APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

This schedule provides disposition instructions for HUD records

accumulating under the U.S. Housing Act of 1937 (42 U.S.C. 1401 et

seq.) as amended and 24 CFR 275. It includes the Section 8 Housing

Assistance Payments (HAP), Section 23, Conventional, Turnkey,

Acquisition, Modernization and Indian Housing programs. These

programs provide assistance to low-income families in the form of

direct payments for the cost of building, operating and/or

modernizing rental housing for low-income families (Public Housing)

and housing assistance payments to reduce rents in housing built with

private, public or FHA-insured financing or leased from private

owners (Section 8 Lower-Income Housing Assistance).

Records created and maintained under the Indian Housing program are

the same as those created and maintained under the Public Housing

program. Therefore, wherever the term \"public housing agency\"

appears in this schedule, it includes Indian housing agencies.

This schedule covers both Headquarters and Field records related to

the programs listed above wherever they are maintained except for

related records maintained by the Headquarters Office of Finance and

Accounting.

NOTE: The Section 8 and Section 23 program files are covered by

items 67 through 73 of this schedule. All other program files are

covered by items 1 through, 66. Item 74 covers the ADP systems

pertaining to all the programs.

Item

No. Description of Records Disposition

Public Housing Program Reservation and Management

1\. Organization Transcript file. Destroy 6 years after

Contains the documents evidencing the termination and

creation of the public housing agency. expiration of all

contracts and

obligations of HUD with

the public housing

agency. (NARA Job

NC1-207-79-12, item 1)

2\. Nonrecord copies of Cooperation Destroy 6 years after

Agreement between the public termination and

housing agency and the local expiration of all

governing body (or taxing body) contracts and

1 10/88

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

regarding tax exemption, payments obligations of HUD with

in lieu of taxes, equivalent the public housing

elimination of substandard dwellings agency. (NARA Job

(when required by statute), NC1-207-79-12, item 2)

providing services to projects, and

other forms of cooperation.

(Note: The record copies are kept by

the Office of Finance and Accounting.)

3\. Cooperation Agreement File. Contains Destroy 5 years after

documents on housing projects conveyed termination of Annual

from War Housing use to low-income Contributions Contract

use, including indenture of lease, or Administration

cooperation agreement between public Contract. (NARA Job

housing agency (PHA) and the local NC1-207-79-12, item 3)

governing body (taxing body), copy of

transcript of PHA\'s proceedings

containing resolution authorizing the

indenture of lease, computation of

effective tax rate, and related

correspondence.

4\. Notification of Housing Assistance Destroy 2 years after

Availability (NOHAA) or HUD issuance. (NARA Job

advertisements and invitations. NC1-207-79-12, item 4)

5\. Public housing agency applications for

Program Reservation of Low-Income

Housing and for Preliminary Loan,

supporting documents, Program

Reservation, and related

correspondence.

a\. Approved applications. Destroy 5 years after

the Annual Contributions

Contract is executed.

(NARA Job NC1-207-79-12,

item 5a)

b\. Disapproved or withdrawn Place in inactive file

applications. upon disapproval or

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

withdrawal. Retire to a

Federal Records Center 1

year after disapproval

or withdrawal or when

volume warrants.

Destroy 3 years after

disapproval or

withdrawal. (NARA Job

NC1-207-79-12, item 5b)

6\. Application File containing the Destroy 5 years after

application for conveyance of a termination of Annual

permanent War Housing Project Contributions Contract

for low-income use, general or Administration

certificate, extract of minutes Contract. (NARA Job

of meeting of members of public NC1-207-79-12, item 6)

housing agency and related

correspondence.

7\. RESERVED.

8\. Management Policy File containing Destroy 1 year after HUD

correspondence; public housing management and occupancy

agency (PHA) management policies audit of housing agency.

including occupancy, personnel and (NARA Job NC1-207-79-12,

procurement policies; and copies item 8)

of PHA resolutions establishing

such policies.

9\. Project insurance policies,

fidelity bonds, and related

correspondence.

a\. Insurance policies and Place in inactive file

related correspondence. when policy expires and

retire to a Federal

Records Center 1 year

thereafter. Destroy 6

years after policy

expires. (NARA Job

NC1-207-79-12, item 9a)

b\. Fidelity bonds and related Place in inactive file

correspondence. at end of bond premium

period following

termination and retire

to Federal Records

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

Center 3 years

thereafter. Destroy 6

years after termination

of bond. (NARA Job

NC1-207-79-12, item 9b)

10\. Subject File, consisting of

correspondence and documents

relating to the management of

low-income housing projects.

a\. Special cases involving Destroy when 5 years old

unusual problems, special or when no longer needed

test programs or other novel for reference or

arrangements. administrative purposes,

whichever is later.

(NARA Job NC1-207-79-12,

item 10a)

b\. All other files. Destroy when 3 years

old. (NARA Job

NC1-207-79-12, item 10b)

11\. Management Review and Trip Destroy 1 year after HUD

Reports. Files containing audit of public housing

correspondence and documents agency. (NARA Job

relating to management audits NC1-207-79-12, item 11)

and reports; annual status

reports of management

operations, trip reports,

consolidated reviews of

management operations,

management check lists, and

management reviews.

12\. Administration Contract File Destroy 5 years after

containing the Administration termination of Annual

Contracts and amendments, copy Contributions Contract

of quitclaim deed, inventory or Administration

report, extract of minutes of Contract. (NARA Job

meeting of public housing agency NC1-207-79-12 item 12)

authorizing the execution of

deeds and other documents,

copy of general depositary

agreement.

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

Public Housing Finance and Budget

13\. Preliminary Loan Contract and Retire to a Federal

documents required for advances Records Center when

of funds under the contract. contract is terminated

and funds advanced under

the contract have been

repaid. Destroy 6 years

after contract

termination and

repayment of funds.

(NARA Job NC1-207-79-12,

item 13)

14\. Nonrecord copies of Annual Destroy 6 years after

Contributions Contract including termination or

amendments, public housing expiration of the

agency authorizing resolutions, contract. (NARA Job

and other related documents and NC1-207-79-12, item 14)

correspondence.

(Note: The record copies are kept

by the Office of Finance and

Accounting.)

15\. Nonrecord copies of Lists of Destroy when no longer

Preliminary Loan Contracts and needed for

Annual Contributions Contracts administrative purposes.

to be entered into by HUD and Review annually. (NARA

public housing agencies for Job NC1-207-79-12, item

Low-Rent Housing Projects. 15)

Includes project docket file

copies kept by Field Offices.

(Note: The record copies are kept

by the Office of Finance and

Accounting).

16\. Administrative file containing Break file at end of

copies of reports, surveys, and fiscal year and place in

special studies relating to inactive file. Retire

public housing agency budget inactive file to a

preparation, budget review, Federal Records Center

reserve fund data, administrative when 3 years old.

Destroy when 10 years

old. (NARA Job

NC1-207-79-12, item 16)

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

loan data, management

feasibility, accounting, and

investments.

17\. Operating budget documents and Break file at end of

records relating to HUD review fiscal year and place in

and approval, including inactive file. Retire

workpapers and rough data, copies inactive file to a

of consolidated budget analyses, Federal Records Center

budget approval sheets, budget when 3 years old.

revision approval, waivers, Destroy when 6 years

and related correspondence. old. (NARA Job

NC1-207-79-12, item 17)

18\. Financial reports consisting of Break file at end of

statements of operating receipts fiscal year and place in

and expenditures, supporting inactive file. Retire

data and related correspondence. inactive file to a

Federal Records Center

when 3 years old.

Destroy when 6 years

old. (NARA Job

NC1-207-79-12, item 18)

19\. Records relating to payments Break file at end of

made in lieu of taxes, Public fiscal year and place in

Voucher for Payments Made to inactive file. Retire

Taxing District in Lieu of Taxes, inactive file to a

tax reports, correspondence, and Federal Records Center

other documents supporting when 3 years old.

payments. Destroy when 6 years

old. (NARA Job

NC1-207-79-12, item 19)

20\. Case files consisting of the Destroy 3 years after

Advance Note, Requisition for date of payment of

Funds, General Certificate, respective note. (NARA

Certificate of Purpose, Note Job NC1-207-79-12, item

Signature Certificate, and other 20)

related documents and

correspondence.

21\. Case files or records relating

to temporary financing of

housing projects, consisting of

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

Note Transcript, Requisition for

Funds, Note Signature

Certificate, Requisition

Agreement, Public Housing Agency

Resolution, minutes of meetings,

Certificate as to Transmission

of Temporary Notes and

supporting documents, and other

related documents required for

temporary financing.

a\. Case files relating to Destroy 10 years after

temporary financing prior to the Annual Contributions

permanent financing. Contract is executed

(approved). (NARA Job

NC1-207-79-12, item 21a)

b\. Case files relating to Destroy 4 years after

temporary financing after date of permanent

permanent financing. financing. (NARA Job

NC1-207-79-12, item 21b)

22\. Case files of records relating Destroy 6 years after

to permanent financing of all obligations,

housing projects, consisting of contracts, and

Permanent Note, Requisition for liabilities have been

Funds, Note Transcript, Note paid and satisfied in

Signature Certificate, full. (NARA Job

Amendments, Bond Transcript, NC1-207-79-12, item 22)

minutes of meetings of public

housing agency and other related

documents required for permanent

financing.

23\. File of individual mortgages of Place in inactive file

rural low-income housing projects upon issuance of

held by HUD containing a copy mortgage release

of the mortgage, copy of the and retire to the

mortgage note, and related Federal Records Center 2

correspondence. years thereafter.

Destroy 6 years after

date of release of HUD

mortgage interest.

(NARA Job NC1-207-79-12,

item 23)

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

24\. Reports on fiscal audits of

public housing agencies which

contain the auditor\'s comments,

balance sheets, and Notices of

Exceptions and Findings which

reflect noncompliance with HUD

policies and contractual

provisions.

a\. Reports on Audit involving Destroy after Actual

development costs. Development Cost

Certificate is issued.

(NARA Job NC1-207-79-12,

item 24a)

b\. All other Reports on Audit.

\(1\) Reports on Audit Destroy 3 years after

containing Notices of corrective action on all

Exceptions and Findings, Exceptions and Findings

or items requiring requiring follow-up has

follow-up. been completed. (NARA

Job NC1-207-79-12, item

24b(1))

\(2\) Reports on Audit Destroy 3 years after

containing no Notices date of memorandum

of Exceptions and transmitting report to

Findings or items the Regional Office.

requiring any follow-up. (NARA Job NC1-207-79-12,

item 24b(2))

Public Housing Development, Design and Construction

25\. Development Program, supporting Retire to a Federal

documents, and related Records Center when an

correspondence for each Actual Development Cost

public housing project. Certificate is issued.

Destroy 5 years after

issuance of the Actual

Development Cost

Certificate. (NARA Job

NC1-207-79-12, item 25)

26\. Development cost forms and

related papers relative to the

development cost of projects.

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

a\. Actual Development Cost Retire to a Federal

Certificate and supporting Records Center after

documents (Development Cost issuance of the Actual

Control Statement and Development Cost

Breakdown of Construction Certificate. Destroy

and Equipment Costs), after all HUD financial

Determination of Minimum interest is liquidated.

Development Cost (latest), (NARA Job NC1-207-79-12,

and all Development Cost item 26a)

Budgets.

b\. All other documents. Destroy 3 years after

issuance of the Actual

Development Cost

Certificate. (NARA Job

NC1-207-79-12, item 26b)

27\. Low-Rent Housing Project Destroy 6 years after

Planning Correspondence final settlement of the

File, containing copies of Construction Contract.

correspondence and documents (NARA Job NC1-207-79-12,

relating to planning item 27)

aspects of the selection of

sites, project and city

planning, and technical

assistance and advice.

28\. Subject and project files Destroy 5 years after

containing correspondence, construction is

documents, and drawings completed. (NARA Job

relating to technical and NC1-207-79-12, item 28)

engineering aspects of site

planning for housing

projects. Includes plans

reviewed for the selection

of sites, reports of surveys

and studies, research and

background material, and

tentative and final site

approvals.

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

29\. Site acquisition records, Close file and retire to

including copies of a Federal Records Center

contracts for survey, for when Actual Development

title information or legal Cost Certificate is

services, for appraisals, issued. Destroy 6 years

and for securing options; after the Actual

appraisals and appraisal Development Cost

reports; surveys; site maps; Certificate is issued.

perimeter descriptions; and (NARA Job NC1-207-79-12,

other related documents and item 29)

correspondence including

form HUD-5922, Final Report

on Completed Land

Acquisition, and form

HUD-5325, Land Summary.

30\. Preliminary documents, Close case and move to

including preliminary inactive file when

specifications, drawings, validly executed

utility analysis, and other contract documents are

related documents and approved. Destroy

correspondence. inactive case file after

final settlement of the

construction contract.

(NARA Job

NC1-207-79-12, item 30)

31\. Architect\'s and Engineer\'s Retire to a Federal

Contract File. Includes Records Center after

contract forms, fee final settlement of the

schedules, correspondence Construction Contract.

and other papers relating to Destroy 6 years after

administration and payment. final settlement of the

Also includes project Construction Contract.

diagrams and photographs (NARA Job NC1-207-79-12,

made before demolition or item 31)

construction and during

construction.

32\. Project docket file. Close file and retire to

Consists of demolition, a Federal Records Center

construction, equipment and after the Actual

Development Cost

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2225.6 REV-1

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

landscape contract forms, Certificate is issued. Destroy

specifications, Turnkey 6 years after the Actual

Contracts of Sale, plans, Development Cost Certificate

addenda, change orders, is issued. (NARA Job NC1-

construction inspection 207-79-12, item 32)

reports, guarantee bonds or

similar warranties, and

Certificates of Completion.

Also includes project

diagrams and photographs

made after the project is

completed.

33\. Correspondence, field Retire to a Federal Records

reports and other documents Center after final settlement

concerning the administration of the contract. Destroy 6

and payment of demolition, years after final settlement

construction, equipment, and of the contract. (NARA Job

landscape contracts. NCI-207-79-12, item 33)

34\. Project and subject files

containing correspondence

and documents, plans, and

tracings relating to research,

survey, and studies of the

design and construction of

public housing for the

development of standards.

a\. Files required for Destroy 5 years after construc-

research and reference tion is completed or when re-

purposes. search and reference value

ceases, whichever is later.

Review annually. (NARA Job

NC1-207-79-12, item 34a)

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2225.6 REV-1

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

b\. All other files. Destroy 5 years after construction is

completed. (NARA Job NC1-207-79-

12, item 34b)

35\. Project and subject files containing Destroy 5 years after
construction

correspondence and documents and is completed. (NARA Job NC1-207-

structural plans relating to the 79-12, item 35)

structural design of public housing

projects. Includes material relating

to site preparation and foundations of

housing projects; basic research material

on steel, clay, wood, and other materials;

material relating to site and structural

plans of housing projects; and reports

of tests conducted on housing projects.

36\. Subject files containing correspondence Destroy when 5 years old.

and documents relating to specifications (NARA Job NC1-207-79-12,

used in projects. Includes original item 36)

drawings and sketches used in bulletins,

background material and notes and reports.

10/88 12

2225.6 REV-1

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

37\. Cultural Design Awards. These awards are given annually to

organizations involved in Native American design and construction.

Files related to these awards are not maintained at the State and Area

Office levels. They are maintained at HUD Headquarters.

a\. Nomination Files. Consist of nomination

forms and project descriptions (applications).

Nomination files received may also contain

photographs, blueprints, drawings, schematics

or other items to support the nomination.

\(1\) Winners PERMANENT. Cut off at end of calendar

year in which award competition is

completed. Transfer to the NARA 2 years

after the cut off. (NARA Job N1-207-95-

8, item 37 a (1))

\(2\) Losers Cut off at end of calendar year in which

award competition is completed.

Destroy 2 years after the cut off.

(NARA Job N1-207-95-8, item 37a (2))

b\. Program Files. Consist of award rule; award PERMANENT. Cutoff at

categories; list of judges; list of nominees; end of calendar year in

which tally sheets; list of award winners; and award award competition

is presentation date. They are generated each completed. Transfer to the

year the award is ran. NARA 2 years after the cut

off. (NARA Job N1-207-95-8,

item 37 b)

12a 4/00

2225.6 REV-1

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

c\. Judges Score sheets. Cut off at end of calendar year

in which award competition is

completed. Destroy 2 years after

the cut off. (NARA Job N1-207-

95-8, item 37 c)

38\. Technical publications,

catalogs and requests.

a\. Requests for technical Destroy 3 months after transmittal

publications and catalogs. of the publications requested.

(NARA Job NC1-207-79-12,

item 38 a)

b\. Technical publications and Destroy when superseded or

catalogs. obsolete. (NARA Job NC1-207-79-

12, item 38 b)

4/00 12b

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

39\. Subject files containing Destroy 5 years after

reports, designs, and construction is

calculations relating to completed. (NARA Job

site improvement design and NC1-207-79-12, item 39)

construction for low-rent

housing projects. Includes

experimental data and

research material on

surfacing types and

community facilities and

background and research

material on the design of

water, gas, sewerage and

drainage systems.

Public Housing Occupancy

40\. Occupancy report form files. Destroy after HUD

Includes reports on initial occupancy audit of

occupancy, continued public housing agency.

occupancy, reexamination, (NARA Job NC1-207-79-12,

annual certification item 40)

regarding eligible families

admitted, and characteristics

of families who have

applied but not been

admitted. Also includes

related correspondence and

other documents.

41\. Project Property Reports Destroy 5 years after

Files consisting of termination of the

correspondence and documents Annual Contributions

relating to project Contract or

characteristics such as unit Administration Contract.

availability, change in (NARA Job NC1-207-79-12,

number of units, end of item 41)

initial operating period,

and date of full

availability.

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

42\. Schedule of Rents File Destroy after HUD

containing rent schedules, occupancy audit of

rent approval sheets, public housing agency.

demonstrations of financial (NARA Job NC1-207-79-12,

feasibility, five-year item 42)

estimates of average annual

rents, five-year estimates

of average annual expense,

utility allowances, and

related correspondence.

43\. Approved Schedules of Destroy after HUD

Maximum Income Limits File occupancy audit of

containing amendments of public housing agency.

eligibility policy on income (NARA Job NC1-207-79-12,

limits proposal, revision of income item 43)

limits, economist\'s review of

proposal for schedule of maximum

income limits, revision of maximum

income limits, proposal for special

admission limits for displaced

families, and related correspondence.

44\. Subject file consisting of Destroy after HUD

correspondence and documents occupancy audit of

relating to tenant activities public housing agency.

on housing projects such as (NARA Job NC1-207-79-12,

use and operation of item 44)

community facilities, Boy

Scout and Girl Scout

activities, child care,

playground, tenant

organizations, and other

recreational activities.

45\. Compliance Review File Destroy after HUD

consisting of correspondence occupancy audit of

relating to possible public housing agency.

(NARA Job NC1-207-79-12,

item 45)

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

violation of HUD policy on occupancy

of housing projects, as shown in

reports received from public housing

agencies.

46\. Occupancy Audit Reports Files Destroy 1 year after

containing the report on audit and findings resulting from

related correspondence and documents HUD occupancy audit of

on such occupancy matters as tenant public housing agency

eligibility for low-income housing; are closed. (NARA Job

verification of income for admission NC1-207-79-12, item 46)

and continued occupancy; order of

preferences for admission; rents;

methods and techniques for tenant

selection; reexamination changes

in scheduling of annual

reexamination; and public housing

agency letter of certification of

eligibility of families.

47\. General working file containing Destroy 1 year after

copies of occupancy correspondence, findings resulting from

notes, and documents for HUD occupancy audit of

Occupancy Auditors. public housing agency

are closed. (NARA Job

NC1-207-79-12, item 47)

Public Housing Maintenance Engineering, Utilities

and Other Project Services

48\. Maintenance Engineering Survey Destroy when superseded

File containing the engineer\'s by two surveys. (NARA

findings on the operation and Job NC1-207-79-12, item

maintenance of the physical 48)

plant, record of observations,

and photographs of the condition

of the physical plants and grounds.

49\. RESERVED.

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

50\. Correspondence, research Destroy when no longer

papers, technical needed for reference.

publications, and technical Review annually. (NARA

reports on operating Job NC1-207-79-12, item

maintenance and construction 50)

problems.

51\. Correspondence, catalogs, Destroy when no longer

pamphlets, technical needed for reference.

publications, and reports Review annually. (NARA

regarding investigations of Job NC1-207-79-12, item

equipment, materials, costs, 51)

and methods for the

improvement of project

operation and maintenance.

52\. Project and subject files

containing correspondence and

documents relating to utility

services and equipment. Includes

utility contracts; utility

consumption and costs;

specifications, bids, and

acceptance of utility services;

review of utility services for

possible economies; analysis of

utility services to effect

operating improvements;

valuations of HUD-owned utility

systems; and assistance in the

sale of utility systems.

a\. Long-term summary Destroy when

reports of utility administration and

experience. management value has

expired. Review

annually. (NARA Job

NC1-207-79-12, item 52a)

10/88 16

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

b\. Other files. Destroy when 5 years

old. (NARA Job

NC1-207-79-12, item 52b)

53\. Subject files containing Destroy 3 years after

correspondence and documents relating HUD management review

to electrical equipment for and maintenance survey

housing projects. Includes of public housing

research and background agency. (NARA Job

material on conduits, boxes, NC1-207-79-12, item 53)

interior wiring, and electric

meters and reports on tests

of electrical equipment.

54\. Subject and project files containing Destroy 3 years after

correspondence, documents, and HUD management review

drawings relating to plumbing and and maintenance survey

heating for housing projects. of public housing

Includes reports of tests and agency. (NARA Job

evaluations of heating and water NC1-207-79-12, item 54)

systems and research and

background material on heating

and water systems.

55\. Subject File consisting of Destroy 3 years after

correspondence and documents relating HUD management review

to general studies. Includes studies and maintenance survey

on garbage and trash disposal, kitchen of public housing

and laundry operations, central agency. (NARA Job

laundry, furniture repair, and central NC1-207-79-12, item 55)

storage; reports and background

material; and community building

plans.

56\. Management contracts for project Retire to a Federal

services and related correspondence. Records Center 1 year

after contract

termination and final

settlement. Destroy 6

years after contract

termination and final

settlement. (NARA Job

NC1-207-79-12, item 56)

17 10/88

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

57\. Consolidated Supply Contracts Place in inactive file

(equipment and maintenance items). when contract expires

Includes bid format, abstract of and retire to a Federal

bids, unsuccessful bids, mailing Records Center 1 year

lists, and related correspondence. thereafter. Destroy 6

years after the contract

expires. (NARA Job

NC1-207-79-12, item 57)

58\. Correspondence, descriptive Destroy when superseded.

literature, specifications, and Review annually. (NARA

other material pertaining to the Job NC1-207-79-12, item

various items covered by 58)

consolidated supply contract.

59\. Copies of public housing agency Place in the inactive

purchase orders, statements of file when 1 year old and

purchases, invoices, shipping retire to a Federal

tickets, property surveys, property Records Center. Destroy

survey action, bid tabulations, when 6 years old. (NARA

related correspondence, and other Job NC1-207-79-12, item

material relating to personal 59)

property operations.

Public Housing Modernization

60\. Public housing agency applications

(preliminary and final) for

Modernization, supporting documents,

and related correspondence.

a\. Approved applications. Retire to a Federal

Records Center after

Actual Modernization

Cost Certificate is

approved. Destroy 5

years after Actual

Modernization Cost

Certificate is approved.

(NARA Job NC1-207-84-3,

item 60a)

b\. Disapproved or withdrawn Place in inactive file

applications. upon disapproval or

withdrawal. Destroy 2

years after disapproval

or withdrawal. (NARA

Job NC1-207-84-3, item

60b)

10/88 18

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

61\. HUD Modernization Lists.

a\. Record copies kept by the Office Destroy 3 years after

of Finance and Accounting. Annual Contributions

Contract termination.

(NARA Job NC1-207-84-3,

item 61a)

b\. Nonrecord copies used by Office Destroy when Annual

of Public and Indian Housing Contributions Contract

as working copies. terminates. (NARA Job

NC1-207-84-3, item 61b)

62\. Documents relating to Modernization Destroy when Actual

construction and equipment contracts, Modernization Cost

Architect and Engineer agreements, Certificate is approved.

related correspondence and reports. (NARA Job NC1-207-84-3,

item 62)

63\. Modernization progress reports, work Destroy when Actual

program revisions, and budget Modernization Cost

revisions other than the latest Certificate is approved.

approved Budget. (NARA Job NC1-207-84-3,

item 63)

64\. Documents required for advances of

funds.

a\. Record copies kept by the Office Destroy 5 years after

of Finance and Accounting. Annual Contributions

Contract termination.

(NARA Job NC1-207-84-3,

item 64a)

b\. Nonrecord copies used by Office Destroy when Actual

of Public and Indian Housing Modernization Cost

as working copies. Certificate is approved.

(NARA Job NC1-207-84-3,

item 64b)

65\. Actual Modernization Cost Certificate

and supporting documents (latest

approved Budget).

a\. Record copies kept by the Office Destroy 5 years after

of Finance and Accounting. Annual Contributions

Contract termination.

(NARA Job NC1-207-84-3,

item 65a)

19 10/88

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

b\. Nonrecord copies used by Office Destroy when Annual

of Public and Indian Housing Contributions Contract

as working copies. terminates. (NARA Job

NC1-207-84-3, item 65b)

66\. RESERVED.

Section 8 Rental Assistance Program

Records included in items 67 through 73 pertain to the

following Section 8 Housing Assistance Payments (HAP) and

Section 23 Programs: New Construction, Substantial

Rehabilitation, Existing, Farmers Home Administration

Section 515 FmHA Set-Aside Program, and Housing Finance and

Development Agencies (HFDA) Program.

67\. Notification of Fund Availability Destroy 2 years

(NOFA) material, allocation plans, after NOFA issued.

and schedules. (NARA Job NC1-207-79-12,

item 67)

68\. Project File. Includes organization

transcripts; proposals for new

construction and rehabilitation,

review material and related

correspondence; management policies;

Housing Assistance Payments (HAP)

agreements and contracts; Lists of

Preliminary Loan Contracts and Annual

Contributions Contracts (ACC) for

Section 8 projects; reviews of estimates

of ACC required, preliminary expenses

and other financial documents; site

material including Environmental

Clearance forms, maps and A-95

clearinghouse comments; Architect\'s

Certifications for new construction

and rehabilitation projects; and

project-related correspondence.

a\. When project is approved. Destroy 6 years after

HAP contract expires.

(NARA Job NC1-207-79-12,

item 68a)

b\. When project is approved and later Destroy 3 years after

cancelled. cancellation. (NARA Job

NC1-207-79-12, item 68b)

10/88 20

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

c\. When project is not approved. Destroy 3 years after

disapproval. (NARA Job

NC1-207-79-12, item 68c)

69\. Correspondence not related to a Break file at end of

specific project. Includes routine fiscal year. Destroy at

requests for information, complaints end of following fiscal

and other routine program matters year. (NARA Job

not otherwise provided for in this NC1-207-79-12, item 69)

schedule.

70\. General Management File. Place in inactive file

Includes project and subject when 3 years old.

files of correspondence and Destroy when 6 years

documents relating to management old. (NARA Job

reviews, management agreements, NC1-207-79-12, item 70)

audit reports, status

reports of management

operations, trip reports, and

management checklists.

71\. Occupancy File. Includes Destroy 1 year after

occupancy audit reports; tenant findings resulting from

applications; recertifications; HUD occupancy audit are

documents relating to closed. (NARA Job

eligibility, admissions, initial NC1-207-79-12, item 71)

occupancy, and tenant

characteristics; and

correspondence and other

documents related to occupancy.

72\. Maintenance Engineering, Place in inactive file

Utilities and Other Project when 3 years old.

Services File. This file Destroy when 6 years

includes documents and records old. (NARA Job

related to the maintenance NC1-207-79-12, item 72)

engineering functions, utility

allowances, inspection forms by

public housing agencies and

21 10/88

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

owners and related correspondence,

and management contracts for

project services and related

correspondence.

73\. Financial File. This file Place in inactive file

contains documents such as at end of 3rd fiscal

requests for Housing Assistance year after execution of

Payments (HAP) by owners and contract. Destroy 6

public housing agencies; rent years after contract

adjustment correspondence; termination. (NARA Job

management reviews and trip NC1-207-79-12, item 73)

report files containing

correspondence and documents

relating to management audit of

owners and public housing agency

records; financial forms

submitted in support; General

Accounting Office exceptions

file, consisting of

correspondence and documents

regarding recommendations as

to the disposition of GAO

exceptions, files containing

forms and documents and related

policies.

Related Automatic Data Processing ADP Records

74\. Low income public housing/rental

assistance ADP records. This

item covers ADP records relating

to the programs covered by this

schedule. Specifically, this

item covers records of the

following ADP systems: Bond

Maturity Schedule System, Low

Rent Housing (LRH) Occupancy

Systems, Lower Income Assistance

Program System (LIAPS),

Modernization Program Reporting

System (MPRS). Public Housing

10/88 22

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

Agency (PHA) Address Directory

System, Public Housing Agency

(PHA) Operating Statement

System, Section 8 Management

Information System, Subsidized

Housing\--Admissions/Continued

Occupancy (SHACO) System, Target

Project Program System (TPPS),

and Tenant Application Profiles

System (TAPS).

a\. Documentation files. Cover

those records required for

servicing machine-readable

records\--for converting them

from human-readable

information to encoded data

and vice versa. These are

an organized series of

descriptive documents

required to initiate,

develop, operate and

maintain specific

applications of ADP systems.

\(1\) Lower Income Assistance

Program System (LIAPS)

documentation file.

\(a\) Copy of current PERMANENT. Transfer

system documentation immediately a copy of

file. current file to NARA

along with related

master file. Offer

future updates to NARA

on an annual basis.

(NARA Job NC1-207-79-12,

item 74a(1)(a))

\(b\) System documentation Destroy 1 year after

file maintained by system is placed on

HUD. inactive list. (NARA

Job NC1-207-79-12, item

74a (1)(b))

23 10/88

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APPENDIX 35

2225.6 REV-1

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

\(2\) Subsidized Housing\--

Admissions/Continued

Occupancy (SHACO)

System documentation

file.

\(a\) Copy of current system PERMANENT. Transfer immedi-

documentation file. ately a copy, of current file

to NARA along with related

master file. Offer future

updates to NARA on an annual

basis. (NARA Job NC1-207-79-

12, Item 74 a(2)(a))

\(b\) System documentation Destroy 1 year after system is

file maintained placed on inactive list.

by HUD. (NARA Job NC1-207-79-12, item

74a(2)(b))

\(3\) Other nonpermanent Destroy 1 year after system is

systems\' documentation placed on inactive list.

files. (NARA Job NC1-207-79-12, item

74a(3))

b\. Input documents.

\(1\) Forms, reports and Destroy after data has been

other documents entered into the system and

intended solely to verified. (NARA Job NC1-207-

serve as inputs to the 79-12, Item 74b(1))

system.

\(2\) Forms, reports and other Use the appropriate item in the

documents which serve previous sections of this

other program uses in schedule.

addition to serving as

inputs to the system.

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

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

c\. Processing files. Those

machine-readable files (from

work files and raw data

input files to publication

files and security backup

files) which are used to

create and use a master

file.

\(1\) Bond Maturity Schedule Scratch 30 days after

System. tape is created. (NARA

Job NC1-207-79-12, item

74c(1))

\(2\) All other ADP systems. Scratch after third

update cycle. (NARA Job

NC1-207-79-12, item

74c(2))

d\. Master file. Constitutes

the definitive state of a

data file in a system at a

given time.

\(1\) While the system is

operational.

\(a\) Bond Maturity Scratch 30 days after

Schedule System. tape is created. (NARA

Job NC1-207-79-12, item

74d(1)(a))

\(b\) Low Rent Housing Scratch after fifth

(LRH) Occupancy update cycle. (NARA Job

System. NC1-207-79-12, item

74d(1)(b))

\(c\) Lower Income

Assistance Program

System (LIAPS).

1 Copy of current PERMANENT. Transfer

master file. copy of the current

master file to NARA

immediately and offer

future updates to NARA

on an annual basis.

(NARA Job NC1-207-79-12,

item 74d(1)(c)1)

25 10/88

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

2 Copy of master Scratch after sixth

file retained update cycle. (NARA Job

in HUD tape NC1-207-79-12, item

library. 74d(1)(c)2)

\(d\) Public Housing Scratch after next

Agency (PHA) update. (NARA Job

Address Directory NC1-207-79-12, item

System. 74d(1)(d))

\(e\) Section 8 Scratch after third

Management update cycle. (NARA Job

Information NC1-207-79-12, item

System. This 74d(1)(e)

system has an

extract file which

consists of

partial data

extracted to

produce monthy

Cumulative and

Summary Reports.

This file is not

an exact copy of

the data available

in the system.

The disposition

given is for this

extract file.

\(f\) Subsidized

Housing\--Admissions/

Continued Occupancy

(SHACO) System.

1 Copy of current PERMANENT. Transfer

master file. copy of the current

master file to NARA

immediately and offer

future updates to NARA

on an annual basis.

(NARA Job NC1-207-79-12,

item 74d(1)(f)1)

10/88 26

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APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

Item

No. Description of Records Disposition

2 Copy of master Scratch after tenth

file retained update cycle. (NARA Job

in HUD tape NC1-207-79-12, item

library. 74d(1)(f)2)

\(g\) Tenant Application Scratch after third

Profile System update cycle. (NARA Job

(TAPS). NC1-207-79-12, item

74d(1)(g))

\(h\) The other 3 Systems:

Modernization Program

Reporting (MPRS); Public

Housing Agency (PHA)

Operating Statement;

and Target Project

Program (TPPS).

1 Master file Scratch 5 years after

produced by the creation. (NARA Job

fourth (final) NC1-207-79-12, item

quarterly 74d(1)(h)1)

update each year.

2 Master file Scratch after fourth

produced by (final) quarterly update

the other each year. (NARA Job

quarterly NC1-207-79-12, item

updates 74d(1)(h)2)

each year.

\(2\) When the system is Destroy 1 year after

deleted from the system is placed on

inventory of active inactive list. (NARA

systems. Job NC1-207-79-12, item

74d(2))

e\. Printouts, output reports. Destroy when superseded,

obsolete or no longer

needed for reference.

(NARA Job NC1-207-79-12,

item 74e)

27 10/88

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2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Description: MTCS is a mainframe system used to maintain input data at

Headquarters. It is the central repository for data

on households assisted by Section 8 (Moderate Rehabilitation

Program, Rental Certificate and Voucher Programs), Public

Housing and Native American Housing programs managed by the

Office of Public and Indian Housing (PIH). This data is used

to monitor compliance with a wide variety of statutory and

regulatory requirements set forth by the PIH and the office of

Fair Housing and Equal Opportunity. In addition, the Office of

Policy Development and Research uses MTCS data to develop

policies and to monitor HUD assisted housing programs. MTCS is

the only source of detailed tenant data which identifies

families covered by assisted housing programs. As such, this

data is held under the Privacy Act System of Records (agency

number HUD/H-11, Multifamily Tenant Characteristics Data).

This system is not used for financial transactions.

Item

No. Description of Records Disposition

75\. a. Work files. Consist of Delete when no longer

temporary files used to needed.

process data. (NARA Job N1-207-96-5, item 75 a)

b\. Test files. Consist of Delete from mass stor-

data used to assure pro- age and move to tape if

gram accuracy. not accessed within 45

days. Destroy tape if

not accessed within 1 year.

(NARA Job N1-207-96-5, item 75 b)

28 3/97

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

c\. Documentation. Consists of PERMANENT. Transfer 1

an organized series of de- copy of current file to

scriptive documents requir- the National Archives (NA)

ed to initiate, develop, with related data

operate and maintain spe- files.

cific applications of auto- (NARA Job N1-207-96-5, item 75 C)

mated data processing systems.

Includes, but not limited to

the completed: inventory listing

of files, being transferred with

record count, records layout with

data elements numbered, data

elements dictionary, Privacy

Act system notice covering the

records when applicable; and the

Technical Description for

Transfer of Electronic Records

to the National Archives (NA

Form 14097) or its equivalent.

\(1\) Documentation Updates. PERMANENT. Transfer 1

copy of updates to NA with

the related data files.

(NARA Job N1-207-96-5, item 75 c (1))

29 3/97

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

\(2\) Documentation replaced Dispose after replace-

by updates. ment updates have been

received by NA.

(NARA Job N1-207-96-5, item 75 c (2))

\(3\) Documentation updates PERMANENT. Transfer the original set

no longer being re- set to NA with the related trans-

placed, updated, used action files before the system

or needed by HUD. becomes inactive, is replaced,

suspended or deleted whichever

is sooner. (NARA Job N1-207-96-5,

item 75 c (3))

d\. Input. Consists of media used

solely to enter data into the system.

\(1\) Transaction files. Destroy when no longer

Consist of automated needed.

data files on tapes (NARA Job N1-207-96-5, item 75 d (1))

received and maintained

monthly by System Manager.

These files are written in

ASCII with all extraneous

control characters removed

from the data and blocked

not higher than 32,760 bytes

per block. Are used to update

the current version of data

file/master file in the

system each month.

3/97 30

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

\(2\) Transaction file Destroy when no longer

updates. needed.

(NARA Job N1-207-96-5, item 75 d (2))

\(3\) Transaction files no Destroy when no longer

longer used or needed needed.

to update data files. (NARA Job N1-207-96-5, item 75 d (3))

\(4\) Table files (used to Delete when 1 year old.

provide specific in- (NARA Job N1-207-96-5, item 75 d (4))

formation unique to a

program.

e\. Data files. Reflect the current

version of data in the system at

a given time.

\(1\) For the time period PERMANENT. Transfer an ASCII copy

covering the initial immediately to NA.

operation of the system (NARA Job N1-207-96-5, item 75 e (1))

(12/89) through 2/94.

\(2\) For the time period PERMANENT. Transfer a current ASCII

covering 3/94 to the copy of the data files to the NA

present. every 5 years beginning 3/99.

(NARA Job N1-207-96-5, item 75 a (2))

31 3/97

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

f\. Output.

\(1\) History files. Consist

of obsolete master or

transaction files for

historical use or re-

ference.

\(a\) End of quarter Delete when 3 years old.

history files (NARA Job N1-207-96-5, item 75 f (1) (a))

\(b\) All other history files. Delete when 14 days old.

(NARA Job N1-207-96-5, item 75 f (1) (b))

\(2\) Output report files. Delete when 14 days old.

(NARA Job N1-207-96-5, item 75 f (2))

\(3\) Output reports

(paper, diskettes, microfiche).

\(a\) Master set kept by system

sponsor.

1 Annual reports. Destroy when 3 years old.

(NARA Job N1-207-96-5, item 75 f (3) (a) 1)

2 Semiannual reports. Destroy upon receipt of annual

report summarizing the monthly

reports. (NARA Job N1-207-96-5,

item 75 f (3) (a) 2)

3/97 32

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

3 Monthly reports. Destroy upon receipt of

annual report summarizing

the monthly reports.

(NARA Job N1-207-96-5, item 75 f (3) (a) 3)

4 Weekly reports. Destroy upon receipt of

monthly report summarizing

the weekly reports.

(NARA Job N1-207-96-5, item 75 f (3) (a) 4)

5 Daily reports. Destroy upon receipt of

weekly report summarizing

the daily reports.

(NARA Job N1-207-96-5, item 75 f (3) (a) 5)

6 As requested reports. Destroy when 1 year old.

(NARA Job N1-207-96-5, item 75 f (3) (a) 6)

\(b\) All other sets.

1 Annual reports. Destroy when 1 year old.

(NARA Job N1-207-96-5, item 75 f (3) (b) 1)

2 Semiannual, monthly, Destroy upon receipt of report

weekly and daily reports. that summarizes as specified in

f(3)(a)2, 3, 4 and 5 as appropriate.

(NARA Job N1-207-96-5, item 75 f (3) (b) 2)

3 As requested reports. Destroy when 1 year old.

(NARA Job N1-207-96-5, item 75 f (3) (b) 3)

33 3/97

2225.6 REV-1 CHG- 33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

\(4\) Data files (used to Delete 45 days after

provide formatted data has been provided

data to other systems and verified. (NARA Job N1-207-

or programs). 96-5, item 75 f (4))

g\. Security backup files. Consist

of data identical to physical

format to a master file or data

base and kept in case the master

file or data base is damaged or erased.

\(1\) Files identical to re- Delete when the

cords scheduled as identical records have

permanent. been successfully copied,

verified and transferred

to the NA or when replaced

by subsequent security

backup files. (NARA Job N1-207-96-5,

item 75 g (1))

\(2\) Files identical to re- Delete when identical records

cords scheduled as have been deleted or when

temporary. replaced by subsequent

security backup files.

(NARA Job N1-207-96-5, item 75 g (2))

h\. System program library Delete 3 years after system or

file. Consists of all program is replaced on inactive list.

programs and job control (NARA Job N1-207-96-5, item 75 h)

statements/instructions

needed to run a system.

3/97 34

2225.6 REV-1 CHG-33

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW-INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE RECORDS

System Name: Multifamily Tenant Characteristics System (MTCS)

System Code: F86

Item

No. Description of Records Disposition

i\. Data base file. Consists of Purge contents of file

an organized collection of (data/records) and

data, designed to serve the write to history file

user organization\'s needs. when inactive for 1 year.

(NARA Job N1-207-96-5, item 75 i)

35 3/97

2225.6 REV-1 CHG-36

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

SYSTEM NAME: Community Development Block Grant (CDBG) Indian

Program System

SYSTEM CODE: C01

DESCRIPTION: The CDBG Indian Program System (C01 System) is a

microcomputer system which functions as an applicant selection

and program analysis device for Indian CDBG program funds, on a

fiscal year basis. During applicant selection, Office of Native

American Program staff members use the C01 System to score data

input from applications submitted in competition for Indian CDBG

program funds. This applicant selection process is explained in

the Notice of Fund Availability (NOFA), published annually in the

Federal Register. After applicants have been selected to receive

Indian CDBG funding, C01 System data input are transferred to

Public and Indian Housing (PIH) in HUD Headquarters for program

analyses. The C01 System is not used for financial transactions.

Item

No. Description of Records Disposition

76\.

76\. a. System documentation. Con- Dispose of after the

sists of an organized series system is replaced or

of descriptive documents deleted, whichever is

required to initiate, develop, sooner.(NARA Job N1-207-96-7,

operate and maintain specific item 76a)

applications of automated

data processing systems.

Includes, but not limited to

the completed: inventory

listing of files being

transferred with record

count; records layout with

data elements numbered; data

elements dictionary; Privacy

Act system notice covering

the records when applicable;

and the Technical Descrip-

tion for Transfer of Elec-

tronic Records to the Nation-

al Archives (NA Form 14097)

or its equivalent.

5/97 36

2225.6 REV-1 CHG-36

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

SYSTEM NAME: Community Development Block Grant (CDBG) Indian

Program System

SYSTEM CODE: C01

Item

No. Description of Records Disposition

\(1\) System documentation Dispose of after the

updates. Replace or re- system is replaced or

vise the previous sys- deleted, whichever is

tem documentation used sooner. (NARA Job N1-

as master set. 207-96-7, item 76a(1))

Dispose of after re-

\(2\) System documentation lated data files

replaced by updates. have been disposed.

(NARA Job N1-207-96-

7, item 76a(2))

\(3\) System documentation Dispose of after the

final master set. No system is replaced or

longer updated, being deleted, whichever is

replaced, needed or sooner. (NARA Job N1-

used by HUD. 207-96-7, item 76a(3))

37 5/97

2225.6 REV-1 CHG-36

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

SYSTEM NAME: Community Development Block Grant (CDBG) Indian

Program System

SYSTEM CODE: C01

Item

No. Description of Records Disposition

b\. Administrative correspond-

ence.

\(1\) General correspondence Dispose of after 1

from various tribes and year old. (NARA Job

other parties relating N1-207-96-7, item

to Indian CDBG funds. 76b(1))

This includes photo-

copies of NOFAs stocked

for the year.

\(2\) Paper applications sub- Dispose of after 5

mitted to receive Indian years and 30 days

CDBG funds. after the date Indian

CDBG funds have been

awarded. (NARA Job N1-207-96-7,

item 76b(2))

c\. Data Input.

\(1\) Office of Native Verify and transfer 1

American Program (ONAP) copy to HUD Headquar-

data input. Data from ters annually (at the

paper applications used end of each calendar

for scoring and select- year) after selecting

ing applicants. applicants. Delete

after 3 years old.

(NARA Job N1-207-96-7,

item 76c(1))

\(2\) Headquarters data Break file annually

files. Consist of data (at the end of each

transferred to calendar year) and

Headquarters from ONAP delete when 1 year

data input. old. (NARA Job N1-207-96-7,

item 76c(2))

5/97 38

2225.6 REV-1 CHG-36

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

LOW INCOME PUBLIC HOUSING AND RENTAL ASSISTANCE: PROGRAM RECORDS

SYSTEM NAME: Community Development Block Grant (CDBG) Indian

Program System

SYSTEM CODE: C01

Item

No. Description of Records Disposition

d\. Output files. Consist of Dispose of when no

various hardcopy reports. longer needed.

(NARA Job N1-207-96-7,

item 76d

e\. Software. Dispose of when no

longer needed.

(NARA Job N1-207-96-7,

item 76e)

39 5/97

Click Here for Change 49 in MS Word

Click Here for Change 49 in MS Word

REV-1 CHG-49

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

OFFICE OF PUBLIC AND INDIAN HOUSING

OFFICE OF TROUBLED AGENCY RECOVERY (OTAR)

The Office of Troubled Agency Recovery , (OTAR) is to

coordinate with all program areas to support the recovery of

troubled Public Housing Authorities (PHA), thereby ensuring the

provision of decent, safe, and sanitary housing for all public

housing residents. It is OTAR\'s responsibility to assist

troubled PHAs to reach standard or better performance through the

development and implementation of sustainable solutions. The

scope of this effort encompasses all troubled PHAs nationally,

including both the administration of all Low Rent Public Housing

and tenant-based Section 8 programs. As a part of that effort,

Troubled Agency Recovery Centers (TARC) will concentrate on the

use of technical assistance contracts or grants provided to the

PHAs in order to effect recovery. All areas of a PHA will be

analyzed and targeted for improvement including community

relations and involvement, financial and management improvements,

and community revitalization.

Item

No. Description of Records Disposition

77 1. Program Subject Files. Contains office Temporary. Cut off at

correspondence, HUD distributed reports, end of calendar year.

program budget and operational plans, Retire to records center

contracts, Memoranda of Understanding 1 year after cutoff.

(MOUs), audit reports, and related Destroy 3 years after

materials. Arrangement: alphabetical Cutoff. (NARA Job No.

by subject title. Dates: 1998 - Present. Estimated annual

Accumulation: 5 cubic feet. N1-207-02-1, item 1.)

2\. Troubled PHA Case Files. Contains documentation on causes

of a PHA\'s assessment failure, particularly in the following areas:

management operations, financial condition, physical condition,

and resident services and satisfaction, as well as recovery plans

to effect the PHA\'s successful assessment in the future. Records

include correspondence, memoranda, copies of electronic mail

messages, recovery plans, improvement implementation plans,

copies of local government hearings, related press releases,

copies of court orders, technical support summaries, MOUs,

cooperative agreements, audit reports, financial accounts, and

other related materials. Arrangement: alphabetical by name of

PHA, thereunder by subject. Dates: 1998 - Present. Estimated

annual Accumulation: 5 cubic feet. (NOTE: Cases that are

appealed go to the Real Estate Assessment Center.)

2225.6 REV-1 CHG-49

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

OFFICE OF PUBLIC AND INDIAN HOUSING

OFFICE OF TROUBLED AGENCY RECOVERY (OTAR)

Item

No. Description of Records Disposition

a\. Record Copy. Temporary. Cut off

at end of calendar year

in which case is closed.

Retire to records center

2 years after cutoff.

Destroy 6 years after

cutoff. (NARA Job No.

N1-207-02-1, item 2a.)

b\. All other copies. Working case files Temporary. Cut off at

for troubled PHAs. end of calendar year in

which case is closed.

Destroy 1 year after

cutoff. (NARA Job No.

N1-207-02-1, item 2b.)

3\. Annual Reports and Publications. PERMANENT. Cut

Contains the OTAR program Annual off at end of calendar

Report, newsletters, pamphlets, brochures, year. Retain on-site

booklets, Frequently Asked Questions for in 3-year blocks.

distribution, paper version Website published Transfer to the

captured elsewhere), policy and procedural oldest publication in

Manuals, and other publications. Arrange- block is 3 years old.

ment: alphabetical by title, thereunder, in (NARA Job No. N1-207-

reverse chronological order. Dates: 1998- 02-1, item 3.)

Present. Estimated annual accumulation:

5 cubic feet.

2225.6 REV-1 CHG-49

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

OFFICE OF PUBLIC AND INDIAN HOUSING

OFFICE OF TROUBLED AGENCY RECOVERY (OTAR)

Item

No. Description of Record Disposition

4\. Electronic Copies. Electronic version of records created by

electronic mail and/or word processing applications for the series

contained in this schedule (Office of Troubled Agency Recovery Records)

a\. Copies that have no further administrative Temporary. Delete

value after the recordkeeping copy is made. within 180 days after

Includes copies maintained by individuals the record-keeping

in personal files, personal electronic mail copy has been

directories, or other personal directories produced. (NARA Job

on hard disk or network drives that are No. N1-207-02-1, item

used only to produce the recordkeeping copy. 4A)

b\. Copies used for dissemination, revision, Temporary. Delete when

or updating is complete. Dissemination,

revision, or updating

is complete. (NARA

Job No. N1-207-02-1,

item 4b)

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item No. Description of Records Disposition

78 The Special Applications Center (SAC) enables the Office of Public
and Indian

Housing to assist Housing Authorities in their efforts to efficiently
and

effectively meet the housing needs of their communities through the
specialized

review and approval of non-funded, non-competitive applications, related
to:

Section 18 Application Case Files. Contains Applications, application

support materials, correspondence, copies of electronic mail, faxes, and

other related materials. The purpose of these records is to seek
approval

for the document

a\. Disapproved or Withdrawn Temporary. Cut off file

Applications. at the end of the calendar year in which case is closed.
Retire

to records center 1 year after cutoff. Destroy 3 years after cutoff.
(NARA Job

No. N1-207-02-5, item 78-1a.)

b\. Approved Application Case Temporary. Cut off file at end

File-Record Copy. of calendar year in which case is closed. Retire to
records

center 1 year after cutoff. Destroy 7 years after cutoff. (NARA Job No.

N1-207-02-5, item 78-1b.)

-1- 11/02

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

c\. Field Office Copies. Temporary. Cut off file at end of calendar year
in

which case is closed. Retire to records center 1 year after cutoff.
Destroy 3

years after cutoff. (NARA Job N1-207-02-5, item 78-1c.)

d\. All Other Copies. Convenience or Temporary. Destroy or delete

working copies. file when no longer needed for

reference. (NARA Job No. N1-

207-02-5, item 78-1d.)

2\. Section 202 Applications. Contains Applications, application support

materials, correspondence, copies of electronic mail, faxes, and other
related

materials. The purpose of these records are to seek approval for and
document

conversion of residents from low-rent project-based assistance to
tenant-based

assistance (Section 8). Dates: 1998 to present. Estimated annual
accumulation:

1 cubic foot.

a\. Disapproved or Withdrawn Temporary. Cut off file at end

Applications. of the calendar year in which

case is closed. Retire to records center 1 year after cutoff. Destroy 3
years

after cutoff. (NARA Job No. N1-207-02-5, item 78-2a.)

b\. Approved Application Case Temporary. Cut off file at end

File-Record Copy. of calendar year in which case

is closed. Retire to records center 1 year after cutoff. Destroy 7 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-2b.)

11/02 -2-

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

c\. Field Office Copies. Temporary. Cut off file at end

of calendar year in which case is closed. Retire to records center 1
year

after cutoff. Destroy 3 years after cutoff. (NARA Job No. N1-207-02-5,
item

78-2c.)

d\. All Other Copies. Convenience Temporary. Destroy or delete

or working copies. file when no longer needed for

reference. (NARA Job No. N1-

207-02-5, item 78-2d.)

3\. Homeownership Applications. Contains Applications, application
support

materials, correspondence, copies of electronic mail, faxes, and other
related

materials. The purpose of these records are to seek approval for and
document

the sale of units under annual contributions contract to residents or

individuals who are eligible to become residents. Dates: 1998 to
present.

Estimated annual accumulation: 4 cubic feet.

a\. Disapproved or Withdrawn Temporary. Cut off at end of Applications.
the

calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 3 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-3a.)

b\. Approved Application Case Temporary. Cut off at end of

File-Record Copy. the calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 7 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-3b.)

-3- 11/02

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

c\. Field Office Copies. Temporary. Cut off at end of

calendar year in which case is closed. Retire to records center 1 year
after

cutoff. Destroy 3 years after cutoff. (NARA Job No. N1-207-02-5, item
78-3c.)

d\. All Other Copies. Convenience Temporary. Destroy or

or working copies. delete file when no longer

needed for reference. (NARA Job No. N1-207-02-5, item 78-3d.)

4\. Designated Housing. Contains Applications, application support
materials,

correspondence, copies of electronic mail, faxes, and other related
materials.

The purpose of these records are to seek approval for and document the

designation of annual contributions contract units for elderly,
handicapped or

mixed. Dates: 1995 to present. Estimated annual accumulation: 5 cubic
feet.

a\. Disapproved or Withdrawn Temporary. Cut off file at end of

Applications. calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 3 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-4a.)

b\. Approved Application Case Temporary. Cut off at end of the

File-Record Copy. calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 7 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-4b.)

11/02 -4

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

c\. Field Office Copies. Temporary. Cut off file at end

calendar year in which case is closed. Retire to records center 1 year
after

cutoff. Destroy 3 years after cutoff. (NARA Job No. N1-207-02-5, item
78-4c.)

d\. All Other Copies. Convenience Temporary. Destroy or delete

or working copies. file when no longer needed for

reference. (NARA Job No. N1-

207-02-5, item 78-4d.)

5\. Eminent Domain Applications. Contains applications, application
support

materials, correspondence, copies of electronic mail, faxes, and other
related

materials. The purpose of these records are to seek approval for and
document

the taking of a project or portion of a project by an agency that has
the

power of eminent domain under State law. Dates: 1998 to present.
Estimated

annual accumulation: 1 cubic feet.

a\. Disapproved or Withdrawn Temporary. Cut off file at end

Applications. of calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 3 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-5a.)

b\. Approved Application Case Temporary. Cut off file at end

File-Record Copy. of calendar year in which case is

closed. Retire to records center 1 year after cutoff. Destroy 7 years
after

cutoff. (NARA Job No. N1-207-02-5, item 78-5b.)

-5- 11/02

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

c\. Field Office Copies. Temporary. Cut off file at end

of calendar year in which case is closed. Retire to records center 1
year

after cutoff. (NARA Job No. N1-207-02-5, item 78-5c.)

d\. All Other Copies. Convenience Temporary. Destroy or delete

or working copies. file when no longer needed

for reference. (NARA Job No.

N1-207-02-5, item 78-5d.)

6\. Hope I Applications. Contains applications, application support
materials,

correspondence, copies of electronic mail, faxes, and other related
materials.

The purpose of these records are to assist Housing Authorities to sell

Low-Rent Public Housing units to residents. Funds were provided for
planning

as well as implementation starting with FY 1992 and ending with FY 1994.
The

program has not been funded since then, and the Department is in the
process

of closing the program down. Dates: 1995 to present. Estimated annual

accumulation: 0 cubic feet. Total volume: 14 cubic feet.

Temporary. Cut off file at end of calendar year in which case is closed.

Retire to records center 1 year after cutoff. Destroy 5 years after
cutoff.

(NARA Job No. N1-207-02-5, item 78-6.)

7\. Electronic Copies. Electronic version of records created by
electronic mail

and/or word processing applications.

a\. Copies that have no further Temporary. Delete within 180

administrative value after the days after the recordkeeping copy

recordkeeping copy is made. In- has been produced. (NARA Job

cludes copies maintained by No. N1-207-02-5, item 78-7a.)

11/02 -6-

2225.6 REV-1 CHG-52

APPENDIX 35

RECORDS DISPOSITION SCHEDULE 35

PUBLIC AND INDIAN HOUSING

SPECIAL APPLICATIONS CENTER (SAC)

Item

No. Description of Records Disposition

individuals in personal files,

personal electronic mail directories,

or other personal directories on hard

disk or network drives, and copies

on shared network drives that are

used only to produce the record-

keeping copy.

b\. Copies used for dissemination, re- Temporary. Delete when

vision or updating that are main- dissemination, revision, or

tained in addition to the record- is complete. (NARA Job No.

keeping copy. N1-207-02-5, item 78-7b.)

-7- 11/02