
disposition schedules must be developed for both the microform and the
hard copy (paper) record.

C. **Retention Requirements.** Microforms must be given a permanent
retention period based on HUD\'s administrative, legal and fiscal needs.
Hard copies must be destroyed after the microform is checked and
verified.

**18. SCHEDULING OF AUTOMATED DATA PROCESSING (ADP) RECORDS.**

A. **Central ADP Centers.** A separate schedule item must be developed
to cover the records of each ADP system. ADP system files are covered in
the related HUD program or functional schedules. See HUD Handbook
2229.1, Records Disposition Scheduling for Automated Systems. A copy of
the automated system description from the HUD Inventory of Automated
Systems must be attached to a proposed ADP schedule before the schedule
is submitted to NARA for approval.

B. **Personal Computer Records.** The GRS contains many of these
records. A separate schedule item must be developed for program data
bases or other electronic records not covered by GRS 23.

**19. REQUEST FOR CHANGES TO HUD RECORDS SCHEDULE.**

A. **Form HUD-552.** Changes to a HUD schedule must be prepared on a
Form HUD-552, Request for Change in HUD Records Schedule.

B. **Justifications for Changes.**

1\. Addition of new items.

2\. Decrease in retention periods.

3\. Increase in retention periods.

4\. Deletion of a discontinued series.

5\. Addition of retirement instructions.

6\. Redesignation of permanent records.

7\. Converting records to microform.

**20. DETERMINING PROPOSED RETENTION PERIODS.**

A. Retention periods must reflect sound administrative, legal and fiscal
requirements.

1\. [Reference Activity]{.underline}. Records are considered inactive
when referred to once a month, or less, per file drawer.

2\. [Legal Factors]{.underline}. Federal statutes of limitations require
keeping some records as long as legal actions are possible.

3\. [Files Containing Names]{.underline}. Name files are files on the
rights and benefits of people and any transactions concerning them.
These factors must be considered:

a\. When the file closes.

b\. What rights a person has by law after the file closes.

c\. The time limit for using those rights.

d\. HUD\'s administrative needs for audit and related purposes.

4\. [Special Administrative Needs]{.underline}. Temporary programs or
special investigations may require retaining certain records for a
longer timeframe than usual administrative requirements.

5\. [Duplication]{.underline}. Multiple copies of certain records may
exist. The most complete documentation is the \"record copy,\" and must
be retained longer than other copies.

6\. Data from another source can reduce the retention period.

B. **NARA Limitations on Retention Periods.** NARA has a five-year
maximum on temporary records. Longer retention periods must be justified
and approved.

C. **GAO Audit Requirements.** GRS 6 ensures availability of account
records for GAO audit purposes. Potential GAO audit requirements for
other records must be considered when proposing record retention
periods.

D. **Risk.** Proposing the timeframe for destruction of records must
reflect a realistic assessment of future need for the records.

**21. CONTRACTOR PREPARATION OF RECORDS DISPOSITION SCHEDULES.** At
their own expense, HUD organizations may contract out the preparation of
records disposition schedules to cover their records. However, the
contract must remain open and final payment withheld until NARA approves
the schedule.

**[SECTION 3]{.underline}**

**[RECORDS DISPOSITION METHODS]{.underline}**

**22. APPLYING APPROVED SCHEDULES.**

A. Records Disposition Schedules must be applied following approval by
NARA.

B. **For HUD Program Records**. Use the proper HUD records disposition
schedule in HUD Handbook 2225.6.

C. **HUD Administrative Records.** Use the GRS and HUD Records
Disposition Schedule 3, Administrative Records.

D. **For Other Agency Records in HUD Custody**. These record series do
not belong to HUD, even though HUD creates and maintains them.

1\. [Official Personnel Folder (OPF)]{.underline}. Legally, this record
series belongs to the Office of Personnel Management (OPM). It documents
each Federal employee\'s service, rights and benefits. HUD sends the OPF
to the National Personnel Records Center in St. Louis, Missouri, for
disposal when the employee separates from the Department.

2\. [Individual Retirement Record (SF-2806)]{.underline}. Legally, this
record belongs to OPM. It documents the amount taken from a Federal
employee\'s pay for their retirement fund. HUD sends this record to OPM
when the employee transfers or separates.

E. **Freezes on Destruction of Scheduled Records.** The need for
extending the retention period of records scheduled for disposal must be
based on the Department\'s continuing administrative, legal or fiscal
need. A request to \"freeze\" their destruction must be in writing and
must be submitted to the DRMO for approval by NARA. The written request
must justify the need, give the current and proposed location of the
records, and state when they can be destroyed. Requests to end the
freeze must be directed to the DRMO. The DMRO must notify all HUD
offices and NARA when the freeze or extension is no longer applicable.

**23. LOANS TO CONTRACTORS OR GRANTEES.** Contractors or grantees can be
given temporary physical custody of HUD records when required by the
terms of the contract or grant, and it is not practical or cost
effective for them to make copies of the records or review the records
in HUD offices.

**24. RETIREMENT OF RECORDS TO A FEDERAL RECORDS CENTER (FRC).**
Retirement is the movement of inactive records from storage in office
space to an FRC. (See Appendix 1 for listing of the FRCS.)

A. **Retirement of Personnel and Pay Records**. See paragraph 11-22D and
General Records Schedules 1 and 2.

B. **Criteria for Retirement.**

1\. [Inactive Records]{.underline}. Records referred to not more than
once a month per file drawer.

2\. [Ineligible for Immediate Disposal]{.underline}. Records not
authorized for immediate disposal whose transportation costs will not
exceed the resulting savings. Generally records should not be retired if
they will be destroyed within one year of retirement. Do not retire
accountable officers\' accounts records that are:

a\. Less than one year old and have not been audited without approval of
GAO.

b\. Kept at overseas locations less than three years before retirement.

3\. [When Volume Warrants]{.underline}. Volume must be at least one
cubic foot (one box). A shipment of less than five cubic feet is not
normally cost effective.

C. **Records Not Accepted by FRCs for Retirement.**

1\. [Eligible for Disposal But Kept Because of a HUD-Imposed or
Court-Imposed Freeze]{.underline}. See paragraph 11-22E regarding
\"freezes.\"

2\. [Unscheduled Records Covered By An SF-115 Approved Prior to May 14,
1973, Whose Disposition Instructions Were Not Authorized]{.underline}.
The disposition instructions include \"permanent,\" "retain,\" \"not
authorized for disposal,\" etc. Requests for exceptions must be
justified in writing and submitted to the DRMO to obtain NARA approval.
The request must include:

a\. Data on the record volume and the expected reference activity.

b\. A SF-115 attached to schedule the records.

D. **Records with a contingent disposition.** Contingent disposition is
based on an event taking place at some future, unspecified time.
Requests for exceptions must be justified in writing and submitted to
the DRMO to obtain NARA approval. The request must include:

1\. Series title;

2\. Records schedule and item numbers;

3\. Estimated annual growth;

4\. Frequency of reviews for disposal;

5\. Justification for retirement to FRC.

**E. Forms Required.** A Form SF-135, Records Transmittal and Receipt,
must be prepared to retire records. Each Field Office must follow the
current procedures and practices of the FRC for that particular area.

**25. OFFER.** If the records seem to have archival value, the
Department must submit an offer of the records for permanent retention
and immediate, or future transfer to the National Archives. If certain
records seem significant in a series which is otherwise scheduled for
disposal, the Department must prepare an offer for selection of only
those records by NARA. A SF-115 must be submitted to the DRMO for NARA
approval. Any restrictions on access and use of the records must be
documented.

**26. DISPOSAL LIST.** For unscheduled HUD records no longer being
created and which do not seem to have archival value, the Department
must prepare a disposal list for their immediate or future disposal. A
SF-115 must be submitted to the DRMO for NARA approval.

**27. TRANSFER.** A transfer changes the legal and physical custody of
records from one agency/organization to another. This includes the
transfer of permanent records to the National Archives. The National
Archives accepts only records which it decides have enough historical or
other value to warrant permanent retention.

A. **Transfers Between HUD Offices.** Official files must be transferred
at the same time final authority and program responsibility are
transferred. Only active records should be transferred. Inactive records
should be retired to FRCs or destroyed under approved records
disposition schedules.

B. **Transfer to NARA.**

1\. [SF-227, Computer Magnetic Tape File Properties]{.underline}. This
form must be used to describe automated records being transferred to
NARA.

2\. [SF-258, Request to Transfer, Approval, and Receipt of Records to
National Archives of the United States]{.underline}.

a\. HUD-Prepared SF-258. The office having custody of the records must
submit an SF-258 to the DRMO. This form must be submitted to NARA for
approval 60 days before the requested transfer date.

b\. NARA-Prepared SF-258. NARA prepares an SF-258 and sends it to the
DRMO to obtain clearance from the HUD office having legal custody of the
records. The SF-258 must be returned to NARA 60 days before the transfer
date.

3\. [Permanent Records Stored on Optical Disk]{.underline}. These are
the only types of optical disks that can be transferred to the National
Archives for permanent retention:

a\. Analog videodiscs that typically contain photographs if they do not
require any interactive software or nonstandardized equipment. Original
photographs of a permanent nature must be transferred to the National
Archives along with a copy of the videodisc.

b\. Compact disks used for digital audio playback.

c\. Other permanent records must be converted to paper, microforms or
magnetic tape before transfer to the National Archives.

d\. NARA must approve destruction of permanent records converted to
optical disk.

4\. [Records Over 30 Years Old]{.underline}. The Archivist can transfer
any HUD records over 30 years old that are unscheduled or scheduled as
\"permanent\" to the National Archives by his/her action alone. If the
records must remain in HUD for use in conducting current business, the
Secretary must so certify in writing to prevent the transfer.

5\. [Transfer to Presidential Library]{.underline}. The White House or
NARA may request certain papers for a Presidential Library. Only copies
of records defined as \"personal papers\" can be transferred. Requests
for such material must be coordinated with the DRMO.

6\. [Transfer to Other Federal Agencies]{.underline}.

a\. [Approval Requirements]{.underline}. NARA must give written approval
for one Federal executive agency to transfer records to another, except
when required by law, Executive Order, Presidential reorganization or
Treaty, or the records are loaned for official use on a temporary basis.

b\. [Schedule Requirements]{.underline}. Schedules approved for one
agency may not be used by another. HUD records disposition schedules
must be revised when HUD transfers records or receives them as a result
of a transfer. A Form HUD-552, Request for Change in HUD Records
Schedule, must be approved to add or delete schedule items.

c\. [Restrictions]{.underline}. Any conditions and limitations placed on
the borrowing Federal agency must be documented when loaning records to
other Federal agencies.

**28. DONATIONS.**

A. Criteria for Donations are authorized only when:

1\. They consist of nonrecord material and temporary records which are
authorized for destruction.

2\. They do not contain information that cannot be revealed by law or is
contrary to the public interest.

3\. The proposed recipient agrees in writing not to sell the records as
records or documents.

4\. The transfer is made without cost to the Federal Government.

5\. NARA approval is obtained in advance.

B. **Eligible Recipients.**

1\. An eligible government, including foreign governments with an
official interest in the records.

2\. An organization.

3\. An institution.

4\. A corporation.

5\. A person or commercial business if the records directly relate to
the custody or operation of properties acquired from the Government.

**29. DESTRUCTION.**

A. **Paper Records**. Normally, paper records must be sold as waste
paper. The contract for sale must prohibit their resale for use as
records or documents. See the following table for exceptions:

IF the records\... THEN\...

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

Are security classified for national See Handbook 1750.1, National

defense reasons. Security Information.

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

Are restricted from public access Safeguard against disclosure. The

and use by law, regulation or HUD waste paper contractor must pulp or

policy or directive. shred them. The destruction must

be witnessed either by a Federal

employee or, if authorized by HUD,

by a contractor employee.

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

Cannot be sold because the: Place them in wastebaskets.

. Volume is too small.

. Market price is too low.

. Records must be sorted and

cleaned first.

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

B. **Records on Other Media**. Nonpaper records (e.g., microforms;
audio-visual materials; and magnetic tapes, disks and diskettes) may be
salvaged and sold in the same manner and under the same conditions as
paper records, except:

1\. Erase and reuse media such as magnetic tapes and disks, if possible,
or use a program which will completely overwrite the data to be
destroyed. Simply telling an automatic data processing system to delete
certain records will not protect against unauthorized access to the
information.

2\. Turn in media subject to the precious metals (e.g., gold, silver and
platinum) recovery process when it cannot be erased and reused. (Source:
41 CFR Subpart 101-42.3) Examples are: original (silver halide)
microforms, used photographic fixing (hypo) solution, and photographic
and x-ray film. Use the normal procedures and forms for turning in
excess Government property, but note on the forms if access to data on
the media is restricted by law, regulation or HUD policy or directive.

**30. RETRIEVING RECORDS FROM AN FRC.**

An Optional Form-11, Reference Request - Federal Records Center, must be
completed for each folder or box needed. If two folders or boxes are
adjacent, one form can be used.

A. **Headquarters**. Written requests must be sent through the Records
Center Liaison Unit (RCLU). Certain Office of Housing employees,
identified by the DRMO, are authorized to request single family home
mortgage insured case files directly from the FRC. In emergencies,
certain Housing and Office of Community Planning and Development
employees may request records directly in the absence of the RCLU staff
and DRMO.

B. **Field Offices**. The Field Office RMLOs are authorized to request
records directly from local FRCs.

**[SECTION 4]{.underline}**

**[OFFICIAL FILES AND FILE STATIONS]{.underline}**

**31. OFFICIAL AND UNOFFICIAL FILES.**

A. Official files (also called record copies) should be identified and
kept separate from unofficial files (also called nonrecord material).

B. Official files (record copies) contain the documents known to be a
complete record of official Government business.

**32. PROCEDURES FOR STORING RECORDS OUTSIDE OFFICES.**

A. **Headquarters.**

1\. Clearance is required before storing records outside Headquarters
offices, including:

a\. Hallways, elevator lobbies, or the subbasement.

b\. Room B-229 assigned to the Documents Division, OAMS, Office of
Administration. Room B-229 is used as a staging area for records
awaiting:

\(1\) Retirement to the FRC.

\(2\) Scheduled destruction in less than one year.

\(3\) Transfer to the National Archives under an approved offer.

2\. Storage requests must be written and must:

a\. State where the records are to be stored and for how long.

b\. Describe all records involved, including arrangement, dates, and
volume (in cubic feet).

c\. Cite the records disposition schedule (both the schedule and item
numbers) covering the records.

d\. Certify that they are meeting the disposition standards covering all
records filed in that office.

e\. Certify that all records retention periods are as short as possible,
and that records are being retired to the FRC as soon as possible.

f\. Briefly discuss the feasibility of micrographics as part of the
solution to any existing records management problem.

3\. Send requests to Document Management Division, Records and
Directives Branch, OAMS.

B. **Field Offices.** This paragraph neither authorizes nor prevents
Field Offices from allowing records storage outside offices at their
locations. This must be decided by each ASC and ARD. However, where
allowed, ASCs should develop procedures similar to those of
Headquarters.

**[SECTION 5]{.underline}**

**[FILING EQUIPMENT AND SUPPLIES]{.underline}**

**33. POWER FILES.** A complete analysis must be submitted when
requesting these files. The analysis should include specific data on
increased productivity, space savings, elimination of backlogs and
overtime and reduction of staff hours to maintain the files.

**34. REQUESTING FILING EQUIPMENT FOR** **PAPER MEDIA.**

A. **Before requesting filing equipment:**

1\. Destroy eligible records under approved HUD records disposition
schedules.

2\. Retire eligible records to the FRC.

3\. Request a schedule change when experience shows that records can be
destroyed or retired to a Center earlier than the schedule allows.

4\. Recycle or destroy excess copies of directives, forms, or
publications.

B. ***DO NOT STORE*** personal property, supplies, and decorations in
filing equipment.

C. The approval office\'s decision will be based on cost of the filing
equipment, available funding, anticipated use and available office
space.

**35. REQUESTING FILING EQUIPMENT FOR SPECIAL MEDIA.**

**A. Microforms.** Justify the request for nonstandard equipment.

**B. Special** **Media.**

1\. Contact the Property Supply Branch, OAMS, for information about the
types of filing equipment available for other special media.

2\. Data files. Include cassettes, cartridges, tab and magnetic cards,
diskettes, computer printouts, and computer tapes, disks, and reels.

3\. Card files.

4\. Drawings, blueprints, other large documents, tracings, map and plan
files, and charts.

**[SECTION 6]{.underline}**

**[REFERENCE SERVICES]{.underline}**

**36. RELEASE OF RECORDS TO SOURCES OUTSIDE HUD.**

A. The decision to release or not to release information to a source
outside the Department is governed by the requirements of the Freedom of
Information Act (FOIA) and the Privacy Act.

B. Records shall be released to an outside source if approved by the
head of the organization having primary responsibility for the program
or activity concerned (or that individuals designee) and the release is
made under the provisions of the FOIA.

C. Release of records containing personal information shall be made only
by the Privacy Act Officer, except if the release is required by the
FOIA.

D. Before releasing any information to outside sources, consult HUD
Handbooks 1325.01, Privacy Act Handbook, and 1327.1, Freedom of
Information Act.

**Appendix 1**

**FEDERAL RECORDS CENTERS**

**[AREA SERVED]{.underline} [MAILING AND SHIPPING ADDRESS]{.underline}**

District of Columbia, Maryland, Washington National Records

Virginia, and West Virginia Center, Washington, DC 20409

(except U.S. court records).

Shipping address only [(do not use for mail)]{.underline}: 4205 Suitland
Road, Suitland, MD

The entire Federal Government National Personnel Records

personnel records of separated Center (Civilian Personnel Federal
employees; pay records Records) 111 Winnebago Street

of all Federal employees; St. Louis, MO 63118

medical records of civilian

employees of the Army, Navy, and

Air Force; and records of agencies

in the greater St. Louis area (Missouri only).

Maine, Vermont, New Hampshire Federal Records Center

Massachusetts, Connecticut, and 380 Trapelo Road

Rhode Island. Waltham, MA 02154

Delaware, Pennsylvania, and U.S. Federal Records Center

court records for Maryland, 5000 Wissahickon Avenue

Virginia, and West Virginia Philadelphia, PA 19144

North Carolina, South Carolina, Federal Records Center

Tennessee, Mississippi, Alabama 1557 St. Joseph Avenue

Georgia, Florida, and Kentucky East Point, GA 30344

Illinois, Wisconsin, Minnesota, Federal Records Center

and U.S. court records for 7358 South Pulaski Road

Indiana, Michigan and Ohio Chicago, IL 60629

Indiana, Michigan and Ohio Federal Records Center

except U.S. court records. 3150 Springboro Road

Dayton, OH 45439

**Appendix 1**

**[AREA SERVED]{.underline}** **[MAILING AND SHIPPING
ADDRESS]{.underline}**

Kansas, Iowa, Nebraska, and Federal Records Center

Missouri except greater St. Louis area. 2306 East Bannister Road

Kansas City, MO 64131

New York, New Jersey, Puerto

Rico, Virgin Islands, and the Panama Canal Zone.

Texas, Oklahoma, Arkansas, Federal Records Center

Louisiana, and New Mexico P.O. Box 6216

Fort Worth, TX 76115

Shipping address only [(do not use for mail):]{.underline} 4900 Hemphill
Street, Building 1,

Dock 1, Fort Worth, TX

Colorado, Wyoming, Utah, Federal Records Center

Montana, North Dakota, and Bldg. 48, Denver Federal

South Dakota. Center, P.O. Box 25307

Denver, CO 80225

American Samoa; California, Federal Records Center

except southern California, 1000 Commodore Drive

and Nevada, except Clark County San Bruno, CA 94066

Arizona; Clark County, Nevada; Federal Records Center

and southern California 24000 Avila Road

counties of San Luis Obispo, Laguna Niguel, CA 92677

Kern, San Bernadino, Santa

Barbara, Ventura, Los Angeles,

Riverside, Orange, Imperial, Inyo,

and San Diego).

Washington, Oregon, Idaho, Federal Records Center

Alaska, Hawaii, and Pacific 6125 Sand Point Way

Ocean areas (except American Seattle, WA 98115

Samoa).