APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

This schedule covers mostly Title I and multifamily records in Field

Offices.

Item

No. Description of Records Disposition

A. MULTIFAMILY (PROJECT) MORTGAGE INSURANCE PROGRAM FILES

1-3. RESERVED.

4\. Washington Docket File (Multifamily Transfer to

Mortgage Insured Case File). This file Headquarters after

includes such basic material as final endorsement for

application; project income analysis insurance. See HUD

and appraisal; commitment for Schedule 10 for

insurance; financial requirements for disposal. (NARA Job

closing; building loan agreement; NN-167-116, item 4)

architect\'s agreement; construction

contract; building permits; bond or

completion assurance agreement or

indemnity agreement; off-site bond or

escrow agreements, if any; title

evidence; certified survey of property

and final survey and certification;

zoning ordinances; mortgage bond or note;

mortgage or deed of trust; mortgagor\'s

and mortgagee\'s certificates; property

insurance requirements; chattel mortgage

or incorporation of mortgagee\'s attorney;

certificate of incorporation of mortgagor;

regulatory agreement; bylaws of

mortgagor-corporation; stock subscription

agreements; minutes of meetings of directors

and shareholders of mortgagor; mortgagor\'s

oath; approved management contract; approved

rental schedule; and other such significant

material.

5\. Drawings and Specifications (Multifamily

Program).

a\. Master drawings, specifications, Retire to Federal

plans, and copies of construction Records Center 1 year

changes. after final

endorsement. Destroy

6 years after final

endorsement. (NARA

Job NC1-207-84-2,

item 1)

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

b\. As-built drawings and Destroy 2 years after

specifications. This file date of substantial

includes copies of construction completion. (NARA

changes. Job NN-167-116, item

5(b))

6\. Field Office Docket (Multifamily Retire to Federal

Program). This file includes the Records Center 3

residual or remaining copies of years after final

papers after the Washington Project endorsement for

Docket has been prepared. insurance. Destroy 6

years after the

Secretary ceases to

have any liability

and/or interest in

the transaction.

(NARA Job NN-167-116,

item 6)

Prior to the transfer of the Field Office Docket to the Federal

Records Center, prepare Project Mortgage Servicing Folder. The

Mortgage Servicing Folder will be maintained in the Field Office for

Project Mortgage Servicing.

6-1. Project Mortgage Servicing Folder and

Financial Analysis Subfolder.

a\. Project Mortgage Servicing Folder Retire to Federal

consists of separate folders for Records Center 3

each Secretary-held project years after the

mortgage. The folders are Secretary ceases to

established by transferring have any liability

immediately after final endorsement and/or interest in

of the mortgage for insurance, all the transaction.

required material from the Field Destroy 6 years

Office Docket and adding the records after the Secretary

accumulated as a result of servicing ceases to have any

operations during the life of the liability and/or

mortgage. The folder contains interest in the

duplicate copies of correspondence, transaction. (NARA

underwriting and processing forms Job (NN-167-116,

received or prepared in the course item 6-1(a))

of processing a closed approved

insured case; material accumulated

during mortgage servicing; such as

rental schedules, default notices,

modification agreements and other

material not filed in the Washington

Docket File or other file.

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

b\. Financial Statements on Rental Retire to Federal

Housing Projects\--Financial Records center 2

Analysis Subfolder. This folder years after receipt

is filed with the Project Mortgage of the current fiscal

Servicing Folder and contains financial statement.

annual financial statements and Destroy 5 years after

reports of onsite audits made by receipt of the

HUD, correspondence pertaining current fiscal

solely to financial statements financial statements.

and analyses, and statements (NARA Job NN-167-116,

pertaining to operations of item 6-1(b))

mortgagors having mortgages

insured by HUD in amounts ranging

from \$50,000 to \$5,000,000 under

various project mortgage insurance

programs where provisions of the

charter or regulatory agreement

provide for the submission of

such statements to HUD.

7\. Delinquency Mortgage Service File. Destroy from Field

These are reference files, used during Office 1 year after

the delinquency of the mortgage. They the property has been

contain delinquency notices; records of foreclosed or sold to

payments on delinquent mortgages; a third party or the

forebearance agreements; repayment delinquency has been

schedules; reports on interviews, in cured. (NARA Job

person or by telephone; and other NN-167-116, item 7)

material on servicing delinquent

accounts.

8\. Noninsured Docket File. This file Destroy from Field

includes closed cases representing Office 2 years after

applications withdrawn or rejected and close of fiscal year

applications on which the commitment in which closed as

has expired, projects which were never non-insured. File

built or projects financed without FHA must be maintained

insurance, and refunds, if any. for the full 2 year

period to cover the

probability of

internal audit and

the General

Accounting Office

audit. (NARA Job

NN-167-116, item 8)

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

9\. General Contractor Certified Copies of Retire to Federal

Weekly Payrolls. These are general Records Center after

contractor payroll records submitted final endorsement.

weekly to HUD pursuant to regulations Destroy 3 years after

of the Secretary of Labor and date of completion

provisions of the Anti-Kickback Act. of contract. (NARA

These payroll records bear the name Job NN-167-116,

and address of each laborer, mechanic, item 9)

helper, apprentice, or other workman

employed in construction of the project,

the workman\'s classification, rate of

pay, daily and weekly number of hours

worked, deductions made and actual wages

paid.

10-17. RESERVED.

B. CASE CONTROL FILE

18\. Official Receipt Control File. This Destroy 1 year after

file is a special accounting control satisfactory

for blank receipt forms charged out to accounting for each

typists. box of official

receipts. (NARA

Job NN-167-116,

item 18)

19-23. RESERVED.

C. REFERENCE FILES

24\. Land Planning Files. These are the Destroy after 5 years

land planning case files of FHA or after a new survey

projects including site inspection is made on the case.

reports and special studies. (NARA Job NN-171-125,

item 24)

25-26. RESERVED.

D. TITLE I LIQUIDATION FILES

The account cards and claims files, while in Field Offices, are

official documents. When accounts are closed, a copy of the

justification for closing will be kept in the Field Office in an

alphabetical file.

27\. Title I Liquidation Account Cards. Transfer to

Headquarters after

account is closed.

(NARA Job NN-167-116,

item 27)

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

28\. Account Folder Files, Accounts Paid Transfer to

in Full. Headquarters after

account is closed.

(NARA Job NN-167-116,

item 28)

29\. Claim Binder Files. File consists of Transfer to

defaulted Title I improvement loans, Headquarters after

including correspondence, reports and account is closed.

photostats of documents accumulated (NARA Job NN-167-116,

in process of collecting money owed, item 29)

or of attempting to do so.

30-36. RESERVED.

E. PROPERTY MANAGEMENT FILES

37\. Narrative Report File contains copies Destroy after 2 of

reports to Headquarters regarding years, except for

defaulted Title I, Class 1 and 2 cases those reports

maintained to enable a determination covering property

to be made as to whether a suit by the acquired or in

Department of Justice is feasible. process of being

Also includes photographs and a copy acquired by the

of single-line floor plans. Secretary. (NARA

Job NN-167-116,

item 37)

F. CORRESPONDENCE AND ADMINISTRATIVE ISSUANCES

38\. Correspondence, General and Land Retain correspondence

Planning. relating to any

specific project or

to continuing

technical matters,

and to correspondence

necessary to

supplement the

insured case file.

Destroy after 1 year

general and land

planning

correspondence not

specified above in

the retention

provision. (NARA Job

NN-167-116, item 38)

39\. RESERVED.

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

40\. Incoming and Outgoing correspondence Destroy after 2

with Headquarters, Nonrecord. years. (NARA Job

NN-167-116, item 40)

41\. Chronological File of Miscellaneous Destroy after 6

Outgoing Correspondence, Nonrecord. months. (NARA Job

NN-167-116, item 41)

42\. Field Office Circular Letters are Retire 1 copy of each

letters of instruction to HUD Field Office circular

employees, mortgagees, builders, and letter to the Federal

others doing business with HUD. They Record Center 2 years

keep the addressees fully informed of after close of

the policies, requirements, and calendar year

procedures covering official HUD involved. Destroy 5

operations. years after close of

calendar year

involved. (NARA Job

NN-169-112, item 42)

43\. Issuances (Handbooks, Guides, Maintain one complete

Circulars, Notices, Mortgagee set of all issuances

Letters, and FHA Manual Systems). and manuals in the

Administrative

Office. Also

maintain the

superseded or

canceled portions of

the manual and other

issuances as a

library copy for 3

years. Destroy

obsolete or

superseded material

after 3 years. (NARA

Job NN-169-107,

item 43)

44-47. RESERVED.

G. REPORTS

48\. Annual Inventory of Project Cases On Destroy after 1 year.

Hand (Copies). This is FHA Form 2087-P (NARA Job NN-167-116,

Report, a project inventory for item 48)

insurance authorization, fiscal, and

statistical control purposes.

Nonrecord.

49\. Report of Default Status (Copies). Destroy both (a) and

These reports summarize the default (b) after 3 years.

status of FHA insured mortgages, both (NARA Job NN-169-126,

home and multifamily project. They item 49)

are nonrecord copies.

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

\(a\) Monthly Report of Default

Status\--Projects (FHA Form 2680).

\(b\) Annual Report of Default

Status\--Home Mortgages (FHA Form

2068\) and Report of Current Home

Mortgage Status (FHA Form 2068-S).

50\. Notice of Default Status (Home Destroy when (a)

Mortgage, FHA Form No. 2068). This property is conveyed;

card file contains nonrecord copies (b) insurance

of Notice of Default Status (Form contract is

2068\) on Home Mortgages only. terminated; or (c)

the account is

reinstated. (NARA

Job NN-167-116, item

50\)

51\. Default Status Correspondence. This Destroy when (a)

file contains correspondence pertaining property is conveyed;

solely to FHA Form No. 2068 reports, (b) insurance

filed in case number sequence and contract is

chronologically within each case terminated; or (c)

folder, latest date on top. the account is

reinstated. (NARA

Job NN-167-116, item

51\)

52\. Individual Cooperator Applications Retire to Federal

under Sections 213 and 221(d)(3). Records Center 6

These are copies of applications for months after final

individual cooperators where the endorsement for

property is fully occupied and insurance. Destroy

finally endorsed for insurance. 5 years after final

endorsement for

insurance. (NARA Job

NN-167-116, item 52)

53\. Mortgage Credit Files\--Individual Retire to Federal

Cooperators under Sections 213 and Records Center 2

221(d)(3). These files contain years after final

application, credit report, endorsement for

verification of employment and bank insurance. Destroy

account, and related correspondence. 5 years after final

endorsement for

insurance. (NARA Job

NN-167-116, item 53)

54-74. RESERVED.

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

H. PERSONNEL RECORDS

75\. Applicant Supply System. File consists Use General Records

of employment applications, recruiting Schedule 1, item 15.

lists, etc.

Note: After a Civil Service Commission inspection audit has

been received, certain of these records may be destroyed. If

an office has not been inspected for more than 2 years, certain

records may be destroyed upon prior approval of the Civil

Service Commission.

76\. Unofficial Service Record Control Use General Records

File. File consists of position Schedule 1, items 2

identification strips, SF-70 and and 11.

Service Record Cards, SF-7.

77\. Unofficial Personnel Folders. Use General Records

Schedule 1, item 18.

78\. Position Description File. Use General Records

Schedule 1, item 7.

79\. Personnel Reference File. These files Destroy when

include any HUD Personnel Manual, superseded or

Federal Personnel Manual, Departmental obsolete. (NARA Job

Circulars, Civil Service X Handbooks, NN-167-116, item 79)

etc.

80\. Personnel Inspection and Evaluation Use General Records

Reports File. File includes pertinent Schedule 1, item 3.

correspondence.

81\. RESERVED.

82\. Reemployment Priority Lists. Use General Records

Schedule 1, item 17b.

83-90. RESERVED.

I. FISCAL RECORDS (Other than those under Item 18 above)

91\. Refund Pending File. This item is Destroy after

nonrecord. preparation of

voucher. (NARA Job

NN-167-116, item 91)

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APPENDIX 1

RECORDS DISPOSITION SCHEDULE 1

FIELD OFFICE RECORDS

Item

No. Description of Records Disposition

92\. Field Expense and Time Distribution Destroy after 1 year.

Reports. File consists of work sheets (NARA Job NN-167-116,

and supporting data, such as Form 2089b item 92)

and carbon copies of what is designated

as the Form 2395 series of reports.

93\. Field Office Copies of Schedules of Destroy 1 year after

Collections, Certificates of Deposits, close of calendar

Official Receipts, Field Office year in which

Inventory Controls, and Transmittal prepared. (NARA Job

Schedules (Opening and/or Closing). NN-167-116, item 93)

94\. Vouchers\--Procurement, Travel, etc. Destroy after 1 year.

Nonrecord. (NARA Job NN-167-116,

item 94)

95-99. RESERVED.

100\. Property Record Card File consists of Destroy when

a card index for each piece of superseded or

nonexpendable equipment. obsolete. (NARA Job

NN-167-116, item 100)

101-110. RESERVED.

J. ADDITIONAL RECORDS

111\. Advice of Application Disposition Destroy 1 year after

(Nonrecord Copies of Form FH-5 or close of calendar

Equivalent). File contains records year in which

of conditions, if any, covering prepared. (NARA Job

recommendations for acceptance or NN-167-116, item 111)

rejection of Title I, Class 1 or

Class 2 loans in excess of \$5,000.

Includes Report of Mortgage Credit

Examiner work sheets (nonrecord copies

of FHA Form No. 2016g or equivalent),

the eligibility review and analysis of

the credit risk of the borrower which

serves as a basis for determining the

conditions or recommendations of the loan.

Also includes any related correspondence.

9 10/88

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