+----+----------------------------------------------+-----------------+
| #  |                                              |                 |
|  P |                                              |                 |
| ar |                                              |                 |
| t  |                                              |                 |
| 10 |                                              |                 |
|  - |                                              |                 |
| -  |                                              |                 |
| Gr |                                              |                 |
| an |                                              |                 |
| t  |                                              |                 |
| an |                                              |                 |
| d  |                                              |                 |
| Lo |                                              |                 |
| an |                                              |                 |
|  P |                                              |                 |
| ro |                                              |                 |
| gr |                                              |                 |
| am |                                              |                 |
|  R |                                              |                 |
| ec |                                              |                 |
| or |                                              |                 |
| ds |                                              |                 |
+====+==============================================+=================+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| #  |                                              |                 |
| #  |                                              |                 |
| ED |                                              |                 |
| /R |                                              |                 |
| DS |                                              |                 |
+----+----------------------------------------------+-----------------+
| #  |                                              | ## DISPOSAL     |
| #  |                                              |                 |
| IT |                                              |                 |
| EM |                                              |                 |
+----+----------------------------------------------+-----------------+
| *  | ##  DESCRIPTION OF RECORDS                   | **AUTHORITY**   |
| *N |                                              |                 |
| O. |                                              |                 |
| ** |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| T  |                                              |                 |
| he |                                              |                 |
| mo |                                              |                 |
| st |                                              |                 |
| wi |                                              |                 |
| de |                                              |                 |
| ly |                                              |                 |
| k  |                                              |                 |
| no |                                              |                 |
| wn |                                              |                 |
| ac |                                              |                 |
| ti |                                              |                 |
| vi |                                              |                 |
| ti |                                              |                 |
| es |                                              |                 |
| in |                                              |                 |
| t  |                                              |                 |
| he |                                              |                 |
| De |                                              |                 |
| pa |                                              |                 |
| rt |                                              |                 |
| me |                                              |                 |
| nt |                                              |                 |
| of |                                              |                 |
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| du |                                              |                 |
| ca |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| a  |                                              |                 |
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| di |                                              |                 |
| sb |                                              |                 |
| ur |                                              |                 |
| se |                                              |                 |
| me |                                              |                 |
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| of |                                              |                 |
| F  |                                              |                 |
| ed |                                              |                 |
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| al |                                              |                 |
| mo |                                              |                 |
| ni |                                              |                 |
| es |                                              |                 |
| t  |                                              |                 |
| hr |                                              |                 |
| ou |                                              |                 |
| gh |                                              |                 |
| g  |                                              |                 |
| ra |                                              |                 |
| nt |                                              |                 |
| a  |                                              |                 |
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| lo |                                              |                 |
| an |                                              |                 |
| p  |                                              |                 |
| ro |                                              |                 |
| gr |                                              |                 |
| am |                                              |                 |
| s. |                                              |                 |
| So |                                              |                 |
| me |                                              |                 |
| pr |                                              |                 |
| og |                                              |                 |
| ra |                                              |                 |
| ms |                                              |                 |
| a  |                                              |                 |
| re |                                              |                 |
| ad |                                              |                 |
| mi |                                              |                 |
| ni |                                              |                 |
| st |                                              |                 |
| er |                                              |                 |
| ed |                                              |                 |
| fr |                                              |                 |
| om |                                              |                 |
| t  |                                              |                 |
| he |                                              |                 |
| he |                                              |                 |
| ad |                                              |                 |
| qu |                                              |                 |
| ar |                                              |                 |
| te |                                              |                 |
| rs |                                              |                 |
| o  |                                              |                 |
| ff |                                              |                 |
| ic |                                              |                 |
| e, |                                              |                 |
| a  |                                              |                 |
| nd |                                              |                 |
| ot |                                              |                 |
| he |                                              |                 |
| rs |                                              |                 |
| fr |                                              |                 |
| om |                                              |                 |
| t  |                                              |                 |
| he |                                              |                 |
| re |                                              |                 |
| gi |                                              |                 |
| on |                                              |                 |
| al |                                              |                 |
| of |                                              |                 |
| fi |                                              |                 |
| ce |                                              |                 |
| s. |                                              |                 |
| A  |                                              |                 |
| ll |                                              |                 |
| fi |                                              |                 |
| sc |                                              |                 |
| al |                                              |                 |
| ac |                                              |                 |
| ti |                                              |                 |
| vi |                                              |                 |
| ti |                                              |                 |
| es |                                              |                 |
| of |                                              |                 |
| g  |                                              |                 |
| ra |                                              |                 |
| nt |                                              |                 |
| a  |                                              |                 |
| nd |                                              |                 |
| lo |                                              |                 |
| an |                                              |                 |
| tr |                                              |                 |
| an |                                              |                 |
| sa |                                              |                 |
| ct |                                              |                 |
| io |                                              |                 |
| ns |                                              |                 |
| a  |                                              |                 |
| re |                                              |                 |
| do |                                              |                 |
| cu |                                              |                 |
| me |                                              |                 |
| nt |                                              |                 |
| ed |                                              |                 |
| by |                                              |                 |
| t  |                                              |                 |
| he |                                              |                 |
| C  |                                              |                 |
| hi |                                              |                 |
| ef |                                              |                 |
| F  |                                              |                 |
| in |                                              |                 |
| an |                                              |                 |
| ci |                                              |                 |
| al |                                              |                 |
| O  |                                              |                 |
| ff |                                              |                 |
| ic |                                              |                 |
| er |                                              |                 |
| 's |                                              |                 |
| F  |                                              |                 |
| in |                                              |                 |
| an |                                              |                 |
| ci |                                              |                 |
| al |                                              |                 |
| Ma |                                              |                 |
| na |                                              |                 |
| ge |                                              |                 |
| me |                                              |                 |
| nt |                                              |                 |
| O  |                                              |                 |
| pe |                                              |                 |
| ra |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| s, |                                              |                 |
| he |                                              |                 |
| ad |                                              |                 |
| qu |                                              |                 |
| ar |                                              |                 |
| te |                                              |                 |
| rs |                                              |                 |
| o  |                                              |                 |
| ff |                                              |                 |
| ic |                                              |                 |
| e. |                                              |                 |
|    |                                              |                 |
| F  |                                              |                 |
| or |                                              |                 |
| mu |                                              |                 |
| la |                                              |                 |
| g  |                                              |                 |
| ra |                                              |                 |
| nt |                                              |                 |
| pr |                                              |                 |
| og |                                              |                 |
| ra |                                              |                 |
| ms |                                              |                 |
| di |                                              |                 |
| st |                                              |                 |
| ri |                                              |                 |
| bu |                                              |                 |
| te |                                              |                 |
| m  |                                              |                 |
| on |                                              |                 |
| ey |                                              |                 |
| a  |                                              |                 |
| cc |                                              |                 |
| or |                                              |                 |
| di |                                              |                 |
| ng |                                              |                 |
| to |                                              |                 |
| a  |                                              |                 |
| f  |                                              |                 |
| or |                                              |                 |
| mu |                                              |                 |
| la |                                              |                 |
| e  |                                              |                 |
| st |                                              |                 |
| ab |                                              |                 |
| li |                                              |                 |
| sh |                                              |                 |
| ed |                                              |                 |
| by |                                              |                 |
| t  |                                              |                 |
| he |                                              |                 |
| b  |                                              |                 |
| as |                                              |                 |
| ic |                                              |                 |
| l  |                                              |                 |
| eg |                                              |                 |
| is |                                              |                 |
| la |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| of |                                              |                 |
| ea |                                              |                 |
| ch |                                              |                 |
| pr |                                              |                 |
| og |                                              |                 |
| ra |                                              |                 |
| m. |                                              |                 |
| T  |                                              |                 |
| he |                                              |                 |
| f  |                                              |                 |
| or |                                              |                 |
| mu |                                              |                 |
| la |                                              |                 |
| m  |                                              |                 |
| ay |                                              |                 |
| be |                                              |                 |
| b  |                                              |                 |
| as |                                              |                 |
| ed |                                              |                 |
| on |                                              |                 |
| p  |                                              |                 |
| op |                                              |                 |
| ul |                                              |                 |
| at |                                              |                 |
| io |                                              |                 |
| n, |                                              |                 |
| et |                                              |                 |
| hn |                                              |                 |
| ic |                                              |                 |
| d  |                                              |                 |
| is |                                              |                 |
| tr |                                              |                 |
| ib |                                              |                 |
| ut |                                              |                 |
| io |                                              |                 |
| n, |                                              |                 |
| pr |                                              |                 |
| es |                                              |                 |
| en |                                              |                 |
| ce |                                              |                 |
| of |                                              |                 |
| F  |                                              |                 |
| ed |                                              |                 |
| er |                                              |                 |
| al |                                              |                 |
| a  |                                              |                 |
| ct |                                              |                 |
| iv |                                              |                 |
| it |                                              |                 |
| ie |                                              |                 |
| s, |                                              |                 |
| di |                                              |                 |
| sa |                                              |                 |
| st |                                              |                 |
| er |                                              |                 |
| s, |                                              |                 |
| et |                                              |                 |
| c. |                                              |                 |
| C  |                                              |                 |
| er |                                              |                 |
| ta |                                              |                 |
| in |                                              |                 |
| r  |                                              |                 |
| ec |                                              |                 |
| or |                                              |                 |
| ds |                                              |                 |
| pe |                                              |                 |
| rt |                                              |                 |
| ai |                                              |                 |
| ni |                                              |                 |
| ng |                                              |                 |
| to |                                              |                 |
| co |                                              |                 |
| ns |                                              |                 |
| tr |                                              |                 |
| uc |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| gr |                                              |                 |
| an |                                              |                 |
| ts |                                              |                 |
| pr |                                              |                 |
| og |                                              |                 |
| ra |                                              |                 |
| ms |                                              |                 |
| a  |                                              |                 |
| re |                                              |                 |
| ac |                                              |                 |
| co |                                              |                 |
| rd |                                              |                 |
| ed |                                              |                 |
| lo |                                              |                 |
| ng |                                              |                 |
| er |                                              |                 |
| r  |                                              |                 |
| et |                                              |                 |
| en |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| p  |                                              |                 |
| er |                                              |                 |
| io |                                              |                 |
| ds |                                              |                 |
| d  |                                              |                 |
| ue |                                              |                 |
| to |                                              |                 |
| sp |                                              |                 |
| ec |                                              |                 |
| if |                                              |                 |
| ic |                                              |                 |
| l  |                                              |                 |
| eg |                                              |                 |
| al |                                              |                 |
| re |                                              |                 |
| qu |                                              |                 |
| ir |                                              |                 |
| em |                                              |                 |
| en |                                              |                 |
| ts |                                              |                 |
| to |                                              |                 |
| re |                                              |                 |
| ta |                                              |                 |
| in |                                              |                 |
| w  |                                              |                 |
| ri |                                              |                 |
| tt |                                              |                 |
| en |                                              |                 |
| gu |                                              |                 |
| ar |                                              |                 |
| an |                                              |                 |
| te |                                              |                 |
| es |                                              |                 |
| ma |                                              |                 |
| de |                                              |                 |
| by |                                              |                 |
| St |                                              |                 |
| at |                                              |                 |
| es |                                              |                 |
| or |                                              |                 |
| i  |                                              |                 |
| ns |                                              |                 |
| ti |                                              |                 |
| tu |                                              |                 |
| ti |                                              |                 |
| on |                                              |                 |
| s. |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 1. | **Certification of Accreditation, and        |                 |
|    | Related Correspondence.** These              |                 |
|    | certifications establish or verify           |                 |
|    | eligibility of institutions for Federal      |                 |
|    | grant or loan programs.                      |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Official File of Certifications of      |                 |
|    |     Accreditation]{.underline}.              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when obsolete or superseded.       | 10, Item 1a     |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 18a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Related Correspondence]{.underline}.    |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 2 years old.                  | 10, Item 1b     |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 18b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 2. | **Certification of Federal Property          |                 |
|    | Ownership and Related Correspondence.**      |                 |
|    | These certifications establish or verify     |                 |
|    | eligibility of an institution or local       |                 |
|    | educational agency for Federal grant or loan |                 |
|    | programs.                                    |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Property Folder]{.underline} (including |                 |
|    |     correspondence).                         |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 3 years after completion of last   | 10, Item 2a     |
|    | > project relating to property.              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 19a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Real Estate Inventories]{.underline}.   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when obsolete or superseded.       | 10, Item 2b     |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 19b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  Correspondence Not Affecting Federal     |                 |
|    |     Status.                                  |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Purge from property folders annually and   | 10, Item 2c     |
|    | > destroy.                                   |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 19c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 3. | **Grant Administration Records for Formula   |                 |
|    | and Discretionary Grant Programs.** Included |                 |
|    | are progress reports and other               |                 |
|    | correspondence related to grants. This item  |                 |
|    | does not include fiscal records.             |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}**:               |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  TEMPORARY. Destroy 5 years after final   | ED/RDS, Part    |
|    |     payment to grantee, or after audit,      | 10, Item 3a     |
|    |     whichever is sooner, except as noted     |                 |
|    |     below.                                   | (NC-12-75-1,    |
|    |                                              | Item 20a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  Retain (as PERMANENT) a sample of        | ED/RDS, Part    |
|    |     significant grants (for example, grants  | 10, Item 3b     |
|    |     mentioned in ED annual report, or of     |                 |
|    |     public note) to be selected by ED and    | (NC-12-75-1,    |
|    |     not to exceed 1% of all grants in a      | Item 20b)       |
|    |     given year. Offer to the National        |                 |
|    |     Archives and Records Administration      |                 |
|    |     (NARA) 5 years after payment or after    |                 |
|    |     audit, whichever is sooner.              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 4. | **Duplicate (Non-Record/Working Copies) of   |                 |
|    | Grant or Loan Administration Records.**      |                 |
|    | These are reference copies maintained in     |                 |
|    | offices other than the office with the       |                 |
|    | primary responsibility for signing/awarding  |                 |
|    | and closing-out the grant or loan            |                 |
|    | transaction.                                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Destroy when convenient, but no later than   | 10, Item 4      |
|    | one year after final grant payment.          |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 22)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 5. | **Record Set of Final Products of Grants.**  |                 |
|    | This includes, but is not limited to, final  |                 |
|    | published technical reports, textbooks,      |                 |
|    | audiovisual items such as films, slides or   |                 |
|    | tapes.                                       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** PERMANENT.    | ED/RDS, Part    |
|    | Transfer to the Archives when 10 years old.  | 10, Item 5      |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 23)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 6. | **State Plans.** These are plans submitted   |                 |
|    | annually by the various states which         |                 |
|    | describe what the state proposes to do with  |                 |
|    | potential Federal monies. They often         |                 |
|    | recapitulate previous year reports.          |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Original ED Copy]{.underline}.          |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Dispose after 5 years, or after Program    | 10, Item 6a     |
|    | > Audit, whichever is sooner.                |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 24a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [State Plans of: Alabama, California,    |                 |
|    |     Illinois, Massachusetts, New York, New   |                 |
|    |     Mexico, Kansas, and Texas for every      |                 |
|    |     fifth fiscal year beginning FY           |                 |
|    |     75.]{.underline}                         |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** PERMANENT.  | ED/RDS, Part    |
|    | > Transfer to the Archives when 10 years     | 10, Item 6b     |
|    | > old.                                       |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 24b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [Duplicate Copies]{.underline}.          |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 2 years old or no longer      | 10, Item 6c     |
|    | > needed, whichever is sooner.               |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 24c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 7. | **Correspondence Relating to the Selection   |                 |
|    | of Panelists (Field Readers for              |                 |
|    | Discretionary Grants).**                     |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Destroy when 5 years old.                    | 10, Item 7      |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 25)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 8. | **Proposals or Plans Not Resulting in Grant  |                 |
|    | Awards (Discretionary Grants).**             |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Destroy 3 years after rejection or           | 10, Item 8      |
|    | withdrawal.                                  |                 |
|    |                                              | (GRS 3, Item    |
|    |                                              | 13)             |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 9. | **Approved Fellowship Administration Records |                 |
|    | and Payment Records.** Most fellowships are  |                 |
|    | administered through institutions of higher  |                 |
|    | education and are similar in many respects   |                 |
|    | to grants.                                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Disposition is the same as Items 3 and 4     | 10, Item 9      |
|    | above.                                       |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 27)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 10 | **Unsuccessful, Withdrawn, and Declined      |                 |
| .  | Fellowship Program Applications.** Including |                 |
|    | correspondence with institutions, cost       |                 |
|    | estimates, and working files.                |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Destroy 3 years after rejection or           | 10, Item 10     |
|    | withdrawal.                                  |                 |
|    |                                              | (GRS 3, Item    |
|    |                                              | 13)             |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 11 | **Lists or Indices of Individuals            |                 |
| .  | Participating in Fellowship Programs.**      |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Dispose of after administrative values have  | 10, Item 11     |
|    | ceased or after 10 years, whichever is       |                 |
|    | sooner. **Do not store in Federal Centers.** | (NC-12-75-1,    |
|    |                                              | Item 29)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 12 | **Certification of Right to Construct,       |                 |
| .  | Maintain, and Operate Facilities.**          |                 |
|    | Assurances or certification that local       |                 |
|    | educational agency or institution of higher  |                 |
|    | learning has right to construct and          |                 |
|    | maintain, and will continue to operate,      |                 |
|    | facilities to be constructed with Federal    |                 |
|    | money for the period provided by law.        |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [For construction grants related to      |                 |
|    |     higher education                         |                 |
|    |     facilities]{.underline}.                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 50 years old.                 | 10, Item 12a    |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 30a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [For construction grants related to      |                 |
|    |     areas affected by Federal activities     |                 |
|    |     (P.L. 81-815)]{.underline}.              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 20 years old.                 | 10, Item 12b    |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 30b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [For all other construction              |                 |
|    |     grants]{.underline}.                     |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 5 years after final payment or     | 10, Item 12c    |
|    | > after audit, whichever is sooner.          |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 30c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 13 | **Application and Grant Administration       |                 |
| .  | Correspondence other than when Described in  |                 |
|    | Item 12, including Construction Project      |                 |
|    | Information and Payment Records.**           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Applications Determined to be           |                 |
|    |     Ineligible]{.underline}.                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy at the end of the fiscal year for  | 10, Item 13a    |
|    | > which application was made.                |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 31a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Applications and Correspondence for     |                 |
|    |     Projects which are                       |                 |
|    |     Eligible]{.underline}.                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Same as Items 3 and 4 above.               | 10, Item 13b    |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 31b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | ***NOTE: Student Assistance Program          |                 |
|    | Records**. The distribution of Federal       |                 |
|    | monies or interest payments in support of    |                 |
|    | student loan programs is a major function of |                 |
|    | ED. There are two categories of loans. First |                 |
|    | are the basic grant programs in which the    |                 |
|    | Government allocates money directly to       |                 |
|    | institutions of higher learning on the basis |                 |
|    | of a pre-established formula. The second     |                 |
|    | group is insured loans. The Government is a  |                 |
|    | guarantor of loans from various institutions |                 |
|    | (banks, universities, state agencies) to     |                 |
|    | students, and underwrites a certain amount   |                 |
|    | of the interest payment on the loans.*       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 14 | **Institution Files for Insured Loan         |                 |
| .  | Programs.** This group of records documents  |                 |
|    | the participation of institutions (usually   |                 |
|    | banks) in insured loan programs. Included    |                 |
|    | are applications and audits, various         |                 |
|    | administrative reports, and requests for     |                 |
|    | interest payments.                           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Applications and Audits]{.underline}.   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 5 years after end of an            | 10, Item 14a    |
|    | > institution's participation in a program,  |                 |
|    | > or after final audit of institution,       | (NC1-12-82-1,   |
|    | > whichever is sooner.                       | Item 2a)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Request for Federal Interest            |                 |
|    |     Payments]{.underline}.                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 5 years old or after audit,   | 10, Item 14b    |
|    | > whichever is sooner.                       |                 |
|    |                                              | (NC1-12-82-1,   |
|    |                                              | Item 2b)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [All other records or correspondence     |                 |
|    |     with the institutions for administration |                 |
|    |     of the program]{.underline}.             |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy after 2 years.                     | 10, Item 14b    |
|    |                                              |                 |
|    |                                              | (NC1-12-82-1,   |
|    |                                              | Item 2c)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 15 | **Institution Fields for Basic Grants.**     |                 |
| .  | This group of records documents the          |                 |
|    | participation of an institution in the basic |                 |
|    | grant programs. Included are applications,   |                 |
|    | audits, and annual requests for funds.       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Basic Applications and                  |                 |
|    |     Audits]{.underline}.                     |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 5 years after the end of           | 10, Item 15a    |
|    | > institutional participation in program, or |                 |
|    | > after final audit of institutional         | (NC-12-75-1,    |
|    | > program, whichever is sooner.              | Item 13a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Annual Request for Funds and Payment    |                 |
|    |     Records]{.underline}.                    |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Dispose of 5 years after final payment or  | 10, Item 15b    |
|    | > after audit, whichever is sooner.          |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 13b)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [All Other Records or Correspondence     |                 |
|    |     with an Institution for the              |                 |
|    |     Administration of the                    |                 |
|    |     Program]{.underline}.                    |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy after 2 years.                     | 10, Item 15c    |
|    |                                              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 13c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 16 | **Individual Files for Insured Loan          |                 |
| .  | Programs.** Document participation of        |                 |
|    | individual students in loan program.         |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Approved Applications and               |                 |
|    |     Certifications]{.underline}.             |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy after microfilming in accordance   | 10, Item 16a    |
|    | > with 36 CFR 1230 parts 10-16.              |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 15a)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Microfilm of Application]{.underline}.  |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 3 years after repayment or         | 10, Item 16b    |
|    | > cancellation of loan.                      |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 15c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [Unapproved Applications]{.underline}.   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy at the close of fiscal year in     | 10, Item 16c    |
|    | > which application was made.                |                 |
|    |                                              | (NC-12-75-1,    |
|    |                                              | Item 15c)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | d.  [Machine Readable Records]{.underline}.  |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 3 years afer repayment or          | 10, Item 16d    |
|    | > cancellation of loan.                      |                 |
|    |                                              | (GRS 20, Item   |
|    |                                              | 3b(2))          |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | e.  [Approved Application Certifications and |                 |
|    |     Related Papers, ED Hard (Paper)          |                 |
|    |     Copy]{.underline}.                       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy 3 years afer repayment or          | 10, Item 16e    |
|    | > cancellation of loan.                      |                 |
|    |                                              | (NC1-12-80-2,   |
|    |                                              | Item 15e)       |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 17 | **Pell Grant Program Records.** The Pell     |                 |
| .  | Grant Program awards grants to help          |                 |
|    | financially needy students meet the cost of  |                 |
|    | their postsecondary education.               |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Student Records]{.underline}. The       |                 |
|    |     student record series includes:          |                 |
|    |     application, payment voucher (report     |                 |
|    |     portion of student aid report (SAR),     |                 |
|    |     multiple data entry (CSX, USAF and CSS   |                 |
|    |     ACT)), correspondence and related        |                 |
|    |     documents.                               |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Transfer to a Federal Records Center after | 10, Item 17a    |
|    | > final payment to grantee. Destroy 15 years |                 |
|    | > after final payment or audit, whichever is | (N1-441-92-1,   |
|    | > sooner.                                    | Item 1a)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Institution Records]{.underline}. This  |                 |
|    |     file series documents the participation  |                 |
|    |     of an institution in the Pell Grant      |                 |
|    |     Program. Records include: statement of   |                 |
|    |     account (SOA), institutional payment     |                 |
|    |     summary, original payment voucher,       |                 |
|    |     processed payment document, recipient    |                 |
|    |     data exchange record, electronic payment |                 |
|    |     voucher, electronic transmittals,        |                 |
|    |     student eligibility and validation       |                 |
|    |     rosters and progress reports.            |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Transfer to a Federal Records Center after | 10, Item 17b    |
|    | > final payment to grantee. Destroy 15 years |                 |
|    | > after final payment or audit, whichever is | (N1-441-92-1,   |
|    | > sooner.                                    | Item 1b)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [Pell Grant Program                      |                 |
|    |     History]{.underline}. Documentation of   |                 |
|    |     program legislation, budget histories,   |                 |
|    |     policy papers, congressional             |                 |
|    |     correspondence impacting on program      |                 |
|    |     activities, organization charts, and     |                 |
|    |     program management studies.              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** PERMANENT.  | ED/RDS, Part    |
|    | > Transfer to a Federal Records Center when  | 10, Item 17c    |
|    | > 3 years old. Transfer to the National      |                 |
|    | > Archives and Records Administration when   | (N1-441-92-1,   |
|    | > 10 years old.                              | Item 1d)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | d.  [Unsuccessful Pell Grant                 |                 |
|    |     Applications]{.underline}. Applications, |                 |
|    |     correspondence, and other records        |                 |
|    |     relating to unsuccessful (rejected or    |                 |
|    |     withdrawn) applications.                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Transfer to a Federal Records Center 120   | 10, Item 17d    |
|    | > days after rejection or withdrawal.        |                 |
|    | > Destroy 3 years after date of rejection.   | (N1-441-92-1,   |
|    |                                              | Item 1f)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | e.  [Pell Grant Administration               |                 |
|    |     Records]{.underline}. Correspondence     |                 |
|    |     and/or subject files relating to routine |                 |
|    |     operations and daily activities in       |                 |
|    |     administration of the Pell Grant Program |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when 2 years old.                  | 10, Item 17e    |
|    |                                              |                 |
|    |                                              | (N1-441-92-1,   |
|    |                                              | Item 1g)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | ####### OFFICE OF POSTSECONDARY EDUCATION    |                 |
+----+----------------------------------------------+-----------------+
|    | ########                                     |                 |
+----+----------------------------------------------+-----------------+
|    | ######## Accrediting Agency Files.           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | This schedule relates to records submitted   |                 |
|    | to the Department of Education from          |                 |
|    | accrediting agencies seeking initial or      |                 |
|    | renewed recognition from the Secretary of    |                 |
|    | Education. For the recognition process, the  |                 |
|    | Accrediting Agency Evaluation Branch reviews |                 |
|    | the accrediting agency's application and     |                 |
|    | supporting documentation to determine if     |                 |
|    | they are a reliable authority concerning the |                 |
|    | quality of education or training provided by |                 |
|    | the institutions they accredit.              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 18 | **Accreditation Case Files.**                |                 |
| .  |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | These records consist of materials submitted |                 |
|    | from state approval agencies and             |                 |
|    | non-governmental accrediting agencies.       |                 |
|    | Includes petitions, interim reports,         |                 |
|    | accrediting decisions, and annual reports    |                 |
|    | submitted to the Secretary, which are        |                 |
|    | included in the files. Also included in the  |                 |
|    | files is correspondence to and from the      |                 |
|    | accrediting agency that contains complaints  |                 |
|    | received from concerned individuals          |                 |
|    | regarding the agency's recognition status.   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Case files for Agencies Recommended for |                 |
|    |     Approval]{.underline}.                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off at end of calendar year in which   | 10, Item 18a    |
|    | > the accreditation process terminates.      | (N1-441-98-1)   |
|    | > Retire to the Federal Records Center 1     |                 |
|    | > year after cut off. Destroy 11 years after |                 |
|    | > cut off.                                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Application Case files for Agencies     | ED/RDS, Part    |
|    |     Denied Approval or                       | 10, Item 18b    |
|    |     Recognition]{.underline}.                | (N1-441-98-1)   |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  |                 |
|    | > Cut off at end of calendar year. Retire to |                 |
|    | > the Federal Records Center 1 year after    |                 |
|    | > cut off. Destroy 3 years after cut off.    |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [Working Papers. Consists of drafts,     | ED/RDS, Part    |
|    |     notes, background material and reference | 10, Item 18c    |
|    |     copies of documents]{.underline}.        | (N1-441-98-1)   |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  |                 |
|    | > Destroy when no longer needed.             |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | d.  [Electronic Records. Consists of         |                 |
|    |     electronic mail, word processing         |                 |
|    |     documents, and other items created       |                 |
|    |     electronically that are used solely to   |                 |
|    |     generate a recordkeeping                 |                 |
|    |     copy]{.underline}.                       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}:** TEMPORARY.  | ED/RDS, Part    |
|    | > Destroy when business need is complete, or | 10, Item 18d    |
|    | > recordkeeping copy has been created and    | (N1-441-98-1)   |
|    | > filed, whichever is later.                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | ***NOTE:** Some Accreditation Case Files may |                 |
|    | be worthy of permanent retention if they     |                 |
|    | significantly interpret Department of        |                 |
|    | Education agency accreditation regulations,  |                 |
|    | reflect significant developments, or attract |                 |
|    | extensive public attention. These should be  |                 |
|    | brought to the attention of NARA via an SF   |                 |
|    | 115, [Request for Disposition                |                 |
|    | Authority]{.underline}, so that they can be  |                 |
|    | appraised and appropriate disposition        |                 |
|    | authorized.*                                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 19 | **CD-ROM Copy of Accreditation Case files    |                 |
| .  | for Agencies Recommended for Approval.**     |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | CD-ROM copy of Agency petitions, interim     |                 |
|    | reports, accrediting decisions, annual       |                 |
|    | reports and related correspondence with      |                 |
|    | agencies recommended for approval or         |                 |
|    | recognition.                                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **[Disposition]{.underline}:** TEMPORARY.    | ED/RDS, Part    |
|    | Destroy 11 years after creation of CD-ROM    | 10, Item 19     |
|    | images.                                      | (N1-441-98-1)   |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | #                                            |                 |
|    | ##### OFFICE OF STUDENT FINANCIAL ASSISTANCE |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | **Case Management Files.**                   |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | The following schedule is for records        |                 |
|    | created by ED documenting the process by     |                 |
|    | which an institution is approved to          |                 |
|    | participate in Student Financial Assistance  |                 |
|    | (SFA) programs authorized by Title IV of the |                 |
|    | Higher Education Act (HEA) of 1965, as       |                 |
|    | amended. The records also document oversight |                 |
|    | of an institution's compliance with the      |                 |
|    | regulations governing Title IV Programs. The |                 |
|    | records include documentation provided by    |                 |
|    | the financial aid community (institutions,   |                 |
|    | accreditation and state licensing agencies,  |                 |
|    | guaranty agencies and lenders, and auditors) |                 |
|    | pertaining to an institution's participation |                 |
|    | in the Title IV Programs. This schedule      |                 |
|    | applies to records maintained by the         |                 |
|    | Department (Case Management and Oversight,   |                 |
|    | formerly known as the Institutional          |                 |
|    | Participation and Oversight Service) in      |                 |
|    | headquarters and at the Washington National  |                 |
|    | Records Center.                              |                 |
|    |                                              |                 |
|    | Included are the following: 1) *[Application |                 |
|    | for Approval to Participate in Federal       |                 |
|    | Student Financial Aid Programs]{.underline}* |                 |
|    | required from institutions submitting        |                 |
|    | applications for initial participation,      |                 |
|    | recertification, changes in ownership or     |                 |
|    | restructure, reinstatement, and other        |                 |
|    | changes in their relation to ED student      |                 |
|    | financial aid programs. Beginning July 1,    |                 |
|    | 1998, institutions are encouraged to submit  |                 |
|    | their applications electronically. The       |                 |
|    | Department, however, will continue to accept |                 |
|    | paper applications. 2) [Financial            |                 |
|    | statements]{.underline} that report the      |                 |
|    | financial condition of institutions          |                 |
|    | participating in Title IV programs. The      |                 |
|    | reports include audit opinions, balance      |                 |
|    | sheets, income statements, statements of     |                 |
|    | cash flow, and correspondence with financial |                 |
|    | institutions. 3) [Audit                      |                 |
|    | reports]{.underline}, which detail Title IV  |                 |
|    | program audits of participating              |                 |
|    | postsecondary institutions. The reports      |                 |
|    | provide the audited period, management       |                 |
|    | assertions, the auditor information sheet,   |                 |
|    | schedule of findings, questioned costs,      |                 |
|    | summary schedules A, B and C, and a          |                 |
|    | corrective action plan. 4) [Program review   |                 |
|    | reports]{.underline} that monitor, document, |                 |
|    | and determine a participating postsecondary  |                 |
|    | institution's compliance with the Title IV   |                 |
|    | SFA programs. The program review reports     |                 |
|    | drafted by the Department emphasize the      |                 |
|    | scope of the review, findings of             |                 |
|    | non-compliance, regulatory authority, and    |                 |
|    | corrective action.                           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 20 | **Eligibility Files.**                       |                 |
| .  |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Applications completed by educational   |                 |
|    |     institutions and submitted to the        |                 |
|    |     Department of Education in order to      |                 |
|    |     certify for participation in Title IV    |                 |
|    |     SFA Programs, and Program Participation  |                 |
|    |     Agreements made between the Department   |                 |
|    |     and certified educational                |                 |
|    |     institutions]{.underline}.               |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off files 1 year after the             | 10, Item 20a    |
|    | > institution's next re-certification into   |                 |
|    | > the program. Retire to a certified records | (N1-441-00-1,   |
|    | > center 1 year after cut off. Destroy 8     | Item 1a)        |
|    | > years after cut off.                       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Correspondence, memoranda, and other    |                 |
|    |     documents relevant to applications and   |                 |
|    |     Program Participation                    |                 |
|    |     Agreements]{.underline}.                 |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off files 1 year after the             | 10, Item 20b    |
|    | > institutions re-certification into         |                 |
|    | > program. Destroy 8 years after cutoff, or  | (N1-441-00-1,   |
|    | > when no longer needed by the Department of | Item 1b)        |
|    | > Education for reference purposes.          |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | c.  [Electronic copies of applications       |                 |
|    |     received through the Postsecondary       |                 |
|    |     Education Participants System (PEPS) via |                 |
|    |     the Internet]{.underline}.               |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > A hard copy of the application is printed  | 10, Item 20c    |
|    | > out and placed in the appropriate file     |                 |
|    | > (see item 1A). PEPS will be scheduled at a | (N1-441-00-1,   |
|    | > later date.                                | Item 1c)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | d.  [Word processing and electronic          |                 |
|    |     records]{.underline} (electronic version |                 |
|    |     of records created by electronic mail or |                 |
|    |     word processing applications).           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Delete when file copy is generated or when | 10, Item 20d    |
|    | > no longer needed for reference or          |                 |
|    | > updating, whichever is sooner.             | (N1-441-00-1,   |
|    |                                              | Item 1d)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 21 | **Financial Statement Files.**               |                 |
| .  |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Includes financial statements submitted |                 |
|    |     annually by participating Title IV       |                 |
|    |     institutions, balance sheets, cash flow  |                 |
|    |     information, information concerning      |                 |
|    |     income/retained earnings, and other      |                 |
|    |     related correspondence]{.underline}.     |                 |
|    |     These records are compiled in support of |                 |
|    |     applications completed to certify or     |                 |
|    |     re-certify an organization as eligible   |                 |
|    |     to participate in Title IV SFA Programs. |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off files 2 years after the end of the | 10, Item 21a    |
|    | > fiscal year in which the review is         |                 |
|    | > completed. Retire files to the Washington  | (N1-441-00-1,   |
|    | > National Records Center 2 years after cut  | Item 2a)        |
|    | > off. Destroy 8 years after cut off.        |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Word processing and electronic          |                 |
|    |     records]{.underline} (electronic version |                 |
|    |     of records created by electronic mail or |                 |
|    |     word processing applications).           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Delete when file copy is generated or when | 10, Item 21b    |
|    | > no longer needed for reference or          |                 |
|    | > updating, whichever is sooner.             | (N1-441-00-1,   |
|    |                                              | Item 2b)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 22 | **Audit Reports.**                           |                 |
| .  |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Includes compliance audit reports,      |                 |
|    |     audit clearance documents, schedules of  |                 |
|    |     findings, summary schedules, and other   |                 |
|    |     correspondence]{.underline} submitted by |                 |
|    |     participating Title IV institutions in   |                 |
|    |     support of applications completed to     |                 |
|    |     certify or re-certify an organization as |                 |
|    |     eligible to participate in Title IV SFA  |                 |
|    |     Programs.                                |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off files 2 years after the end of the | 10, Item 22a    |
|    | > fiscal year in which the review is         |                 |
|    | > completed. Retire to the Washington        | (N1-441-00-1,   |
|    | > National Records Center 2 years after cut  | Item 3a)        |
|    | > off. Destroy 8 years after cut off.        |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | b.  [Word processing and electronic          |                 |
|    |     records]{.underline} (electronic version |                 |
|    |     of records created by electronic mail or |                 |
|    |     word processing applications).           |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Delete when file copy is generated or when | 10, Item 22b    |
|    | > no longer needed for reference or          |                 |
|    | > updating, whichever is sooner.             | (N1-441-00-1,   |
|    |                                              | Item 3b)        |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
| 23 | **Program Review Files.**                    |                 |
| .  |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | a.  [Includes program review                 |                 |
|    |     reports]{.underline}, which monitor,     |                 |
|    |     document, and determine whether          |                 |
|    |     participating post-secondary             |                 |
|    |     institutions comply with Title IV SFA    |                 |
|    |     financial and other program              |                 |
|    |     requirements, with other correspondence. |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    | > **[Disposition]{.underline}**: TEMPORARY.  | ED/RDS, Part    |
|    | > Cut off files 1 year after the institution | 10, Item 23a    |
|    | > terminates from the Title IV SFA programs. |                 |
|    | > Retire to the Washington National Records  | (N1-441-00-1,   |
|    | > Center 1 year after cut off. Destroy 8     | Item 4a)        |
|    | > years after cut off.                       |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+
|    |                                              |                 |
+----+----------------------------------------------+-----------------+