**U.S. Department of Education**

**Comprehensive Records Disposition Schedules**

**Introduction**

The ED Comprehensive Records Disposition Schedules (ED/RDS) are issued
by the Office of the Chief Information Officer, Information Management
Group. For Records Management guidance and information, contact the
Department's Records Officer in the Office of the Chief Information
Officer, Information Management Group, at (202) 708-9265.

This document provides disposition schedules unique to the Department of
Education's program and administrative records, i.e., research and
development, general correspondence, grants and loans, educational
program records, and other common or housekeeping functions; and certain
non-textual records. The record schedules in this document cancel and
supersede all previously issued authorizations for the disposition of
records described herein.

This document also includes some record schedules relating to other
functions that are common to most Federal agencies published in the
General Records Schedules (GRS) issued by the National Archives and
Records Administration (NARA).

When it becomes difficult to decide whether files are record or
non-record materials the Principal Office Records Liaisons or the
Department's Records Officer should be consulted to determine the record
or non-record status of a particular file.

Custodians of records should maintain administrative records separately
from program records. Usually, administrative subject files have a short
retention period of less than three years. Program subject files may be
needed by the Department for ten years or more, and may have archival
value as well. Retention schedules must be approved by the Archivist of
the United States.

If administrative records are mixed with program records and cannot be
economically separated, the entire file should be kept for the period of
time approved for the program records. Similarly, if copies of documents
covered by these schedules are part of a subject or case file which
documents activities different from those covered by the ED/RDS or the
GRS, they should be treated in the same manner as the files of which
they are a part.

The schedules also provide for the retirement of non-current records to
a Federal Records Center (FRC). Individual items may specify retirement
to an FRC before destruction. Records Centers will not accept records
immediately eligible for disposal. Records retired to an FRC should have
a retention period of twelve months or more before they will be accepted
for storage. Where special circumstances, such as lack of filing
equipment or space, make it imperative that records be retired,
exceptions can be made to this policy. The decisions are made on an
individual basis by the FRC.

The Records Disposition Schedules include sixteen (16) records series.
Some of the records series are prefaced with an introductory page
defining and describing the scope of the particular records series being
introduced.

The schedules are presented in a manner designed for easy reading and
understanding. The following column headings are used in the
presentation of our records disposition schedules: ***Description of
Records, Disposition, and Disposal Authority***. Definitions of the
column

headings are described below:

-   ***Description of Records***. File units or documents arranged
    according to a filing system and which are kept together because
    they relate to a particular subject or function, result from the
    same activity, document a specific kind of transaction, take a
    particular physical form, or have some other relationship arising
    out of their creation, receipt, or use, such as restrictions on
    access and use

***Disposition***. (1) The action taken regarding records no longer
needed in current office space. These actions include transfer to agency
storage facilities, such as \"close-out\" records holding stations or
Federal Records Centers, transfer from one Federal agency to another,
transfer of permanent records to the National Archives, and disposal of
temporary records. Disposition is the third stage of the records life
cycle. (2) The action taken regarding non-record materials when no
longer needed, including screening and destruction.

-   ***Disposal Authority***: (1) Legal approval, empowering an agency
    to transfer permanent records to the National Archives or to carry
    out the disposal of temporary records. Approval must be obtained
    from the National Archives and Records Administration (NARA) and the
    General Accounting Office if the records relate to fiscal
    matters. (2) The agency\'s approval of disposition instructions for
    non-record, non-official materials.

The disposition instructions in this publication are to be implemented
without further approval from the Department\'s Records Officer. Records
created before January 1, 1921, must be offered to the National Archives
and Records Administration for appraisal once the records are
identified.

Files stored on microfilm or optical disk are governed by the ED/RDS and
the GRS disposition schedules. If the file has a permanent disposition,
the documents must be transferred to a Federal Records Center (FRC)
after verification of microfilm or optical disk for permanent storage.

**Records Disposition Procedure For Terminating Organizations and
Programs**

When terminating a major activity, office, or organizational unit, the
following steps must be taken:

**Steps:**

1\. Review the ED Records Disposition Schedules and the General Records
Schedules to determine those records eligible for immediate destruction,
those with unexpired administrative, legal, or fiscal value that are
appropriate for transfer to the successor office or storage in a Federal
Records Center, and records evaluated as having permanent value
requiring transfer to the National Archives and Records Administration.

2\. Destroy non-record materials, such as reference materials, extra
copies of publications and reports, and any records identified as
eligible for immediate destruction in step #1 above, except materials
that may be used by the successor office or agency. Non-record materials
contained in the official Department libraries and clearinghouses should
not be destroyed. Contact the Library of Congress to determine if it is
interested in all or part of the collection.

3\. A Standard Form 115 (SF 115), ***Request for Records Disposition
Authority**,* describing (a) all unscheduled files for which immediate
destruction authority is requested, (b) all unscheduled files with
unexpired administrative, legal, or fiscal value, that must be retained
temporarily at the Federal Records Centers before final disposition
action, and all unscheduled electronic files. Due to Federal Register
requirements, allow at least 120 days for approval of the SF 115.

4\. Arrange for the orderly transfer of active, operating records to the
appropriate successor office or organization, and be sure to provide
copies of all file plans and directories.

5\. For non-current records, scheduled for destruction 12 months after
the organization\'s termination, prepare a ***SF 135 Records Transmittal
and Receipt Form***, to transfer the records to a Federal Records
Center. To the extent possible, an SF 135 should be submitted at least
20 days before shipment. The Federal Records Center will not accept
records without an approved disposition schedule.

The following conditions should be satisfied:

> a\. If a successor office has been given responsibility for the
> records, indicate the name of that office on the SF 135.
>
> b\. If no successor office is designated, be sure to include on the SF
> 135 any restrictions on access, such as Privacy Act, and any other
> Federal restriction on release.

6\. Identify personal papers and remove them from the organization\'s
records. ***Ensure that only "personal papers" are removed from Federal
custody.*** It is essential to remind all employees that Federal Law (18
U.S.C. 2071) imposes severe penalties for the unauthorized destruction
or removal of Government records.

7\. Prepare an ***SF 258, Request Transfer, Approval, and Receipt of
Records to National Archives of the United States***, for all records
with permanent value, in accordance with the Department\'s Records
Disposition Schedules.

In accordance with laws and Federal regulations governing the
disposition of records, each principal office of the Department of
Education is responsible for creating and preserving evidential and
historical records containing adequate and proper documentation of its
functions, policies, decisions, procedures, and essential transactions
of its activities (44 U.S.C. 3101 and the Federal Records Act of 1990,
44 U.S.C. 396(a) and its amendments).

All documents that pertain to the above requirements are of permanent
value and must be prepared for storage at a Federal Records Center with
an eventual submission to the National Archives.

**Removal of Personal Papers by Officials and Others When Leaving the
Department**

As with all Federal property, the disposition of records must be
authorized. Periodic disposal of non-current, temporary records can and
does save space, money and time. However, under provisions of the law,
Department records may be destroyed only with the approval of the
Archivists of the United States or in accordance with the ED Records
Disposition Schedules or

the General Records Schedules which are published by the National
Archives and Records Administration as a supplement to the Department\'s
disposition schedules. Department officials, unless expressly authorized
by the National Archives to do so, **may not remove Department records
from the agency or destroy them, even when leaving office.**

Official records are made or received in the conduct of Department
business. They relate directly to the functions of the Department and
they document those functions. These characteristics, and not their
physical form or format, determine records status.

Personal papers that are maintained in a Federal office must be filed
separately from official papers in order to (1) avoid inadvertent
destruction or removal of official record material, (2) facilitate
retrieval of official files and to enhance operational efficiency, and
(3) eliminate the likelihood that personal papers will be confused with
official records and **be made available under the Freedom of
Information** **Act.** In those cases where both personal papers and
official business are received in personal correspondence, the material
pertaining to official business must be extracted and included in the
official files.

The legal definition of records (44 U.S.C 3105) specifically excludes
**\"extra copies of documents preserved only for convenience of
reference.\"** Extra documents are commonly regarded as non-record
materials and are disposable without reference to the requirements of
Chapter 33, Title 44 U.S.C. 3105.

***Federal Laws:***

Federal Law (44 U.S.C. 3105) requires heads of Federal agencies to
establish safeguards against the removal or loss of Federal records.
These safeguards include notifying agency officials that (1) the
alienation and destruction of records in agency custody is governed by
specific provisions of Chapter 33, Title 44, U.S.C. and (2) criminal
penalties are provided for the unlawful removal or destruction of
Federal records (18 U.S.C. 2071) and for the unlawful disclosure of
certain information pertaining to national security (18 U.S.C.& 44
U.S.C. 3106); and require heads of Federal agencies to notify the
National Archives and Records Administration of any actual or threatened
unlawful removal or destruction of records in their custody. The
Archivist of the United States has been delegated authority to assist
agency heads in initiating action through the Attorney General of the
United States for the recovery of records unlawfully removed, and (44
U.S.C. 3101) agencies are responsible for creating records that are
essential to transactions of the agency and for preserving such records.
Adequate and proper documentation consists of those records that:

> 1\. Protect the legal and financial interests of the Government and
> its citizenry;
>
> 2\. Assist agency officials and their successors in making informed
> policy and program judgments; and
>
> 3\. Provide the information required by Congress and others for
> oversight of the agency\'s activities, by identifying and ensuring the
> existence of those records that are necessary to properly document the
> activities of the agency in order to:
>
> a\. reconstruct the evolution of the predecessor\'s decisions without
> having to rely upon word-of-mouth;
>
> b\. furnish the successor with a written rationale for actions that
> have been taken; and
>
> c\. leave an enduring record that reflects personal contribution to
> the agency.

***Legal Definitions*:**

**Federal Records:**

According to 44 U.S.C. 3301, the term 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, 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 only for convenience of reference, and
stocks of publications and of processed documents, are not included.

**Non-record Materials:**

U.S. Government-owned informational materials excluded from the legal
definition of records. Includes extra copies of documents kept only for
convenience of reference, stocks of publications and of processed
documents, and library or museum materials intended solely for reference
or exhibition.

# HOW TO PREPARE RECORDS FOR TRANSFER TO AN FRC

1\. Remove all non-record material and extra copies before packing
boxes.

2\. Put all material in folders, binders, or envelopes, as appropriate.
The FRC will not accept accessions containing loose papers with rubber
bands.

3\. Label all folders, binders, and envelopes properly. All folder
labeling must be on the tab at the top of the folder. Label binders and
envelopes appropriately.

4\. Letter-size folders must face the front of the box (the side without
the staples), and legal- size folders must face the left side of the
box.

5\. Each accession containing non-textual records must have the
appropriate code in the series description section (6(f)) of the SF 135
(Records Transmittal and Receipt).

6\. Inclusive and/or cutoff dates listed in the series description
section (6(f)) of the SF 135 must match the box contents.

There are additional requirements for permanent records, unscheduled
records, or records which must be sampled.

1\. The FRC cannot accept mixed accessions of permanent and temporary
records in the same accession or two or more series of permanent records
in the same accession. Each series must be transferred separately.

2\. Each accession must be listed on a separate SF 135.

3\. Each accession must have a complete box listing of all folder,
binder and envelope titles. All folders must be in the same order listed
on the box list. All folders, binders and envelopes are arranged
numerically; the box list may list only the first and last files in each
box. All missing numbers must be included.

4\. One copy of the box list must accompany the original SF 135. A list
is not needed for the copy which becomes your receipt. Keep a copy of
the list for future records retrieval.

If the above procedures are not followed, the FRC may require you to
come to the Center to correct the situation or the accession may be
returned to the agency for correction.