TRANSMITTAL NO. 12 (GRS 1)

To: Heads of Federal agencies

1\. What does this document do?

GRS Transmittal 12 provides a change to General Records Schedule

(GRS) 1, Civilian Personnel Records. GRS 1 was last modified on date

December 31, 2003. The GRS provide mandatory disposition

instructions for temporary administrative records common to several

Federal agencies.

2\. What changes have been made to GRS 1?

GRS 1, item 24, previously reserved, has been revised to cover

Reasonable Accommodation Request records.

3\. Do I have to take any action to implement this GRS change?

Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS

changes within 6 months of receipt. If your agency already has a

NARA-approved agency records disposition schedule for the same series

or system of records, you may apply either the disposition

instructions in these GRS or the disposition instructions previously

approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must

be applied on an agency-wide basis. You must notify NARA within 90

days of this GRS Transmittal No. 12 if you intend to continue using

the agency schedule. If you wish to apply a retention period that

differs from that specified in the GRS, you must submit a Standard

Form (SF) 115, Request for Records Disposition Authority, to us for

approval.

4\. What do I do with Reasonal Accommodation Request records in my

agency that are not covered by GRS 1, Item 24?

If the Reasonable Accommodation Request records in your agency are

not covered by GRS 1, Item 24, but are included in other approved

disposition authorities, those authorities still apply. If

Reasonable Accommodation Request records in your agency are not

covered by GRS 1, Item 24, or an approved disposition authority, you

must submit to NARA a SF 115 to request disposition authority for

those records.

5\. How do I get copies of the new GRS 1?

We are posting a set of the GRS on our web site

(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).

GRS 1 is available for

downloading in HTML, MS Word, and PDF formats.

6\. Whom do I contact for further information?

Address questions to the appraiser in our Life Cycle Management

Division with whom your agency normally works.

JOHN W. CARLIN

Archivist of the United States

TRANSMITTAL NO. 13 (GRS Introduction, 16, 26)

TO: Heads of Federal Agencies

1\. What does this document do? GRS Transmittal 13 issues a new

schedule for Temporary Commissions, Boards, Councils and Committees

(GRS 26) and deletes item 8 in GRS 16 (Administrative Management

Records). It also transmits a new introduction to the GRS. These are

the changes that have been made to the General Records Schedules

(GRS) since July 2004 when we last issued the GRS. The GRS provide

mandatory disposition instructions for records common to several

Federal agencies.

2\. What changes have been made to the GRS? A new chapter, GRS 26,

Temporary Commissions, Boards, Councils and Committees, has been

added. GRS 16, item 8, covering Committee and Conference Files, has

been deleted. Instead, agencies may use GRS 26 as appropriate.

3\. Do I have to take any action to implement this GRS change? Our

regulations (36 CFR 1228.50(d)) require you to disseminate GRS

changes within 6 months of receipt. If your agency already has a

NARA-approved agency records disposition schedule for the same series

or system of records, you may apply either the disposition

instructions in these GRS or the disposition instructions previously

approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must

be applied on an agency-wide basis. You must notify NARA within 90

days of this GRS Transmittal No. 13 if you intend to continue using

the agency schedule. If you wish to apply a retention period that

differs from that specified in the GRS, you must submit a Standard

Form (SF) 115, Request for Records Disposition Authority, to us for

approval.

4\. What do I do with Temporary Commissions, Boards, Councils and

Committee records in my agency that are not covered by GRS 26? If

the Temporary Commissions, Boards, Councils and Committee records in

your agency are not covered by GRS 26 but are included in other

approved disposition authorities, those authorities still apply. If

Temporary Commissions, Boards, Councils and Committee records in your

agency are not covered by GRS 26 or an approved disposition

authority, you must submit to NARA a SF 115 to request disposition

authority for those records.

5\. How do I get copies of the new GRS? We are posting a set of the

GRS on our web site

<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>.

GRS 16 and GRS 26 are available for downloading in HTML, MS Word, and

PDF formats.

6\. Whom do I contact for further information? Address questions to

the appraiser in our Life Cycle Management Division with whom your

agency normally works.

JOHN W. CARLIN

Archivist of the United States

TRANSMITTAL NO. 11 (GRS 1)

To: Heads of Federal agencies

1\. What does this document do?

GRS Transmittal 11 provides a change to General Records Schedule

(GRS) 1, Civilian Personnel Records. GRS 1 was last modified in

April 2003. The GRS provide mandatory disposition instructions for

temporary administrative records common to several Federal agencies.

2\. What changes have been made to GRS 1?

GRS 1, item 27, previously reserved, has been revised to cover

Alternative Dispute Resolution records.

3\. Do I have to take any action to implement this GRS change?

Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS

changes within 6 months of receipt. If your agency already has a

NARA-approved agency records disposition schedule for the same series

or system of records, you may apply either the disposition

instructions in these GRS or the disposition instructions previously

approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must

be applied on an agency-wide basis. You must notify NARA within 90

days of this GRS Transmittal No. 11 if you intend to continue using

the agency schedule. If you wish to apply a retention period that

differs from that specified in the GRS, you must submit a Standard

Form (SF) 115, Request for Records Disposition Authority, to us for

approval.

4\. What do I do with Alternative Dispute Resolution records in my

agency that are not covered by GRS 1, Item 27?

If the Alternative Dispute Resolution records in your agency are not

covered by GRS 1, Item 27 but are included in other approved

disposition authorities, those authorities still apply. If

Alternative Dispute Resolution records in your agency are not covered

by GRS 1, Item 27 or an approved disposition authority, you must

submit to NARA a SF 115 to request disposition authority for those

records.

5\. How do I get copies of the new GRS 1?

We are posting a set of the GRS on our web site

(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).

GRS 1 is available for downloading in HTML, MS Word, and PDF formats.

6\. Whom do I contact for further information?

Address questions to the appraiser in our Life Cycle Management

Division with whom your agency normally works.

JOHN W. CARLIN

Archivist of the United States

TRANSMITTAL NO. 10 (GRS 24)

To: Heads of Federal agencies

1\. What does this document do?

GRS Transmittal 10 transmits General Records Schedule (GRS) 24, which

provides disposition authorities for Information Technology (IT)

Operations and Management Records common to most or all Federal

agencies.

2\. What are agency GRS 24 responsibilities?

Agencies are to apply the dispositions contained in GRS 24 to their

IT Operations and Management records, unless your agency already has

a NARA-approved agency records disposition schedule for the same

series or system of records. In that case, 36 FR 1228.42(b) allows

you to apply either the disposition instructions in GRS 24 or the

disposition instructions previously approved by NARA. The chosen

authority must be applied on an agency-wide basis. You must notify

NARA within 90 days of this GRS Transmittal No. 10 if you intend to

continue using the agency schedule.

3\. How do I apply GRS 24 to IT Operations and Management records in

my agency?

Identify the IT Operations and Management records in your agency,

compare those records with the records listed in GRS 24, and for

those records included in GRS 24, apply the dispositions. A finding

aid to the records covered by GRS 24 is included with this

transmittal and it will help you identify your agency records

included in the GRS.

4\. What do I do if my agency needs to deviate from the disposition

provisions in GRS 24?

As required by NARA regulation 36 FR 1228.42(c), if an agency needs

to deviate from the mandatory disposition provisions an SF 115,

Request for Records Disposition Authority, must be submitted to NARA.

A written justification explaining why the agency needs the records

for a different period of time must accompany the SF 115.

5\. What do I do if I already have an approved disposition authority

that covers the IT

Operations and Management records in my agency?

As prescribed by 36 FR 1228.40 and 1228.42, if your agency has an

approved disposition authority for its IT Operations and Management

records, that authority may be applied if you notify NARA in writing.

6\. What do I do with IT Operations and Management records in my

agency that are

not covered by GRS 24?

If the IT Operations and Management records in your agency are not

covered by GRS 24 but are included in other approved disposition

authorities, those authorities still apply. If IT Operations and

Management records in your agency are not covered by GRS 24 or an

approved disposition authority, you must submit to NARA an SF 115 to

request disposition authority for those records.

7\. How is GRS 24 being distributed?

GRS 24 is being distributed electronically via email to your agency

records officer.

8\. How do I get other copies of GRS 24?

GRS 24 is available for downloading from the NARA web site

(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>)

in HTML, MS Word, and PDF formats.

9\. How does GRS 24 affect the other general records schedules

covered by

GRS Transmittal 8?

GRS 24 is a new general records schedules. The general records

schedules covered by GRS Transmittal 8 are still in force.

10\. Whom do I contact for further information?

Address questions to the appraiser in our Life Cycle Management

Division with whom your agency normally works.

JOHN W. CARLIN

Archivist of the United States

TRANSMITTAL NO. 9 (GRS 1, 9, 25)

To: Heads of Federal agencies

1\. What does this document do?

GRS Transmittal 9 explains the changes to GRS 1 (Civilian Personnel

Records) and 9 (Travel and Transportation Records), and issues a new

schedule for Ethics Program Records (GRS 25). These are the changes

that have been made to the General Records Schedules (GRS) since

December 1998 when we last issued the GRS. The General Records

Schedules (GRS) provide mandatory disposition instructions for

temporary administrative records common to several Federal agencies.

2\. What changes have been made to the GRS?

The attached chart shows the major changes. GRS 1, item 15, covering

Employment Applications, has been deleted. Use GRS 1, items 33k, 33l,

33m, or 33n, as appropriate.

3\. Do I have to take any action to implement these GRS changes?

Our regulations (36 CFR 1228.50(d)) require you to disseminate GRS

changes within 6 months of receipt. If your agency already has a

NARA-approved agency records disposition schedule for the same series

or system of records, you may apply either the disposition

instructions in these GRS or the disposition instructions previously

approved by NARA (see 36 CFR 1228.42(b)). The chosen authority must

be applied on an agency-wide basis. You must notify NARA within 90

days of this GRS Transmittal No. 9 if you intend to continue using

the agency schedule. If you wish to apply a retention period that

differs from that specified in the GRS, you must submit a Standard

Form (SF) 115, Request for Records Disposition Authority, to us for

approval.

4\. What do I do with Ethics Program records in my agency that are not

covered by GRS 25?

If the Ethics Program records in your agency are not covered by GRS

25 but are included in other approved disposition authorities, those

authorities still apply. If Ethics Program records in your agency are

not covered by GRS 25 or an approved disposition authority, you must

submit to NARA a SF 115 to request disposition authority for those

records.

5\. How do I get copies of the new GRS?

We are posting a set on our web site

(<http://www.archives.gov/records-mgmt/ardor/records-schedules.html>).

GRS 25 is available for downloading in HTML, MS Word, and PDF

formats.

6\. What is the status of GRS 24?

A new GRS for information technology records will be issued shortly.

We will send it to you with another GRS transmittal.

7\. Whom do I contact for further information?

Please contact Stephen Cooper at 301-837-1615 if you have any

questions.

JOHN W. CARLIN

Archivist of the United States

Attachment

GRS Affected

Old GRS

New GRS

GRS 1, Civilian Personnel Records

Item 15

Deleted

Item 24

GRS 25, Item 2

Item 27

GRS 25, item 1

Item 33b

Item 33b - revised description

New item

Item 33c - new item

Item 33c

Item 33d

Item 33d

Item 33e

Item 33e

Item 33f - revised series description and disposition

Item 33f

Item 33g - revised disposition

Item 33g

Item 33h

Item 33h

Deleted

Item 33i

Item 33i

Item 33j

Item 33j

New item

Item 33k

Item 33k

Item 33l - revised disposition

New item

Item 33m - new item

New item

Item 33n - new item

Item 33l

Item 33o

Item 33m

Item 33p - revised series description and disposition

Item 33n

Item 33q - revised disposition

Item 33o

Item 33r

Item 33p

Item 33s

Item 33q

Item 33t

GRS 9, Travel and Transportation Records

Item 6

GRS 25, item 5

GRS 25, Ethics Program Records

New chapter covering agency

ethics records

Click Here to Download Self-Extracting file which contains the entire
Handbook

Click Here to Download MS Word version of Transmittal

U.S. Department of Housing and Urban Development

Administration

Special Attention of: Transmittal for Handbook No.: 2228.2 REV-4

Headquarters Records Management

Liaison Officers Issued: March 31, 1999

Field Office Records Management

Liaison Officers

1\. This Transmits:

Revised HUD Handbook 2228.2, REV-4, General Records

Schedules (GRS).

Summary: The General Records Schedules provide mandatory

disposition instructions for records common to several Federal

Agencies. A complete set of the schedules was last issued in

1996\. Rather than issue another change National Archives and

Records Administration (NARA) has decided to print an entire

undated set of the GRS.

2\. What is the status of GRS 20?

a\. GRS 20 is the subject of a court case, Public Citizen

v\. Carlin. On October 27, 1997, the U.S. District Court for

the District of Columbia issued an order declaring GRS 20

\"null and void.\" The Government files an appeal with the U.S.

Court of Appeals for the District of Columbia, which is

pending. See the GRS 20 web site at

\<<http://www.archives.gov/records-mgmt/ardor/grs20.html>\> for

more information on

GRS 20 and the court case.

b\. In accordance with the Memorandum Opinion and Order

of the United States District Court for the District of

Columbia, dated September 29, 1998, NARA has issued the

following statement:

The District Court\'s injunction of April 9,1998,

prohibiting the Archivist from issuing Federal

Register notices, bulletins, directives or other official

statements of any kind stating that General Records Schedule

20 currently authorizes the disposition of electronic records,

remains in effect.

The District Court has further authorized the Archivist

to state that a federal agency may continue to follow its

present disposition practices for electronic records until (1)

the agency has submitted and received approval from the

National Archives and Records Administration (NARA) on a

Request for Records Disposition Authority; (2) notification by

NARA that the appeal in this case has been resolved and NARA

has provided further guidance as a result of the appellate

court\'s decision; or (3) further Order of the District Court.

ARSDR: Distribution: W-3-1. (SPECIAL DIRECT by ARSDR)

c\. NARA is developing a new GRS for information

technology records. When that GRS is completed, NARA will

issue another GRS transmittal to send it to you.

3\. What changes have been made to the other GRS? The

following chart shows the major changes. In addition to the

changes shown in this chart, NARA has added a new final item

to GRS 1-16, 18, and 23, to provide disposal authority for

electronic mail and word processing records used solely to

produce records described in those GRS, after a recordkeeping

copy has been produced, and electronic copies used for

dissemination, revision, or updating that are maintained in

addition to the recordkeeping copy. The new item does not

authorize disposal of any records in agency files or other

recordkeeping systems. NARA made this change in response to a

recommendation from the Electronic Records Work Group

established by NARA to address electronic records disposition

issues. (The Work Group report and the report are available

on the GPS 20 web site
\<<http://www.archives.gov/records-mgmt/ardor/grs20.html>\>).

Filing Instructions:

Remove: Insert:

Handbook 2228.2 REV-3 Handbook 2228.2 REV-4

dated 2/96. dated 3/99

-2-

GRS Affected What is new or

changed

Introduction to the GRS a. Updated with

current NARA organization titles.

b\. New paragraph explaining

authority to dispose of source records

after recordkeeping copy has been produced.

GRS 1, Civilian Items 4a, 23a(3) and (5),

23b(2) and (4) - Changes the

Personnel Records disposition from \"destroy

when no longer needed\" to

specific retention periods.

Item 10 - Provides separate

disposition for Immigration and

Naturalization Service I-9 forms from other

temporary individual employee

records.

Item 24 - Adds note to cross-

reference new GRS 9, item 6 (records

on non-Federally funded travel).

Item 36 - Changes retention period

for agency copies of drug test plans and

procedures (item 36a) and adds

retention period for positive drug test records (item 36e(l)).

Item 41 - Amends Pay Comparability

Records to add requests and approvals

for recruitment, retention and

relocation bonuses, allowances, and supervisory differentials.

New item 42 - Covers records

documenting an alternate work site

program.

GRS 3, Procurement Item 3 - Changes the

disposition to comply with the Federal

Supply and Grant Acquisition Streamlining Act of

1994 and the Federal Acquisition

Records Reform Act of 1996.

Item 16 - Changes the

disposition from \"destroy when no

longer needed\" to specific retention period.

GRS 9, Travel and Items 1e and 5c - Changes the

disposition from \"destroy when no

Transportation Records longer needed\" to

specific retention periods.

-3-

GRS Affected What is new or

changed

New item 6 - Covers records

relating to non-Federally funded

travel.

New item 7 - Covers transportation

subsidy records.

GRS 12, New item 4 - Covers telephone use

records. The approved item Communications

mandates a 3-year retention, but allows agencies to execute earlier

Records disposal if information concerning abuses

is captured in other records.

Item 7 - Corrects \"penalty mail\" to read

\"metered mail,\" as indicia (penalty) mail is no

longer permitted and most agencies are using

postage meters.

GRS 14, Information Items 1, 14, 15, 26, 34, and 35 -

Deletes the authority to destroy

Services Records sooner than the specified

retention period if no longer needed.

GRS 16, Administrative Items 2a, 2b, 7, 8, 10b and

14e - Changes the disposition from

Management Records \"destroy when no longer needed\"

to specific retention periods.

GRS 17, Cartographic, Item 2 - Reserved. Formerly

covered duplicate aerial photographs

Aerial photographic, that are nonrecord

materials.

Architectural, and

Engineering Records Items 3, 4, 5, and 6 -

Changes the disposition from \"destroy

when no longer needed\" to specific retention periods.

Item 7 - Reserved. Formerly described

architectural models that are nonrecord

materials, and do not need to be covered by the GRS.

Items 8, 9, and 10 - Changes the

disposition from \"destroy when no longer

needed\" to specific retention periods.

GRS 18, Security and Item 24b - Deletes the

authority to destroy sooner than the

Protective Service specified retention period

if no longer needed.

Records

GRS 19, Reserved GRS 19 was rescinded several

years ago and agencies had to

separately schedule their research and development records. The

former title of this GRS is no longer

needed.

-4-

GRS Affected What is new or changed

GRS 2 1, Audiovisual Items 1, 2, 5, 6, 8, 12, 18,

and 26 - Deletes the authority to

Records destroy sooner than the specified

retention period if no longer

needed.

Items 11, 18, and 20 - Changes the

disposition from \"destroy

when no longer needed\" to specific

retention periods.

Items 4, 10, 13, 15, 21, 25, and 27 -

Reserved. These items

described duplicate photographs,

films, videos, and sound

recordings; recreational films and

videos; and library sound

recordings, which are nonrecord

materials and do not need to be

covered by the GRS.

GRS 22, Inspector The entire GRS 22 and the

disposal authority formerly provided

General Records, under this GRS are

withdrawn. NARA Bulletin 99-02,

WITHDRAWN Withdrawal of General Records Schedule

(GRS) 22, Inspector

General Records, provides background

on why we took this action and explains

what you must do to obtain disposition authority for

those records if you used GRS 22 as the disposition

authority.

GRS 23, Records Item 1 - Facsimile machine

logs were added as an example of a

Common to Most short-term administrative

record relating to communications.

Offices Within Agencies

4\. Do I have to take any action to implement these GRS changes?

a\. NARA regulations (36 CFR 1228-50(d)) require you to

disseminate GRS changes within 6 months of receipt. If you wish to

apply a retention period that differs from that specified in the

GRS, you must submit an SF 115, Request for Records Disposition

Authority, to us for approval.

b\. NARA Bulletin 99-02, Withdrawal of General Records Schedule

(GRS) 22, Inspector General Records, provides guidance on steps you

must take for your Inspector General records. NARA has sent copies

of this bulletin to agency heads and records officers. The bulletin

is also posted on NARA\'s web site
\<[http://www.nara.gov/records/](http://www.archives.gov/records-mgmt/ardor/records-schedules.html)\>.

5\. How do I get copies of the new GRS? NARA is sending the

updated versions of the Introduction and GRS 1-18 and 21-23 in

electronic form (WordPerfect 6. 1, Word 6.0, and ASCII) on disk

to your agency records

-5-

officer. NARA is also posting a set on their web site

([\<http://www.nara.gov/records/](http://www.archives.gov/records-mgmt/ardor/records-schedules.html)).
NARA will also

send your records officer

a printed copy of the GRS when it is available.

6\. Who do I contact for further information? Please contact Jean

Keeting on 301-713-7110, ext. 230 if you have any questions.

-6-

2228.2 REV-4

INTRODUCTION TO THE GENERAL RECORDS SCHEDULES

General Records Schedules (GRS) are issued by the Archivist of the

United States to provide disposal authorization for temporary

administrative records common to several or all agencies of the

Federal Government. They include records relating to civilian

personnel, fiscal accounting, procurement, communications, printing,

and other common functions, and certain nontextual records. These

records comprise an estimated one-third of the total volume of

records created by Federal agencies.

In 1978, use of the GRS was made legally mandatory. The disposal

authorizations must be used by a Federal agency to the greatest

extent possible. Because these schedules are designed to cover

records common to several agencies, many of the records descriptions

are general. Agency records officers may either use the schedules

as an appendix to an agency printed schedule or tailor the general

schedules to the agency\'s own particular needs and incorporate them

into agency schedules.

The GRS covers only records that are common among several agencies.

For complete coverage of the disposition of all its records, each

agency must independently develop schedules for the remaining

records. Agencies should exercise particular care in applying items

in GRS 1-16 and 18 to subject or correspondence files that may

include a mix of administrative and program records. Usually,

administrative subject files have short retention periods, less than

3 years. Program subject files may be needed by the agency for 10

years or more, and may have archival value as well. Except when the

volume of administrative records is negligible, agencies should

maintain administrative records separately from program records in

their agency recordkeeping systems. If administrative records are

mixed with program records in the recordkeeping system and cannot be

economically segregated, the entire file must be kept for the period

of time approved for the program records. Similarly, if documents

described in tile GRS are part of a subject or case file that

documents activities different from those covered by the schedules,

they should be treated in the same manner as the files of which they

are a part.

For more information on scheduling records not covered by the GRS,

including potentially permanent records, see the Disposition of

Federal Records Handbook. Also, the National Archives and Records

Administration (NARA) has prepared a series of instructional guides

that provide information on scheduling nontextual records that are

not covered by the GRS. The handbook and separate guides on

electronic records, audiovisual records, and cartographic and

architectural records are available from the National Archives and

Records Administration (NWCP). Room G-9, Washington. DC 20408.

GRS items cover only record copies. In some instances, more

than one copy of a document or file would be considered a

record if different offices use it to perform different

functions. When it is difficult to decide whether files are

record or nonrecord materials, the records officer should

treat them as records.

3/99

2228.2 REV-4

Records officers may consult with the NARA Life Cycle

Management Division (NWML) to determine the record or

nonrecord status of particular files.

The disposition instructions in the GRS are to be implemented

without further approval from NARA, with the exception that

most records created before January 1, 1921, must first be

offered to NARA for appraisal. If NARA rejects these records

they may be destroyed immediately. GRS 3, 11, 16, and 21 have

other delimiting dates. Agencies that convert records covered

by the GRS to microform should apply the GRS disposition

standards to the microform copies and destroy the paper copies

after verification of the film unless legal considerations

require longer retention of the paper (36 CFR 1230.10 (b)).

No further authorization from NARA is required to implement

these provisions. If an agency wishes to apply a different

retention period for any series of records included in the

GRS, the records officer must submit a Standard Form (SF) 115

providing justification for the deviation.

The GRS includes two indexes, an alphabetical Subject Index

and an index of commonly used Standard and Optional Forms.

The forms index includes only the forms most frequently used

by the various Government agencies.

A new item has been added to GRS 1-16, 18, and 23 to provide

disposition instructions for electronic mail and word

processing copies, maintained apart from the recordkeeping

copy, of the records described in the other items in those

schedules. The other items authorize the disposition of the

recordkeeping copy. The electronic mail and word processing

records covered by the new item in each of those schedules are

those that remain in personal and shared directories after the

recordkeeping copy has been produced, and electronic copies

used for dissemination, revision, or updating that are

maintained in addition to the recordkeeping copy.

Questions of applicability of any GRS item to agency records

or differences of interpretation between the records officer

and other agency personnel that cannot be reconciled within

the agency may be referred to the Director, Life Cycle

Management Division (NWML), NARA, from offices in the

Washington, DC area, or the NARA regional records services

facility from offices outside the Washington, DC area.

Some records series covered by the GRS are eligible for

retirement to the Washington National Records Center or to

records center storage in a NARA regional records services

facility. Records should be retired from agency space to such

storage only if transfer costs do not exceed the expense of

retaining, them in agency space. Records sent to records

center storage in a NARA facility should have a remaining

retention of at least 1 year. If special circumstances, such

as lack of films equipment or space, make it imperative that

records be retired, exceptions can be made to this policy.

These decisions are made on an individual basis by the

appropriate NARA facility director. Procedures for transfer

of records to records center storage in a NARA facility are

found in NARA regulations (36 CFR 1228.152).

3/99

U.S. Department of Housing and Urban Development

Administration

Special Attention of: Transmittal for Handbook No.: 2228.2 REV-3

Headquarters Records Mgmt.

Liaison Officers

Field Office Records Mgmt. Issued: February 7, 1996

Liaison Officers

1\. This Transmits

Revised HUD Handbook 2228.2, REV-3, General Records Schedules

(GRS).

2\. Summary: The General Records Schedules provide mandatory

disposition instructions for records common to several Federal

Agencies. A complete set of the schedules was last issued in

1988\. Rather than issue another change National Archives and

Records Administration (NARA) has decided to print an entire

updated set of the GRS.

The major changes in this edition are the revisions of GRS 20,

Electronic Records, and 23, Records Common to Most Offices Within

Agencies. These schedules were revised to consolidate electronic

records in GRS 20 and to clarify the coverage of electronic mail

records. The specific changes are described below:

1\. The general introduction to the Schedules was revised.

2\. New items have been added to GRS 1 to cover appointment case

files on handicapped individuals (item 40) and pay

comparability records (item 41).

3\. GRS 1, item 23, employee performance records was modified to

increase the disposition for performance-related records for

non-SES appointees.

4\. Additional updates suggested by the Office of Personnel

Management were made in GRS 1, items 1, 2, 6, 10, 11, 14, 15,

21, 23, 33, 35, and 36.

ARSDR: Distribution: W-3-1, SPECIAL (Direct by ARSDR)

5\. GRS 18, item 19c, which was inadvertenUy dropped from the

schedule, was restored.

6\. GRS 18, item 25, classified information nondisclosure

agreements, was modified to increase the retention period for

consistency with a Director of Central Intelligence Directive.

7\. In GR 20, the following changes were made:

a\. The introduction was modified to reflect the revised

scope of the schedule which now includes electronic

records created by office automation applications as well

as those generated in central data processing facilities.

Items covering administrative data bases, word processing

and messaging, and certain spreadsheets were removed from

GRS 23 and incorporated into GRS 20.

b\. The disposition instructions for items 1a, 1c, 3b(1),

3b(3), 4, 5, 6, 7, 9, 12a, and 12b were expanded to

\"delete when the agency determines that they are no

longer needed for administrative, legal, audit, or other

operational purposes.\"

c\. The title of item 1 was revised to reflect the modified

scope of the schedule.

d\. Item 3 was modified to cover electronic versions of

records scheduled as hard copy elsewhere in the GRS or in

agency-specific NAR-approved schedules.

e\. The second exclusion under item 4 and the second

exclusion under item 5 were removed from the description

of the items and incorporated into a note following each

item. These exclusions restated the description of the

item, and thus could be confusing. Including them in

notes provides emphasis and avoids redundancy.

f\. In the description of item 6, Print File, \"statistical\"

was added to modify \"reports.\" This refinement is

necessary given the changed focus of GRS 20. This item

cannot be used as authority for deletion of narrative

reports.

g\. The description of item 7, Technical Reformat File, was

edited for clarity.

h\. Item 8a was retitled \"Backups of Files,\" and the

description was edited for consistency. These changes

were made to eliminate the confusion caused by

characterizing backups as \"security backups.\" The item

will cover all backups that an agency determines are

Federal records. The disposition instruction was edited

for clarity. The revised language follows a chronological

sequence.

-2-

i\. The disposition instruction for item 11a was modified to

read \"destroy or delete when superseded or obsolete, or

upon authorized deletion of the related master file or

data base, or upon the destruction of the output of the

system if the output has legal value, whichever is

latest.\"

j\. The description of item 11b, was modified to remove the

words \"computer center,\" in line with the revised scope

of GRS 20.

k\. The description of item 12, was modified to limit

coverage to data generated within the agency. This item

does not authorize deletion of downloaded and copied data

from external sources. The disposition instruction for

item 12c was modified for clarity.

l\. New items 13, 14, and 15 were added to cover records

generated with word processing, electronic mail, and

spreadsheet applications.

8\. In GRS 23, items 2-4, were removed and the item numbers

reserved. The records that were covered by those items are now

covered by GRS 20 items 3, 13, 14, and 15.

9\. The subject and forms indexes were updated.

Please note that the copies of the GRS on the disk contain a few

errors that were not caught before the disks were duplicated. The

following corrections have been made in the version on the Gopher

and the copy that will be used for printing.

o The address for the NARA Publications Distribution Staff

was added to the general introduction.

o The hyphen was removed from SF 70 in GRS 1, item 6.

o The capital letter \"H\" in the word housing in the first

paragraph of the introduction to GRS 15 was made lower

case.

o The citation to the SF 83 in the description of GRS 16,

item 6, was corrected to read \"OMB 83 (formerly SF 83).\"

o The title of GRS 16, item 14, was changed to \"Management

Control Records,\" and the title of OMB Circular A-123 in

the description of that item was corrected to \"Management

Accountability and Control.\"

o The disposition instruction for GRS 23; item 7, was moved

to line up with the general description of the item.

o A note of the obsolescence of SF 7 and 7B was added in

the Forms Index.

-3-

o The overlapping headers were removed from the Subject

Index.

o Uneven spacing was corrected.

3\. Filing Instructions:

Remove Insert

GRS 1 through 23 GRS 1 through 23

dated 2/89 dated 2/96

Old Subject Index New Subject Index

dated 2/89 dated 2/96

Old Forms Index New Forms Index

dated 2/89 dated 2/96

-4-

U.S. Department of Housing and Urban Development

ADMINISTRATION

Special Attention of: Transmittal Handbook No.: 2228.2 REV-2

Issued: February 22, 1989

1 . This Transmits

A complete revision of HUD Handbook 2228.2, General Records Schedules.

2\. Explanation of Material Transmitted: This Handbook incorporates the

revised General Records Schedules (GRS) recently issued by the

National Archives and Records Administration (NARA) in August 1988.

NARA made these major changes to the GRS:

a\. The new GRS cover only disposable records. Items covering

records previously scheduled as \"permanent,\" \"submit an SF 115,\"

and \"submit an SF 258\" were deleted. HUD records no longer

covered by the GRS must be scheduled individually in HUD\'s

records disposition schedules. Many of these records were

nontextual (i.e., audiovisual, cartographic and architectural,

and electronic records). NARA is developing instructional

guides on how to schedule these records.

b\. NARA deleted GRS 22, \"Design and Construction Drawings and

Related Records,\" and added its disposal authorities to GRS 17

(formerly called \"Cartographic, Remote Sensing Imagery and

Related Records\"). GRS 17 was renamed \"Cartographic, Aerial

Photographic, Architectural, and Engineering Records.\" GRS 25,

\"Inspector General Records,\" was renumbered as GRS 22.

c\. GRS 24, \"Records of Temporary Commissions, Committees, and

Boards,\" was deleted because most items were scheduled as

\"submit an SF 258.\" GRS 24 covered the records of temporary

committees and other organizations usually established by

Congress or the President, not internal agency committees.

NARA is developing an instructional guide on schedulings

records of temporary organizations.

d\. GRS 20, \"Electronic Records\" (formerly called \"Machine-Readable

Records\"), now covers common types of disposable records created

in central computer processing operations. Items were added to

GPS 23, now called \"Records Common to Most Offices Within

Agencies,\" to cover records created through office automation

applications.

A HUD handbook is being developed on scheduling the files of ADP

systems operated on HUD\'s mainframe computer in Headquarters.

Such files will be scheduled individually in HUD records

disposition schedules, in place of using GRS 20.

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

e\. Item 4 of GRS 12, covering telephone summaries, was deleted

because it did not adequately cover the records created under

current procedures. NARA is working with the General Services

Administration and the General Accounting Office to develop a

disposition standard for current records. Until then, these

records cannot be destroyed. Contact your Records Management

Liaison Officer if these records begin causing storage problems.

f\. Many new items were added to the GRS to cover records such as the

Employee Medical Folder, records created in reviewing records for

declassification under mandatory review procedures, administrative

claims and waivers of claims files, performance records for SES

employees, microform inspection logs and reports, records

documenting information resources management triennial reviews

and information collection budgets, files on certain types of

notices printed in the Federal Register, and records relating to

membership in the National Defense Reserve system.

g\. The deletion and addition of items required that the GRS be

renumbered. A Conversion Table to match the old and new item

numbers was added after the Forms Index.

3\. Filing Instructions:

Remove: Insert:

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

Handbook 2228.2 REV-1, Handbook 2228.2 REV-2,

dated 4/80 through 7/88 dated 2/89

2/89 2

W-3-1, W-1, W-2, W-3, W-4, R-1, R-2, R-3, R-3-2, R-3-3,

R-6, R-6-2, R-7, R-7-2, R-8, R-9, SPECIAL (Direct by ASE)

W-3-1 Directives Management Officers\--Headquarters and Regions,

library, ACIR (Advisory Commission on Intergovermental

Relations)

W-1 Assistant Secretaries, Deputy Assistant Secretaries,

General Counsel, staff offices reporting to the Secretary

W-2 HQ Office Directors, Special Assistants,

those reporting directly to Assistant Secretaries

W-3 HQ Division Directors, those reporting directly to Office

Directors, multiple copies for staff

W-4 Branch Chiefs, multiple copies for staff

R-1 Regional Administrators, Deputy Regional Administrators

R-2 Office Directors, Principal Assistants in Regional

Administrators\' offices

R-3 Bulk shipment to Regional Offices

R-3-2 Directors, Administrative Services Divisions and

Administrative and Management Services Divisions, and

Administrative staffs

R-3-3 Category D offices - bulk

R-6 Category A offices - Office Managers and Deputy Office

Managers

R-6-2 Category A offices - Division Directors

R-7 Category B offices - Office Managers and Deputy Office

Managers

R-7-2 Category B offices - Division Directors

R-8 Category C offices - Office Managers and Deputy Office

Managers

R-9 Directors and Deputy Directors, Offices of Indian Programs

U.S. Department of Housing and Urban Development

ADMINISTRATION

Special Attention of:

Transmittal for Handbook No.: 2228.2 REV-2

CHG-1

Issued: July 14, 1990

1\. This Transmits

Changes to HUD Handbook 2228.2 REV-2, General Records Schedules.

2\. Explanation of Material Transmitted: This Handbook Change
incorporates

changes to the General Records Schedules (GRS) issued by the National

Archives and Records Administration (NARA) in GRS Transmittal No. 2,

dated October 30, 1989. The changes include typographical corrections

and minor editorial changes not mentioned below:

a\. General Records Schedule 1.

\(1\) An additional note was added after item 1 to clarify that all

agencies do not send Official Personnel Folders (OPF\'s) to

the National Personnel Records Center.

\(2\) Item 7d was subdivided to provide separate disposition

instructions for certificates of classification issued by the

Office of Personnel Management (OPM) to ensure that they are

kept for as long as they are in effect.

\(3\) Item 19 was revised to cover all medical records that are not

part of the Employee Medical Folder.

b\. General Records Schedule 2. A typographical correction was made.

c\. General Records Schedule 3. The cross-reference in the

disposition instructions for items 5a and 5b(2)(b) was corrected

to read \"(see item 3 of this schedule).\"

d\. General Records Schedule 9. The form number in item lb was

corrected to read \"SF 1113A.\"

e\. General Records Schedule 10. Editorial revisions were made.

f\. General Records Schedule 14.

\(1\) The introduction to GRS 14 was revised to highlight the items

covering:

\(a\) Records created in response to requests for mandatory

records declassification.

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

\(b\) Records related to inappropriate release of privileged

information.

\(2\) A new item 36 was added to cover records related to erroneous

release of information.

g\. General Records Schedule 16. A new item 8c was added to cover

records related to committee management.

h\. General Records Schedule 18. The form number in item 25 was

changed to read \"SF 312,\" to reflect a change in the standard

form.

i\. General Records Schedule 20.

\(1\) The introduction to GRS 20 was changed to highlight that the

schedule also covers specified hard copy or microform

records, including printouts, that are integrally related

to the electronic records.

\(2\) Printouts were added to items 1a and 1c.

j\. General Records Schedule 23.

\(1\) The introduction to GRS 23 was changed to clarify coverage of

the schedule.

\(2\) Printouts were added to item 3.

k\. Subject Index and Forms Index. The indexes were revised to

reflect the changes in the General Records Schedules. Needed

corrections were also made.

l\. Conversion Table. Typographical corrections were made. This

table will not be updated in the future.

3\. Filing Instructions:

Remove: Insert:

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

Chapter 1, pages 1-3 and 1-4, Chapter 1, page 1-3, dated 7/90,

dated 2/89 and page 1-4, dated 2/89

Entire Appendix 1, pages 1 Entire Appendix 1, page 1, dated

through 18, dated 2/89 2/89, and page 2, dated 7/90 ;

page 3, dated 2/89, and page 4,

dated 7/90 ; page 5, dated 7/90

and page 6, dated 2/89; pages 7

through 19, dated 7/90

7/90

2

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

2228.2 REV-2 CHG-1

Remove: Insert:

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

Appendix 2, pages 3 and 4, Appendix 2, page 3, dated 7/90

dated 2/89 and page 4, dated 2/89

Appendix 3, pages 3 through Appendix 3, page 3, dated 2/89,

6, dated 2/89 and page 4, dated 7/90; page 5,

dated 7/90, and page 6, dated

2/89

Appendix 9, page 3, dated 2/89 Appendix 9, page 3, dated 7/90

Entire Appendix 10, pages 1 Entire Appendix 10, page 1, dated

and 2, dated 2/89 2/89, and page 2, dated 7/90

Entire Appendix 14, pages 1 Entire Appendix 14, pages 1

through 9, dated 2/89 through 10, dated 7/90

Appendix 16, pages 3 through 6, Appendix 16, pages 3 through 6,

dated 2/89 dated 7/90

Appendix 18, pages 7 and 8, Appendix 18, page 7, dated 2/89,

dated 2/89 and page 8, dated 7/90

Entire Appendix 20, pages 1 Entire Appendix 20, pages 1

through 6, dated 2/89 through 6, dated 7/90

Entire Appendix 23, pages 1 Entire Appendix 23, pages 1

through 5, dated 2/89 through 5, dated 7/90

Subject Index, pages 3 through Subject Index, pages 3 through

20, dated 2/89 21, dated 7/90

Forms Index, pages 5 through 8, Forms Index, page 5, dated 2/89,

dated 2/89 and page 6, dated 7/90; page 7,

dated 2/89, and page 8, dated

7/90

Conversion Table, pages 3 Conversion Table, page 3, dated

through 6, 9 and 10, 13 and 14, 7/90, and page 4, dated 2/89;

19 and 20, dated 2/89 page 5, dated 2/89, and page 6,

dated 7/90; page 9, dated 7/90

and page 10, dated 2/89; page 13,

dated 7/90, and page 14, dated

2/89;page 19, dated 7/90, and

page 20, dated 2/89

7/90

3

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

U.S. Department of Housing and Urban Development

ADMINISTRATION

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

Special Attention of: Transmittal for Handbook No.: 2228.2 REV-2

CHG-2

Issued: July 30, 1991

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

1\. This Transmits changes to HUD Handbook 2228.2 REV-2, General Records

Schedules

2\. Explanation of Material Transmitted: This handbook Change

incorporates changes to the General Records Schedules (GRS) issued

by the National Archives and Records Administration (NARA) in GRS

Transmittal No. 3, dated February 22, 1991. The changes Include

additions, revisions, and corrections to several schedules and to

the Subject Index.

a\. General Records Schedule 1. Item 30a was modified to correct

an editorial error, and a new item 36 has been added to cover

employee drug testing records.

b\. General Records Schedule 9. A new Item 5 was added to cover

records relating to official passports.

c\. General Records Schedule 12. The disposition for item 3b was

corrected to read \"Destroy when 2 years old.\"

d\. General Records Schedule 18. Item 22 was modified to specify

that it applies to case files created under Office of

Personnel Management regulations only. A reference in the

Introduction was updated.

e\. General Records Schedule 21. Item 13 was changed to read

\"Duplicate prints and preprint elements in excess of those

elements required for preservation by 36 CFR 1228.184.\"

f\. General Records Schedule 22. Item 1 was changed to exclude

significant investigative case files and the introduction

was modified to reflect the change to item 1.

g\. Subject Index. The Index was modified to correct an editorial

error and add the new items.

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

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

3\. Filing Instructions:

Remove: Insert:

Appendix 1, pages 15, 16 and Appendix 1, pages 15, 16, 19,

19, dated 7/90 20 and 21, dated 7/91

Appendix 9, page 3, dated Appendix 9, pages 3 and 4,

7/90 dated 7/91

Appendix 12, pages 1 and 2, Appendix 12, pages 1 and 2,

dated 2/89 dated 7/91

Appendix 18, page 7, dated Appendix 18, pages 7 and 8,

2/89 and page 8, dated 7/90 dated 7/91

Appendix 21, pages 1 and 2, Appendix 21, pages 1 and 2,

dated 2/89 dated 7/91

Appendix 22, pages 1 and 2, Appendix 22, pages 1 and 2,

dated 2/89 dated 7/91

Subject Index, pages 5 Subject Index, pages 5 through

through 21, dated 7/90 21, dated 7/91

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

7/91 2

W-3-1, W-1, W-2, W-3, W-4, R-1, R-2, R-3, R-3-2, R-3-3,

R-6, R-6-2, R-7, R-7-2, R-8, R-9, SPECIAL (Direct by

ASE)

W-3-1 Directives Management Officers\--Headquarters and Regions,

library, ACIR (Advisory Commission on Intergovermental

Relations)

W-1 Assistant Secretaries, Deputy Assistant Secretaries,

General Counsel, staff offices reporting to the Secretary

W-2 HQ Office Directors, Special Assistants,

those reporting directly to Assistant Secretaries

W-3 HQ Division Directors, those reporting directly to Office

Directors, multiple copies for staff

W-4 Branch Chiefs, multiple copies for staff

R-1 Regional Administrators, Deputy Regional Administrators

R-2 Office Directors, Principal Assistants in Regional

Administrators\' offices

R-3 Bulk shipment to Regional Offices

R-3-2 Directors, Administrative Services Divisions and

Administrative and Management Services Divisions, and

Administrative staffs

R-3-3 Category D offices - bulk

R-6 Category A offices - Office Managers and Deputy Office

Managers

R-6-2 Category A offices - Division Directors

R-7 Category B offices - Office Managers and Deputy Office

Managers

R-7-2 Category B offices - Division Directors

R-8 Category C offices - Office Managers and Deputy Office

Managers

R-9 Directors and Deputy Directors, Offices of Indian Programs

U.S. Department of Housing and Urban Development

ADMINISTRATION

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

Special Attention of: Transmittal Handbook No.: 2228. 2 REV-2 CHG-3

Issued: December 23, 1992

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

1\. This Transmits changes to HUD Handbook 2228.2 REV-2,

General Records Schedules.

2\. Explanation of Material Transmitted: This handbook change

incorporates changes to the General Records Schedules

(GRS) issued by the National Archives and Records

Administration (NARA) in GRS Transmittals 4 and 5, dated

April 24 and July 9, 1992, respectively. The changes

include additions, revisions, and corrections to several

schedules and to the Subject and Forms Indexes.

a\. General Records Schedule 1. Item 17b was edited to

include records relating to retention registers; item

25 was modified to include Equal Employment

Opportunity complaints that do not result in formal

complaint cases, the disposition for item 30 was

modified; and a new item 37 was added to cover

records relating to donation of leave.

b\. General Records Schedule 2. The retention period for

time and attendance records covered under item 3 was

increased from 3 years to 6 years at the request of

the General Accounting Office.

c\. General Records Schedules 6 and 9. Item 1 of GRS 6

and items 1, 2, and 3 of GRS 9 were modified to

clarify the description and disposition of records

relating to travel and transportation.

d\. General Records Schedule 10. This schedule was

modified to correct a formatting error.

e\. General Records Schedule 16. Item 10 was modified to

reflect a recent revision of NARA regulations on

micrographics (36 CFR Part 1230) that eliminated a

requirement that agencies inspect temporary microform

records; and a new item 14 was added to cover records

relating to internal controls.

f\. General Records Schedule 18. Item 25 was modified to

reflect the fact that classified information

nondisclosure agreements may be filed in the Official

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

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

Personnel File.

g\. General Records Schedule 21. The citation to the

Code of Federal Regulations relating to the recovery

of precious metals in the introduction was corrected.

h\. General Records Schedule 23. The disposition for

item 8 was edited to clarify that it covers

electronic records.

i\. Subject and Forms Indexes. The Subject Index was

reformatted and additions were made to both indexes.

3\. Filing Instructions:

Remove: Insert:

Appendix 1, page 5, dated Appendix 1, pages 5

7/90; and page 6, dated through 8, and 11

2/89; pages 7, 8, and through 18, and 21 and

11 through 14, dated 7/90; 22; dated 12/92

and pages 15 and 16, dated 7/91;

and pages 17 and 18, dated 7/90;

and page 21, dated 7/91

Appendix 2, pages 1 and 2, Appendix 2, pages 1 and

dated 2/89 2, dated 12/92

Appendix 6, pages 1 through 6, Appendix 6, pages 1

dated 2/89 through 6, dated 12/92

Appendix 9, pages 1 and 2, Appendix 9, pages 1

dated 2/89; pages 3 and 4, through 4, dated 12/92

dated 7/91

Appendix 10, page 1, dated Appendix 10, pages 1

2/89; and page 2, dated 7/90 and 2, dated 12/92

Appendix 16, pages 5 and 6, Appendix 16, pages 5

dated 7/90 through 9, dated 12/92

Appendix 18, pages 7 and 8, Appendix 18, pages 7

dated 7/91; page 9, dated through 10, dated 12/92

2/89

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

12/92 2

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

2228.2 REV-2 CHG-3

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

Appendix 21, pages 1 and 2; Appendix 21, pages 1

dated 7/91 and 2, dated 12/92

Appendix 23, page 5, dated Appendix 23, page 5,

7/90 dated 12/92

Entire Subject Index Subject Index, pages 1

through 22, dated 12/92

Forms Index, pages 9 and Forms Index, pages 9

10 dated 2/89 and 10, dated 12/92

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

3 12/92

W-3-1, W-1, W-2, W-3, W-4, R-1, R-2, R-3, R-3-2, R-3-3,

R-6, R-6-2, R-7, R-7-2, R-8, R-9, SPECIAL (Direct by

ASES)

HUD-23 (9-81)

W-3-1 Directives Management Officers\--Headquarters and Regions,

library, ACIR (Advisory Commission on Intergovermental

Relations)

W-1 Assistant Secretaries, Deputy Assistant Secretaries,

General Counsel, staff offices reporting to the Secretary

W-2 HQ Office Directors, Special Assistants,

those reporting directly to Assistant Secretaries

W-3 HQ Division Directors, those reporting directly to Office

Directors, multiple copies for staff

W-4 Branch Chiefs, multiple copies for staff

R-1 Regional Administrators, Deputy Regional Administrators

R-2 Office Directors, Principal Assistants in Regional

Administrators\' offices

R-3 Bulk shipment to Regional Offices

R-3-2 Directors, Administrative Services Divisions and

Administrative and Management Services Divisions, and

Administrative staffs

R-3-3 Category D offices - bulk

R-6 Category A offices - Office Managers and Deputy Office

Managers

R-6-2 Category A offices - Division Directors

R-7 Category B offices - Office Managers and Deputy Office

Managers

R-7-2 Category B offices - Division Directors

R-8 Category C offices - Office Managers and Deputy Office

Managers

R-9 Directors and Deputy Directors, Offices of Indian Programs

U.S. Department of Housing and Urban Development

ADMINISTRATION

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

Special Attention of: Transmittal for Handbook No.: 2228.2 REV-2

CHG-4

Issued: March 21, 1994

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

1\. This Transmits

Changes to HUD Handbook 2228.2 REV-2, General Records

Schedules.

2\. Explanation of Material Transmitted: This handbook change

incorporates changes to the General Records Schedules (GRS)

issued by the National Archives and Records Administration

(NARA) in GRS Transmittal 6, dated May 17, 1993.

a\. General Records Schedule 1.

\(1\) Note 3 following item 1 was deleted. Now that the

Office of Personnel Management\'s (OPM) Central

Personnel Data File and comparable databases from

those agencies not subject to the OPM regulations

are scheduled as permanent, agencies may destroy

their own master files and databases that contain

data from OPF\'s.

\(2\) The disposition for item 4a was clarified.

\(3\) The description of item 32 was clarified by

eliminating the exclusion of duplicate

information. Under OPM regulations, records

containing information duplicated in other files

are not retained in the merit promotion case

files.

\(4\) The authority to destroy positive drug test

results is rescinded. At the request of the

Office of Personnel Management, item 36e has been

amended to limit disposal authority to negative

drug test results. Agencies must retain all

positive drug test results pending the

determination of an appropriate retention. Also,

the note following this item was modified to

reflect the previous change in retention for item

30b.

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

\(5\) New items 38 and 39 covering Wage Survey Files

and Retirement Assistance Files were moved from

GRS 2, Pay and Payroll Administration Records, to

GRS 1, Civilian Personnel Records, because the

records support personnel functions.

b\. General Records Schedule 2. GRS 2 was completely

revised to reflect current electronic recordkeeping

practices. This version supersedes a schedule that

was developed primarily for manual payroll systems.

Following the Forms Index is a conversion table that

shows which items from the superseded schedule have

been brought into the revised schedule. The GRS

Conversion Table disseminated under GRS Transmittal

No. 2 is obsolete and should be discarded.

c\. General Records Schedule 10. The title of Standard

Form 82 was corrected in the introduction, and the

reference to obsolete Standard Form 82-D was

deleted from item 4.

d\. General Records Schedule 18. A new item 7b was

added to cover records that document routine

security checks.

e\. General Records Schedule 20.

\(1\) The title of item 1 was revised to clarify that it

applies to records created in management and

support operations as well as central processing

facilities.

\(2\) The exclusions of GRS 1, item 1, Official

Personnel Files, and GRS 2, item 17,

Administrative Payroll Report Files, were deleted

from item 3.

\(3\) Item 11 was expanded to cover documentation

relating to computer security and risk analysis,

as required by OMB Circular A-130.

\(4\) New item 12 was added to authorize the disposal of

records downloaded or copied by end users, as long

as the original data is left intact.

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3/94 2

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2228.2 REV-2 CHG-4

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f\. General Records Schedule 21. The title of the CFR

section cited in the introduction was corrected, and

the numbers used in the disposition instructions were

changed from text to numerals.

g\. General Records Schedule 23. The introduction to GRS

23 was modified to emphasize that the materials subject

to the mandatory disposition instructions in the

schedule apply only to materials determined by the

agency to be records. In addition, item 3,

Administrative Databases, was expanded to cover

databases that replace as well as duplicate paper

records.

h\. Subject and Forms Indexes. Both indexes were updated

to reflect the changes made to the schedules and to

delete obsolete forms. Additional entries were made in

the Subject Index and typographical errors were

corrected in the Forms Index.

3\. Implementation. Agencies are required under 36 CFR

1228.50(d) to disseminate GRS changes within 6 months of

receipt. If an agency wishes to apply a retention period

that differs from that specified in the GRS, the agency must

submit an SF-115 for NARA approval.

4\. Filing Instructions.

Remove: Insert:

a\. Appendix 1, page 1, Appendix 1, page 1, dated

dated 2/89 and page 2, 2/89 and page 2, dated

dated 7/90; pages 15 3/94; page 15, dated

and 16, dated 12/92; 12/92 and page 16, dated

pages 21 and 22, dated 3/94; pages 21 and 22,

12/92; dated 3/94;

b\. Appendix 2, pages Appendix 2, pages 1-6,

1 and 2, dated 12/92; dated 3/94;

page 3, dated 7/90,

and pages 4-7,

dated 2/89;

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3 3/94

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2228.2 REV-2 CHG-4

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Remove: Insert

c\. Appendix 10, pages Appendix 10, pages 1 and 2,

1 and 2, dated dated 3/94;

12/92;

d\. Appendix 18, pages 3-6, Appendix 18, pages 3-10,

dated 2/89; and pages dated 3/94;

7-10, dated 12/92;

e\. Appendix 20, pages Appendix 20, pages 1-6,

1-6, dated 7/90; dated 3/94;

f\. Appendix 21, pages Appendix 21, pages 1-4,

1 and 2, dated 12/92; dated 3/94;

pages 3 and 4, dated

2/89;

g\. Appendix 23, pages Appendix 23, pages 1-5,

1-4, dated 7/90; dated 3/94;

page 5, dated 12/92;

h\. Subject Index, pages Subject Index, pages 1-22,

1-22, dated 12/92; dated 3/94;

i\. Forms Index, pages Forms Index, pages 1-14,

1-18, dated 2/89; dated 3/94;

j\. Conversion Table, Conversion Table, page 1

pages 1-23, dated and 2, dated 3/94.

6/88.

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3/94 4

W-3-1, W-1, W-2, W-3, W-4, R-1, R-2, R-3, R-3-2,

R-3-3, R-6, R-6-2, R-7, R-7-2, R-8, R-9, SPECIAL

(Direct by ASES)

W-3-1 Directives Management Officers\--Headquarters and Regions,

library, ACIR (Advisory Commission on Intergovermental

Relations)

W-1 Assistant Secretaries, Deputy Assistant Secretaries,

General Counsel, staff offices reporting to the Secretary

W-2 HQ Office Directors, Special Assistants,

those reporting directly to Assistant Secretaries

W-3 HQ Division Directors, those reporting directly to Office

Directors, multiple copies for staff

W-4 Branch Chiefs, multiple copies for staff

R-1 Regional Administrators, Deputy Regional Administrators

R-2 Office Directors, Principal Assistants in Regional

Administrators\' offices

R-3 Bulk shipment to Regional Offices

R-3-2 Directors, Administrative Services Divisions and

Administrative and Management Services Divisions, and

Administrative staffs

R-3-3 Category D offices - bulk

R-6 Category A offices - Office Managers and Deputy Office

Managers

R-6-2 Category A offices - Division Directors

R-7 Category B offices - Office Managers and Deputy Office

Managers

R-7-2 Category B offices - Division Directors

R-8 Category C offices - Office Managers and Deputy Office

Managers

R-9 Directors and Deputy Directors, Offices of Indian Programs