· WITHDRAWN - RETURNED WI 1 .-IOUT ACTION NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request...

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Authority Records Schedule: DAA-0309-2016-0002

Request for Records Disposition Authority

Records Schedule Number DAA-0309-2016-0002

Schedule Status Returned Without Action

Agency or Establishment Small Business Administration

Record Group I Scheduling Group Records of the Small Business Administration

Records Schedule applies to Agency-wide

Schedule Subject SBA Program Office Records- Comprehensive Schedule 2016

Internal agency concurrences will No be provided

Background Information

Item Count

Number of Total Disposition Number of Permanent Number of Temporary Number of Withdrawn Items Disposition Items Disposition Items Disposition Items

0 0 0 175

GAO Approval

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002

Outline of Records Schedule Items for DAA-0309-2016-0002

Sequence Number

1 00 - Office of Administrator

1.1 00.01 General Subject Correspondence Files - PenTianent Disposition Authority Number: DAA-0309-2016-0002-0001

1.2 00.02 Reading or Chronological Files Disposition Authority Number: DAA-0309-2016-0002-0002

1.3 00.03 Committees - Permanent Disposition Authority Number: DAA-0309-2016-0002-0003

1.4 00.04 SBA Administrator's Meetings - PenTianent Disposition Authority Number: DAA-0309-2016-0002-0004

1.5 00.05 Facilities for Data Processing Disposition Authority Number: DAA-0309-2016-0002-0005

1.6 00.06 ADP Plans Disposition Authority Number: DAA-0309-2016-0002-0006

1.7 00.07 ADP Standards Disposition Authority Number: DAA-0309-2016-0002-0007

1.8 00.08 Headquarters Notices - Permanent Disposition Authority Number: DAA-0309-2016-0002-0008

1.9 00.09 Program Office Notices - Permanent Disposition Authority Number: DAA-0309-2016-0002-0009

1.10 00.10 District Office Notices - PenTianent Disposition Authority Number: DAA-0309-2016-0002-0010

1.11 00.11 Facsimile Files Disposition Authority Number: DAA-0309-2016-0002-0011

1.12 00.12 Federal Register Materials Disposition Authority Number: DAA-0309-2016-0002-0012

1.13 00.13 Delegations of Authority- PenTianent Disposition Authority Number: DAA-0309-2016-0002-0013

1.14 00.14 Delegations of Authority- Temporary Disposition Authority Number: DAA-0309-2016-0002-0014

1.15 00.15 Checklist- PenTianent Disposition Authority Number: DAA-0309-2016-0002-0015

1.16 00.16 Checklist- Temporary Disposition Authority Number: DAA-0309-2016-0002-0016

1.17 00.17 Section 7 Contracts Disposition Authority Number: DAA-0309-2016-0002-0017

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Aulhorlty Records Schedule: DAA-0309-2016-0002

1.18 00.18 Section 7 Grants and Cooperative Agreements

Disposition Authority Number: DAA-0309-2016-0002-0018

1.19 00.19 Informal Meetings


1.20 00.20 Associate Assistant and Regional Administrator's Meetings


1.21 00.21 Rejected Grant Application Files •Disposition Authority Number: DAA-0309-2016-0002-0021

1.22 00.22 Formal Directives, Procedural and Operating Manuals


1.23 00.23 Formal Directives, Procedural and Operating Manuals - Permanent


1.24 00.24 Organizational Files


1.25 00.25 Grants and Agreements with Institutions of Higher Education and Other No nprofit Organizations - Grant Case Files Disposition Authority Number: DAA-0309-2016-0002-0025

1.26 00.26 Grants and Agreements with Institutions of Higher Education and Other No nprofit Organizations - Program Files Disposition Authority Number: DAA-0309-2016-0002-0026

2 05 - Office of the Ombudsman

2.1 05.01 Comments by small entities jurisdictional - Permanent


2.2 05.02 Comments by small entities- non-jurisdictional - Temporary


2.3 05.03 Records of the Office of the National Ombudsman Hearings and Roundtab les - Permanent Disposition Authority Number: DAA-0309-2016-0002-0029

2.4 05.04 Records of the Office of the National Ombudsman Hearings and Roundtab les Disposition Authority Number: DAA-0309-2016-0002-0030

2.5 05.05 Annual Reports to Congress - Permanent Disposition Authority Number: DAA-0309-2016-0002-0031

2.6 05.06 Annual Regulatory Fairness Board meetings (required by SBREFA) agend a, minutes, preparations. Disposition Authority Number: DAA-0309-2016-0002-0032

2.7 05.07 Board Member Files Disposition Authority Number: DAA-0309-2016-0002-0033

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3 10 - Office of Investment and Innovation

3.1 10.01 License Application-Withdrawn and/or Disapproved Case Folder Disposition Authority Number: DAA-0309-2016-0002-0035

3.2 10.02 Investment Administration Disposition Authority Number: DAA-0309-2016-0002-0036

3.3 10.03 Statutory Provisions, Interpretations, SBIC Advisory Council, and lnterage ncy Relationships Disposition Authority Number: DAA-0309-2016-0002-0037

3.4 10.04 License Folder- SBIC's - MESBIC's Disposition Authority Number: DAA-0309-2016-0002-0038

3.5 10.05 License Operations Case Folder(s) Disposition Authority Number: DAA-0309-2016-0002-0039

3.6 10.06 SBIC Liquidations Disposition Authority Number: DAA-0309-2016-0002-0040

3.7 10.07 SBIC Liquidations (charged-off) Disposition Authority Number: DAA-0309-2016-0002-0041

3.8 10.08 Examination Project Files Disposition Authority Number: DAA-0309-2016-0002-0042

4 30 - Office of Human Resource Solutions

4.1 30.01- Training Records Disposition Authority Number: DAA-0309-2016-0002-0043

4.2 30.02- Administrative Grievance Files (5 CFR 771) Disposition Authority Number: DAA-0309-2016-0002-0044

4.3 30.03- Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CF R432) Disposition Authority Number: DAA-0309-2016-0002-0045

4.4 30.04- Reasonable Accommodation Request Records Disposition Authority Number: DAA-0309-2016-0002-0046

5 40 - Office of Communications and Public Liaison

5.1 40.01 Congressional Relations Disposition Authority Number: DAA-0309-2016-0002-004 7

5.2 40.02 State File Disposition Authority Number: DAA-0309-2016-0002-0048

5.3 40.03 Official Portrait Photographs- (Headquarters) - Permanent Disposition Authority Number: DAA-0309-2016-0002-0049

5.4 40.04 Official Portrait Photographs (Field Offices) - Temporary Disposition Authority Number: DAA-0309-2016-0002-0050



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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Reoords Disposition Authority Reccrds Schedule: DAA-0309-2016-0002

5.5

5.6

5.7

5.8

5.9

5.10

5.11

5.12

5.13

5.14

5.15

5.16

5.17

6

6.1

6.2

6.3

6.4

6.5

40.05 Public Relations Files- Permanent


45.06 Public Relations Files- (News Releases) - Permanent


40.07 Digital photos, images and electronic files- Permanent


40.08 Posters- Permanent


40.09 Motion Pictures, Videos, PSI images- Permanent


40.1 OSBA Sponsored "How TO"- Permanent


40.11 Films- Permanent


40.12 Video Recordings- Permanent


40.13 SBA sponsored television public service, or "spot" announcements- Perma

nent


40.14 SBA sponsored "how to" video productions- Permanent


40.15 Recordings of public meetings or speeches- Permanent


40.16 Media appearances by top SBA officials- Permanent


40.17 Sound Recording- Permanent


45 - Office of Hearing and Appeals

45.01 Size Decisions


45.02 Grievance Decisions


45.03 Service-Disabled Veteran Decisions


45.04 Women's Owned Small Business Decisions


45.05 Economically Disadvantaged Women Owned Small Business Decisions


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6.6 45.06 Small Business Investment Company Decisions Disposition Authority Number: DAA-0309-2016-0002-0069

6.7 45.07 Surety Bond Program Decisions Disposition Authority Number: DAA-0309-2016-0002-0070

6.8 45.08 Equal Access to Justice Act Decision Disposition Authority Number: DAA-0309-2016-0002-0071

6.9 45.09 Debt Collection Decisions Disposition Authority Number: DAA-0309-2016-0002-0072

6.10 45.10 North American Industry Classification System Decisions Disposition Authority Number: DAA-0309-2016-0002-0073

6.11 45.11 Women's Business Center Decisions Disposition Authority Number: DAA-0309-2016-0002-007 4

6.12 45.12 Small Business Development Center Decisions Disposition Authority Number: DAA-0309-2016-0002-0075

7 50 - Office of Capital Access

7.1 50.01 Financial Appraisal (General) Disposition Authority Number: DAA-0309-2016-0002-0076

7.2 50.02 Business Loans - (general inquiries) Disposition Authority Number: DAA-0309-2016-0002-0077

7.3 50.03 Liquidation and Disposal (general) Disposition Authority Number: DAA-0309-2016-0002-0078

7.4 50.04 Liquidation - Charged-Off Loans Disbursed by SBA Disposition Authority Number: DAA-0309-2016-0002-0079

7.5 50.05 "Loan Inquiry Record" SBA Form 149 Disposition Authority Number: DAA-0309-2016-0002-0080

7.6 50.06 Loan Servicing (general) Disposition Authority Number: DAA-0309-2016-0002-0081

7.7 50.07 State Development Company Case File (Section 501 loans) Disposition Authority Number: DAA-0309-2016-0002-0082

7.8 50.08 Certified Development Company and State Development Company Loan Files (Section 501-502.503-504 Loans) Disposition Authority Number: DAA-0309-2016-0002-0083

7.9 50.09 Lease Guarantee (general) Disposition Authority Number: DAA-0309-2016-0002-0084

7.10 50.10 Lease Guarantee Reinsurance Files Disposition Authority Number: DAA-0309-2016-0002-0085

50.11 7(a) Business Loans _ Disposi!ion Authority Number: DAA-0309-2016-0002-0086

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7.11

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7.12 50.12 Loan Processing - (general) Disposition Authority Number: DAA-0309-2016-0002-0087

7.13 50.13 Bank Participation Agreements Disposition Authority Number: DAA-0309-2016-0002-0088

7.14 50.14 Blanket Guaranty Agreement SBA Form 750 Disposition Authority Number: DAA-0309-2016-0002-0089

7.15 50.15 Coordination and Liaison (on FA matters) Disposition Authority Number: DAA-0309-2016-0002-0090

7.16 50.16 Eligibility Decisions Disposition Authority Number: DAA-0309-2016-0002-0091

7.17 50.17 Filing and Screening Disposition Authority Number: DAA-0309-2016-0002-0092

7.18 50.18 Surety Bond Guarantee - Regional Offices Disposition Authority Number: DAA-0309-2016-0002-0093

7.19 50.19 Surety Bond Guarantee - Headquarters Disposition Authority Number: DAA-0309-2016-0002-0094

7.20 50.20 RFC Loan Case Files (field offices) Disposition Authority Number: DAA-0309-2016-0002-0095

8 55 - Office of Disaster Assistance

8.1 55.01- Disaster Loans (general) Disposition Authority Number: DAA-0309-2016-0002-0096

8.2 55.02- Disaster Loans (Approved Loans) Disposition Authority Number: DAA-0309-2016-0002-0097

8.3 55.03- Disaster Loans (withdrawn, declined, or canceled applications) Disposition Authority Number: DAA-0309-2016-0002-0098

8.4 55.04- Disaster Declarations Disposition Authority Number: DAA-0309-2016-0002-0099

8.5 55.05- Former and Current Disaster Employees, SBA Form 145- Permanent Disposition Authority Number: DAA-0309-2016-0002-0100

8.6 55.06- DECLINE OF DISASTER DECLARATIONS Disposition Authority Number: DAA-0309-2016-0002-0101

9 60 - Office of Government Contracting

9.1 60.01- Association and Inter-Industry Management Services. Disposition Authority Number: DAA-0309-2016-0002-0102

9.2 60.02- Certificates of Competency (COC) general Disposition Authority Number: DAA-0309-2016-0002-0103

9.3 60.03- Certificate of Competency Case Folders Disposition Authority Number: DAA-0309-2016-0002-0104

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9.4 60.04- Procurement Sources Program Disposition Authority Number: DAA-0309-2016-0002-0105

9.5 60.05- Procurement Contracting Assistance (general) Disposition Authority Number: DAA-0309-2016-0002-0106

9.6 60.06- Prime Contracting Assistance (Case Files) Disposition Authority Number: DAA-0309-2016-0002-0107

9.7 60.07- Procurement Assistance Disposition Authority Number: DAA-0309-2016-0002-0108

9.8 60.08- Property Resources Sales Assistance Disposition Authority Number: DAA-0309-2016-0002-0109

9.9 60.09- Subcontracting Program (Exclusive of 8(a) Disposition Authority Number: DAA-0309-2016-0002-0110

9.10 60.10- Industrial Support (general) Disposition Authority Number: DAA-0309-2016-0002-0111

9.11 60.11- Delinquency (Loan Assistance) Disposition Authority Number: DAA-0309-2016-0002-0112

9.12 60.12- Production Assistance Disposition Authorify Number: DAA-0309-2016-0002-0113

9.13 60.13- Size Determinations Disposition Authority Number: DAA-0309-2016-0002-0114

9.14 60.14- Size Interpretations Disposition Authority Number: DAA-0309-2016-0002-0115

10 65 - Office of Entrepreneurial Development

10.1 65.01 Management Training (general) Disposition Authority Number: DAA-0309-2016-0002-0116

10.2 65.02 Courses, Conferences, and Workshops Disposition Authority Number: DAA-0309-2016-0002-0117

10.3 65.03 Management Training Activity Report Disposition Authority Number: DAA-0309-2016-0002-0118

10.4 65.04 Attendees at Training Programs Disposition Authority Number: DAA-0309-2016-0002-0119

10.5 65.05 Management Assistance (general) Disposition Authority Number: DAA-0309-2016-0002-0120

10.6 65.06 Management Counseling Case Files Disposition Authority Number: DAA-0309-2016-0002-0121

10.7 65.07 Interviews Disposition Authority Number: DAA-0309-2016-0002-0122

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10.9

10.10

10.11

10.12

10.13

10.14

10.15

11

11.1

11.2

11.3

11.4

12

12.1

12.2

12.3

12.4

12.5

12.6

12.7


65.09 Publications- Permanent


65.10 Publications - Field Offices


65.11 SCORE Chapter(s)


65.12 SCORE Volunteers (data on individuals)


65.13 Motion Pictures- Permanent


65.14 Video Recordings- Permanent


65.15 Sound Recordings- Permanent


80 - Office of Business Development

80.01- 8(a) Subcontracts


80.02- 8(a) Subcontracts (Miscellaneous)


80.03- 8(a) Business Plan File


80.04- 8(a) Business Plan Filed (Miscellaneous)


90 - Office of Inspector General

90.01- Schedule of Daily Activities- Permanent


90.02- Congressional Relations


90.03- Congressional- Permanent


90.04- State File


90.05- Legislation


90.06- Legislative History


90.07- General Planning Files

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12.8

12.9

12.10

12.11

12.12

12.13

12.14

12.15

12.16

12.17

12.18

12.19

12.20

12.21

12.22

12.23

12.24

12.25

12.26

Electronic Records Archives

Disposition Authority Number: DM-0309-2016-0002-0141

90.08- Management Challenges Reports


90.09- Semi-Annual Reports- Permanent


90.10- Semi-Annual Reports


90.11- General Letters and Correspondence


90.12-Testimonies- Permanent


90.13- Legislative Hearing Files


90.14- Policy and Procedures Files- Permanent


90.15- Policy and Procedures Files


90.16- Investigative Case Files- Permanent


90.17- Complaint Files


90.18- Sensitive and Significant Investigative Case Files- Permanent


90.19- Under Cover Investigative Files


90.20- Confidential Informant Files


90.21- Investigative Peer Reviews


90.22- Audit Peer Reviews


90.23- Evidence Ledger


90.24- Officer Safety Files - Firearm Certification Form


90.25- Officer Safety Files - Physical Fitness


90.26- Officer Safety Files - LEAP Certifications

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12.27 90.27- Hotline I Whistleblower- Permanent Disposition Authority Number: DAA-0309-2016-0002-0161

12.28 90.28- Security - Derogatory Cases Disposition Authority Number: DAA-0309-2016-0002-0162

12.29 90.29- Security - Non-Derogatory Cases Disposition Authority Number: DAA-0309-2016-0002-0163

13. 95 - Office of Advisory Committees

13.1 95.01 SBA Advisory Councils- Permanent Disposition Authority Number: DAA-0309-2016-0002-0164

13.2 95.02 Advisory Council Reporting Requirements Disposition Authority Number: DAA-0309-2016-0002-0165

13.3 95.03 Computerized Internal Control Review Disposition Authority Number: DAA-0309-2016-0002-0166

13.4 95.04 Formal Internal Control Review (ICR)- Permanent Disposition Authority Number: DAA-0309-2016-0002-0167

13.5 95.05 Vulnerability Assessment Disposition Authority Number: DAA-0309-2016-0002-0168

13.6 95.06 Program Activity Accomplishment Reports- Permanent Disposition Authority Number: DAA-0309-2016-0002-0169

13.7 95.07 Program Activity Accomplishment Reports ~ Field Offices Disposition Authority Number: DAA-0309-2016-0002-0170

13.B 95.08 Economic Analysis and Research - General Disposition Authority Number: DAA-0309-2016-0002-0171

13.9 95.09 Mission, Objectives, and Program Analysis- Permanent Disposition Authority Number: DAA-0309-2016-0002-0172

13.10 95.10 Mission, Objectives, and Program Analysis - Temporary Disposition Authority Number: DAA-0309-2016-0002-0173

13.11 95.11 Technical Monitoring Disposition Authority Number: DAA-0309-2016-0002-017 4

13.12 95.12 Organization and Management Studies Disposition Authority Number: DAA-0309-2016-0002-0175

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Records Schedule Items

Sequence Number

1 00 - Office of Administrator

1.1 00.01 General Subject Correspondence Files - Permanent

Disposition Authority Number DAA-0309-2016-0002-0001

Correspondence, including memoranda, reports, forms, and other communications, maintained in all SBA program offices (HQ and field offices) that pertain to, and document the function of, the office, EXCLUDING adminstrative or housekeeping related records that are covered in GRS 23/1.

Final Disposition

Item Status

Is this item media neutral?

Do any of the records covered by this item currenUy exist in electronic forrnat(s) other than email and word processing?

Do any of the records covered by this item exist as structured electronic data?

GRS or Superseded Authority Citation

Disposition Instruction

Cutoff Instruction

Transfer to the National Archives for Accessioning

Additional Information

What will be the date span of the initial transfer of records to the National Archives?

How frequenUy will your agency transfer these records to the National Archives?

Permanent

Withdrawn

Yes

Yes

Yes

N1-309-86-001

Headquarters, directors and above, regional administrators, district directors, branch managers, post of duty, and disaster area offices. (a) Cut off each CY. FRC to transfer to NARA in 5 year blocks 20 years after cutoff.

Transfer to the National Archives in 5 year blocks 20 year(s) after cutoff

Unknown To Be Determined




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1.2 00.02 Reading or Chronological Files


Extra copies of correspondence prepared and maintained by the originating office, used as a reading or reference file. Note: a record copy must be prepared and filed in the appropriate function/subject file.

Final Disposition Temporary

Item Status Withdrawn

Is this item media neutral? Yes

Do any of the records covered Yes by this item currently exist in electronic format(s) other than email and word processing?

Do any of the records covered Yes

by this item exist as structured

electronic data?

GRS or Superseded Authority N1-309-86-001

Citation


Cutoff Instruction Cutoff each calendar year. Destroy 1 years after cutoff.

Retention Period Destroy 1 year(s) after cutoff


GAO Approval Not Required

1.3 00.03 Committees - Permanent


Includes material pertainingto all officlallyrecognized committees established by SBA, and others of an interagency nature in wh ich SBA has membershipand/or participates in representing the interest of this Agency; also includes lists of SBA members and other membership, cOr.lr.littee releases and publications, etc. File chronologically by commitee name.

Final Disposition Permanent




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. 1.4

Do any of the records covered Yes by this item exist as structured electronic data?

GRS or Superseded Authority N1-309-86-001 Citation


Cutoff Instruction Cutoff each calendar year.

Transfer to Inactive Storage Transfer to FRC 3 years after cutoff. FRC to transfer to NARA in 5 year blocks 20 years after cutoff.

Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20 for Accessioning year(s) after cutoff


What will be the date span of the Unknown initial transfer of records to the National Archives?

To Be Determined

How frequently will your agency Unknown transfer these records to the National Archives?

To Be Determined

00.04 SBA Administrator's Meetings - Permanent


Includes agenda and transcriptsand recordings of meetings, including lists of participants; decisions, etc. Also.statements Dade by or on behalf of the Administrator before Congressional committees.




Do any of the records covered Yes by this Item currently exist in electronic format(s) other than email and word processing?




Cutoff Instruction Headquarters: Cutoff each calendar year



·----------- -- ---------------- ---------------

1.5

..

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Aulhorily Records Schedule: DAA.0309-2016·0002

Transfer to Inactive Storage Transfer to FRC 3 years after cutoff. FRC will transfer to NARA in 5 year blocks 20 years after cutoff.



What will be the date span of the Unknown initial transfer of records to the To Be Determined National Archives?

How frequently will your agency Unknown transfer these records to the To Be Determined National Archives?

00.05 Facilities for Data Processing


Includes punch card, paper, tape, magnetic tape disks and rleated service requirements and usage; machine utilization data; communication usage.




Do any of the records covered by this Item currently exist in electronic format(s) other than email and word processing?

Do any of the records covered by this Item exist as structured electronic data?

Yes

Yes


N1-309-86-001


Cutoff Instruction Cutoff each calendar year. Release for reuse 2 years after cutoff.

Retentlon Period Cutoff each calendar year. Release for reuse 2 years after cutoff.



1.6 00.06 ADP Plans


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016.0002

Includes studies and plans relative to the use and management of ADP and data communications with SBA. File alphabetically by study.




Do any of the records covered by this item currently exist in electronic fonnat(s) other than email and word processing?


Yes

Yes


N1-309-86-001


Cutoff Instruction Cutoff each calendar year following implementation of plan, completlon of study or fulflllment of requirement. Destroy 10 years after cutoff.

Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.




1.7 00.07 ADP Standards


Includes Data Processing Procedures, studies relative to Federal Standardization Program, Federal Information Processing Standards. File by standard or publication.




Do any of the records covered Yes by this item currently exist in electronic fonnat(s) other than email and word processing?

Do any of the records covered Yes by this Item exist as structured electronic data?


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Cutoff Instruction

Retention Period


GAO Approval

Cutoff when standard is superseded or obsolete. Retain 2 years after cutoff then destroy.

Destroy 2 year( s) after cutoff

Not Required

00.08 Headquarters Notices - Permanent


Temporary agency communication, procedures, and information concerning agency programs. Headquarters issuing Notices must maintain a master set.

Final Disposition

Item Status

Is this Item media neutral?

Do any of the records covered by this Item currently exist In electronic format(s) other than email and word processing?




Cutoff Instruction




Permanent

Withdrawn

Yes

Yes

Yes

N1-309-94-001

Cutoff after expired or cancelled. Notices issued by Headquarters are permanent and must be retained as part of the directives system by issuing offices. Paper records destroy after microfilm has been verified by SBA staff that an accurate and correct copy has been made. Transfer expired notices to NARA in 5 year blocks, 20 years after cutoff.





1.9

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Recon:ls Disposition Authority Records Schedule: DAA-0309·2016-0002

How frequenUy will your agency Unknown

transfer these records to the To Be Determined National Archives?

00.09 Program Office Notices - Permanent


Temporary agency communication, procedures, and information concerning agency programs. Program offices issuing must maintain a desk reference set of Notices.




Do any of the records covered Yes by this Item currenUy exist in electronic format(s) other than e· mail and word processing?



Citation


Cutoff Instruction Notices issued by Program Offices are permanent and must be retained as part of the directives system by the issuing office. Paper Records Destroy after microfilm has been verified by SBA staff that an accurate and correct copy has been made.



What will be the date span of the Unknown

initial transfer of records to the To Be Determined National Archives?

How frequenUy will your agency Unknown


00.10 District Office Notices - Permanent

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1.10

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-0309·2016-0002


Temporary agency communication, procedures, and information concerning agency programs. All District Offices maintain desk reference set issued from HQ.

Final Disposition

Item Status


Do any of the records covered by this item currently exist in electronic format(s) other than email and word processing?




Cutoff Instruction




How frequently will your agency transfer these records to the National Archives?

00.11 Facsimile Files

Disposition Authority Number

Permanent

Withdrawn

Yes

Yes

Yes

N1-309-94-001

Cutoff after expired or cancelled. Notices issued by District Offices are permanent and must be retained as part of the directives system by issuing offices. Paper records destroy after microfilm has been verified by SBA staff that an accurate and correct copy has been made. Offer expired notices to NARA in 5 year blocks, 20 years after cutoff.




DAA-0309-2016-0002-0011

Copies of incoming messages and original outgoing messages, and miscellaneous correspondence.




1.11

1.12

WITHDRAWN - RETURNED WI , .~OUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority

Item Status


Do any of the records covered by this Item currently exist in electronic format(s) other than email and word processing?




Cutoff Instruction

Retention Period


GAO Approval

Records Schedule: DAA-0309-2016-0002

Withdrawn

Yes

Yes

Yes

N1-309-86-001

Cutoff each calendar year. Destroy 1 year after cutoff.

Destroy 1 year(s) after cutoff

Not Required

00.12 Federal Register Materials


Includes items forwarded to the Federal Register for publications; viz: delegations,

organizational material, listing of Agency officials, etc.





by this item currently exist in

electronic format(s) other thane-

mail and word processing?




Cutoff Instruction

Transfer to Inactive Storage

Retention Period

Yes

N 1-309-86-001

Cut off each calendar year. Transfer to FRC 2 years

after cutoff. Destroy 6 years after cutoff.

Transfer to FRC 2 years after cutoff.

Destroy 6 year( s) after cutoff

Eleclronlc Records Archives Page 20 of 139 PDF Created on: 10/13/2017


1.13

WITHDRAWN - RETURNED WI 1 .~OUT ACTION




00.13 Delegations of Authority- Permanent


Includes materials pertaining to the issuance of delegations of authority to key SBA officials and lines of succession to the principal positions within the agency. File numerically, by date of issuance. A) Central Office maintain records copy.




Do any of the records covered Yes by this item currenHy exist in electronic format(s) other than email and word processing?




Cutoff Instruction Cutoff when delegation or lines of succession are canceled or superseded. Headquarters Office these are permanent records and HQ will retain a master set of all delegations as official record copy. A master set of current lines of succession will also be retained.






00.14 Delegations of Authority- Temporary

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1.14

1.15

WITHDRAWN - RETURNED WI 11-iOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016-0002


Includes materials pertaining to the issuance of delegations of authority to key SBA officials and lines of succession to the principal positions within the agency. File numerically, by date of issuance. District &Regional Offices maintain current copy.






electronic format(s) other than email and word processing?



electronic data?


Citation


Cutoff Instruction Cutoff when delegation is cancelled or superseded; same for llnes of succession.

Retention Period District and Regional Offices will maintain only current sets of delegations and llnes of succession applicable to offices involved. Superseded or canc,:elled issuances to be destroyed after cutoff.



00.15 Checklist- Permanent


Weekly compilation of SBA's issuances and cancellations of Standard Operating Procedures (SOP's), Notices, and forms.




Do any of the records covered Yes by this item currently exist in



by this Item exist as structured

electronic data?

Electronic Records Archives Page 22 of 139 PDF Created on: 10/13/2017


1.16

WITHDRAWN - RETURNED WI •1-fOUT ACTION




Cutoff Instruction Cut off each calendar year.


Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20

for Accessioning year(s) after cutoff




00.16 Checklist-Temporary


Weekly compilation of SBA's issuances and cancellations of Standard Operating Procedures (SOP's), Notices, and forms..




Do any of the records covered Yes by this Item currently exist in electronic forrnat(s) other than email and word processing?




Cutoff Instruction Cut off each calendar year. District & Regional offices. Destroy 1 year after cutoff.



Electronic Records Archives Page 23 of 139 PDF Created on: 10/13/2017


1.17

1.18


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-11309-2016-11002


00.17 Section 7 Contracts


Includes all contracts and related papers and reports prepared under authority of Title IV, Section 406, Economic Opportunity Act of 1964, as amended. File numerically by contract number.








Cutoff Instruction Cutoff when contract has been completed, or terminated by other means. Destroy 6 years 3 months after cutoff.


Retention Period Destroy 6 year(s) and 3 month(s) after cutoff



00.18 Section 7 Grants and Cooperative Agreements


Includes all grants, and related papers and reports prepared under authority of Title IV, Section 406,Economic Opportunity Act of 1964, as amended. File alphabetically by name of grantee.




Do any of the records covered Yes by this Hem currenUy exist in



1.19


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA.0309-2016.0002





Cutoff Instruction

Retention Period


GAO Approval

00.19 Informal Meetings

Disposition Authority Number

Yes

N1-309-86-001

Cutoff when work to be performed under provisions of grants or cooperative agreements have been completed or terminated by other means. Destroy 10 years after final action is taken on file.

Destroy 10 year(s) after final action is taken on file.

Not Required

DAA-0309-2016-0002-0019

Includes engagements, invitations, visits, etc.

Finai"Disposition

Item Status


Do any of the records covered by this Item currently exist In electronic format(s) other than email and word processing?




Cutoff Instruction

Retention Period


GAO Approval

Temporary

Withdrawn

Yes

Yes

Yes

N1-309-86-001

Destroy 1 year after cutoff.


Not Required

00.20 Associate Assistant and Regional Administrator's Meetings



1.20

1.21

WITHDRAWN - RETURNED wr iOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request far Records Disposition Authority Records Schedule: DAA-0309-2018-0002


Includes agendas, transcripts, and recordings of meetings, list of participants,

decisions, etc.

Final Disposition

Item Status


Do any of the records covered by this item currently exist in electronic format(s) other than email and word processing?




Cutoff Instruction

Retention Period


GAO Approval

Temporary

Withdrawn

Yes

Yes

Yes

N1-309-86-001

Cutoff each calendar year. Destroy 2 years after cutoff.


Not Required

00.21 Rejected Grant Application Files


Application memoranda, correspondence and other records relating to rejected grant proposals. File numerically based on grant type.







electronic data?

GRS or Superseded Authority N 1-309-90-02

Citation

Disposition Instruction Electronic Records Archives Page 26 of 139 PDF Created on: 10/1312017


1.22


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority

Cutoff Instruction

Retention Period


GAO Approval

Records Schedule: DAA-0309-2016-0002

Cutoff each fiscal year. Destroy 3 years after cutoff.


Not Required

00.22 Formal Directives, Procedural and Operating Manuals


Includes formal directives distributed as orders, circulars, loose-leaf manual form announcing major changes in SBA's policies and procedures.These are issued by the Administrator. Extensive procedures are detailed in SBA's SOP's.

Final Disposition

Item Status


Do any of the records covered by this item currently exist In electronic fonnat(s) other than email and word processing?




Cutoff Instruction

Retention Period


GAO Approval

Temporary

Withdrawn

Yes

Yes

Yes

N1-309-90-02

Cutoff when directive has been issued in final. a) Paper records- Destroy after microfilm has been verified by SBA staff that an accurate and correct copy has been made.

Cutoff when directive has been issued in final. a) Paper records- Destroy after microfilm has been verified by SBA staff that an accurate and correct copy has been made.

Not Required

00.23 Formal Directives, Procedural and Operating Manuals - Permanent


Includes formal directives distributed as orders, circulars, loose-leaf manual form announcing major changes in SBA's policies and procedures. These are issued by the Administrator.Extensive procedures are detailed in SBA's SOP's.

Electronic Records Archives Page ZT of 139 PDF Created on: 10/1312017


1.23

WITHDRAWN - RETURNED WI • .-IOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Aulhority

Final Disposition

Item Status






Cutoff Instruction




How frequently will your agency transfer these records to the National Archives?

Electronic/Digital

Paper

Microform

Hardcopy or Analog Special Media

Records Schedule: DAA.0309-2016.0002

Permanent

Withdrawn

Yes

Yes

Yes

N1-309-90-02

Microfiche. These are permanent records. After verification process, store offsite. Transfer silverbased microfiche and one diazo to NARA in 5-year blocks. Destroy other diazo copies when no longer needed.

Microfiche- After verification process, store offsite. Transfer silver-based microfiche and one diazo to NARA in five year blocks. Destroy other diazo copies when no longer needed.



Estimated Current Volume Annual Accumulation

1 Linear feet of microfiche 1 Microfilm rolls

Eleclronlc Records Arch1Ves Page 28 of 139 PDF Created on: 10/1312017


1.24

WITHDRAWN - 'RETURNED WI' ••iOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Aulharity Records Schedule: DAA.0309-2016.0002

00.24 Organizational Files


Includes organizational charts, reorganizational studies and functional statements. Graphic illustrations provide a detailed description of the arrangement and administrative structure of the functional units of SBA. Reorganization studies are conducted to design an efficient organizational framework most suited to carrying out SSA's programs and include materials such as final recommendations, proposals, and staff evaluations. These tiles also contain administrative maps that show the regional boundaries and Headquarters of decentralized agencies or that show the geographic extent or limits of SSA's programs and projects. Functional statements are formally prepared descriptions of the responsibilities assigned to the senior executive officers of SBA at the division level and above. If the functional statements are printed in Code of Federal Regulations (CFR). they are not designated for preservation as a separate series.






electronic format(s) other thane-




electronic data?

GRS or Superseded Authority N 1-309-90-02

Citation


Cutoff Instruction Cutoff when updated. Transfer to NARA in 5 year blocks when 10 years old.

Transfer to the National Archives Cutoff when updated. Transfer to NARA in 5 year for Accessioning blocks when 10 years old.



initial transfer of records lo the To Be Determined National Archives?

How frequently will your agency Unknown


Eleclronlc Records Archives Paga 29 of 139 PDF Created an: 10/1312017


1.25

1.26

WITHDRAWN - RETURNED WI 1 rlOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authon'ly Records Schedule: DAA.0309-2016-0002

00.25 Grants and Agreements with Institutions of Higher Education and Other Nonprofit Organizations - Grant Case Files


Includes financial records, supporting documents, statistical records and all other records pertaining to agreements and issuances by the Office of Small Business Development Centers. Cutoff from date of annual financial status report.

Final Disposition

Item Status'


Do any of the records covered by this Hem currenUy exist in electronic format(s) other than e· mail and word processing?




Retention Period


GAO Approval

Temporary

Withdrawn

Yes

Yes

Yes

N 1-309-90-02

Destroy 10 year(s) after final action is taken on file.

Not Required

00.26 Grants and Agreements with Institutions of Higher Education and Other Nonprofit Organizations - Program Files


Includes financial records, supporting documents, statistical records and all other records pertaing to agreements and issuances y the Office of Small Business Development Centers. Cutoff from date of annual financial status report.




Do any of the records covered Yes by this item currenUy exist In electronic format(s) other than email and word processing?


Electronic Records Archives P1111e 30of139 PDF Created on: 10/1312017


WITHDRAWN RETURNED wr.. iOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Authority Records Schedule: DAA-0309-2016-0002


Citation


Cutoff Instruction Cutoff from date of annual financial status report.

Retention Period Cutoff from date of annual financial status report. Destroy when 3 years old



2 05 - Office of the Ombudsman

2.1 05.01 Comments by small entities jurisdictional - Permanent


Includes comments from small businesses and others authorized by SBREFA (Small Business Regulatory Enforcement Fairness Act) to seek high-level review of Federal agencies which took regulatory enforcement action disputed by commenter and Federal agencies responses.




Do any of the records covered Yes by this item currenUy exist in electronic format(s) other than email and word processing?



Citation


Cutoff Instruction Cutoff each fiscal year.

Transfer to Inactive Storage Transfer to FRC 3 years after cutoff. FRC will transfer to NARA 15 years after cutoff.

Transfer to the National Archives Transfer to the National Archives 15 year(s) after for Accessioning cutoff



iniUal transfer of records to the To Be Determined National Archives?

Electronic Records Archives Paga 31of139 PDF Created on: 10/13/2017



NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016·0002



2.2 05.02 Comments by small entities- non-jurisdictional - Temporary


Includes comments from small businesses and others seeking review of Federal agency actions other than regulatory enforcement and Federal agencies responses.









electronic data?


Citation







2.3 05.03 Records of the Office of the National Ombudsman Hearings and Roundtables - Permanent


Hearing Transcripts. Consist of records relating to the planning and execution of hearing and roundtables. Includes list of participants, proposed agendas, travel arrangements, and other records that are used to prepare for hearings and roundtables.



Is this item media neutral? Yes Electronic Records Archives Page 32 of 139 PDF Craated an: 10/1312017


2.4


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Aulhority Records Schedule: DAA.0309-2016-0002






Transfer to Inactive Storage Transfer to FRC 3 years after cutoff. FRC to transfer to NARA 15 years after cutoff.

Transfer to the National Archives Transfer to the National Archives 15 year(s) after for Accessioning cutoff ·




05.04 Records of the Office of the National Ombudsman Hearings and Roundtables

Disposition Authority Number DM-0309-2016-0002-0030

Planning/Working Files. Consist of records relating to the planning and execution • of hearing and roundtables. Includes list of participants, proposed agendas,

travel arrangements, and other records that are used to prepare for hearings and roundtables.



Is this Item media neutral? Yes


by this item currently exist In




electronic data?

Eleclronic Records Archives Page 33 of 139 PDF Created on: 10/1312017


2.5

WITHDRAWN - RETURNED WI' ••-IOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-0309-2018-0002


Citation


Cutoff Instruction Cutoff after each Hearing or Roundtable. Destroy 5 years after cutoff.




05.05 Annual Reports to Congress - Permanent


Includes published versions transmitted to committees of the Congress, as required by SBREFA, the ONO's authorizing statute, the Small Business Paperwork Relief Act (SBPRA): or other laws.







Citation


Cutoff Instruction Cutoff each fiscal year. Transfer to FRC 3 years after cutoff. FRC to transfer to NARA 15 years after cutoff. Note: The ONO will keep reference copies indefinitely.


Transfer to the National Archives Transfer to the National Archives 15 year(s) after for.Accessioning cutoff



initial transfer of records to the To Be Determined National Archives?

Eleclronic Records Archives Page 34 of 139 PDF Created on: 10/1312017


WITHDRAWN - RETURNED wr. If OUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Reoords Disposition Au1hor1ty Reoords Schedule: DAA.0309.2016.0002



2.6 05.06 Annual Regulatory Fairness Board meetings (required by SBREFA) agenda, minutes, preparations.


At annual meetings are forums SBA Regulatory Fairness Board members advise the Ombudsman on enforcement matters and compliance trends.






electronic fonnat(s) other than email and word processing?



electronic data?


Citation


Cutoff Instruction Cutoff each fiscal year. Destroy 5 years after cutoff. Note: The ONO will keep reference copies indefinitely.

Transfer to Inactive Storage Transfer to NARA 3 years after cutoff.




2.7 05.07 Board Member Files


Regulatory Fairness Board members- appointments, actions, ideas on SBREFA,

members travel.




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2.8

WITHDRAWN ... RETURNED wr .. -tOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authon"\y Records Schedule: DAA-0309-2018-0002


by this item currenUy exist in




electronic data?


Citation







05.08 Federal Inter-agency SBREFA meetings


Includes agenda, planning documents, Federal Register notices, invitation e-mails, sign-in sheets, etc.







electronic data?


Citation






3.2


NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authorily Records Schedule: DAA-0309..2016-0002

3

3.1




10 - Office of Investment and Innovation

10.01 License Application- Withdrawn and/or Disapproved Case Folder


Includes denied or withdrawn proposals or applications with supporting exhibits and related correspondence. File numerically by license number or alphabetically by name of applicant.

Final Disposition

Item Status






Cutoff Instruction

Retention Period


GAO Approval

Temporary

Withdrawn

Yes

Yes

Yes

N1-309-86-001

Cutoff on notification of action taken.


Not Required

10.02 Investment Administration


Miscellaneous material and general correspondence that does not pertain to a specific applicant or licensee. such as, inquiries from persons seeking interviews and counseling with licensees, general information on investment program, etc. File alphabetically by name of firm or inquirer.

Final Disposition

Item Status


Temporary

Withdrawn

Yes



3.3

WITHDRAWN - RETURNED WI'. 1-iOUT ACTION







electronic data?


Citation


Cutoff Instruction Cutoff each calendar year. Destroy 1 year after cutoff.




10.03 Statutory Provisions, Interpretations, SBIC Advisory Council, and lnteragency Relationships


Includes general material pertaining to SBIC legislation (exclusiveof OGC material filed under OG.C categories), rules and regulations, matters on SBIC Adviosry Councll, and interagency relationships with SEC, Internal Revenue and other agencies on investment matters that do not involve a specific applicant or licensee.




Do any of the records covered Yes by this itam currently exist in electronic format(s) other than email and word processing?



electronic data?


Citation


Cutoff Instruction Cutoff each calendar year. Destroy 6 year after cutoff.


Electronic Records An:hlves Paga 38 of 139 PDF Created on: 10/1312017


WITHDRAWN - RETURNED wr. I iOUT ACTION


Retention Period Destroy 6 year( s) after cutoff



3.4 10.04 License Folder- SBIC's - MESBIC's


Includes all documentation and material pertaining to the initial processing of business applications and the granting of licenses. Also includes all material and documentation evidencing amendments to the license application, including all applications for such amendments.









electronic data?


Citation


Cutoff Instruction Cutoff after licensed is cancelled or surrendered. Destroy 6 year and 3 months after cutoff.





3.5 10.05 License Operations Case Folder(s)


Includes all documentation and material related to regulating, and to the operation of licensees including financial reports, examination reports, and correspondence to and from licensee.



Is this item media neutral? Yes Electronic Records Archives Paga 39 of 139 PDF Created an: 10/13/2017


3.6

WITHDRAWN - RETURNED WI' ••-fOUT ACTION



by this item currenUy exist in




electronic data?



Cutoff Instruction Cutoff after licensed is cancelled or surrendered. Destroy 6 year and 3 months after cutoff.





10.06 SBIC Liquidations


Includes all SBIC liquidation cases that have been paid in full through liquidation or charged-off final by SBA-327 or otherwise.







Citation


Cutoff Instruction Cutoff when paid-in-full or charged off-final. Destroy 6 years after cutoff.


Retention Period Destroy 6 year( s) after cutoff



WITHDRAWN - RETURNED wr. 1iOUT ACTION




3.7 10.07 SBIC Liquidations (charged-off)


Includes all SBIC liquidation cases that have been charged-off by SBA 327 or otherwise








Cutoff Instruction Cutoff at the end of the calendar year in which case was charged-off. Destroy 6 year and 3 months after cutoff.




3.8 10.08 Examination Project Files


Includes folders covering: (a) data applicable to the current examination; (b) historical SBIC corporate information; (c) material on portfolio small business concerns; (d) prior examination reports and related correspondence; (e) SBA required financial report submissions by the SBIC and (f) analysis of various balance sheet accounts, and related data




Do any of the records covered by this item currenUy exist in

Eleclronlc Records Archives

Yes

Page 41 of 139 PDF Created on: 10/1312017


WITHDRAWN - RETURNED WI', .-IOUT ACTION


electronic format(s) other than e




Citation


Cutoff Instruction Cutoff at the end of the fiscal year license is cancelled or surrendered by any means. Transfer to FRC 2 years after cutoff. Destroy 10 years after cutoff.





4 30 - Office of Human Resource Solutions

4.1 30.01-Training Records


One copy of each manual, syllabus, textbook, and other aid developed by SBA or contracted by SBA that reflects the Agency's mission. b. Record copy of each manual, syllabus, textbook, and other training aid for housekeeping, facilitative, and other non-program function.







Citation


Electronic Records Archives Page 42 of 139 PDF Craated on: 10/1312017


4.2

WITHDRAWN - RETURNED wr.. iOU.T ACTION


Cutoff Instruction

Transfer to Inactive Storage



What will be the date span of the initial transfer of records to the National Archives? How frequently will your agency transfer these records to the National Archives?

Electronic/Digital

Paper

Microform

Hardcopy or Analog Special Media

Cutoff when materials are superseded. Transfer to NARA when 10 years old in 5 year blocks. Volume on hand: 5 cubic feet.

Transfer to FRC 2 years after cutoff.




Estimated Current Volume Annual Accumulation

5 Cubic feet

30.02- Administrative Grievance Files (5 CFR 771)


Includes records relating to employee grievances, except EEO complaints, i.e., statement of witnesses, reports of interviews and hearings, recommendations, the original decision, related correspondence and exhibits, and records relating to a reconsideration request.





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4.3



Do any of the records covered Yes by this item exist as structured electronic data? GRS or Superseded Authority N1-309-86-001

Citation


Retention Period Destroy 7 years after case has closed. The 7 year retention period applies to all cases, new, open and closed. Restrictions Privacy Act. SBA Systems of Records No. SBA 060.



30.03- Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432)


Includes files relating to removal, suspension, reduction-in-grade, and furlough against employees. The file includes a copy of the proposed adverse action and supporting documents, statements of witnesses, employee's reply, hearing notices, reports and decisions, reversal of action, and appeal records. Excluding letters of reprimand which are filed in the Official Personnel File (OPF).







Citation


Retention Period Destroy 7 years after case is closed. Restrictions Privacy Act. Office of Personnel Management (OPM) System of Records No. OPM/GOVT-3. The retention period applies to all files, closed, open or new cases.


Elactronlc Records Archives Page 44 of 139 PDF Created on: 10/1312017


4.4

WITHDRAWN - RETURNED wr -IOUT ACTION

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Authority Records Schedule: DAA.0309-2016-0002

5

5.1


30.04- Reasonable Accommodation Request Records


Information created and maintained while receiving, coordinating and reporting requests for reasonable accommodation from federal employees and applications under the Rehabilitation Act of 1973 and Executive Order 13161.




Do any of the records covered Yes by this item currenUy exist in electronic fOnnat(s) other than email and word process

· WITHDRAWN - RETURNED WI 1 .-IOUT ACTION NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request...

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