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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Number of Total Disposition Number of Permanent Number of Temporary Number of Withdrawn Items Disposition Items Disposition Items Disposition Items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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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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1.18 00.18 Section 7 Grants and Cooperative Agreements
Disposition Authority Number: DAA-0309-2016-0002-0018
1.19 00.19 Informal Meetings
Disposition Authority Number: DAA-0309-2016-0002-0019
1.20 00.20 Associate Assistant and Regional Administrator's Meetings
Disposition Authority Number: DAA-0309-2016-0002-0020
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
Disposition Authority Number: DAA-0309-2016-0002-0022
1.23 00.23 Formal Directives, Procedural and Operating Manuals - Permanent
Disposition Authority Number: DAA-0309-2016-0002-0023
1.24 00.24 Organizational Files
Disposition Authority Number: DAA-0309-2016-0002-0024
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
Disposition Authority Number: DAA-0309-2016-0002-0027
2.2 05.02 Comments by small entities- non-jurisdictional - Temporary
Disposition Authority Number: DAA-0309-2016-0002-0028
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
2.8 05.08 Federal Inter-agency SBREFA meetings Electronic Records Archives Page3of139 PDF Created on: 10/1312017
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Disposition Authority Number: DAA-0309-2016-0002-0034
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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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
Disposition Authority Number: DAA-0309-2016-0002-0051
45.06 Public Relations Files- (News Releases) - Permanent
Disposition Authority Number: DAA-0309-2016-0002-0052
40.07 Digital photos, images and electronic files- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0053
40.08 Posters- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0054
40.09 Motion Pictures, Videos, PSI images- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0055
40.1 OSBA Sponsored "How TO"- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0056
40.11 Films- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0057
40.12 Video Recordings- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0058
40.13 SBA sponsored television public service, or "spot" announcements- Perma
nent
Disposition Authority Number: DAA-0309-2016-0002-0059
40.14 SBA sponsored "how to" video productions- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0060
40.15 Recordings of public meetings or speeches- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0061
40.16 Media appearances by top SBA officials- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0062
40.17 Sound Recording- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0063
45 - Office of Hearing and Appeals
45.01 Size Decisions
Disposition Authority Number: DAA-0309-2016-0002-0064
45.02 Grievance Decisions
Disposition Authority Number: DAA-0309-2016-0002-0065
45.03 Service-Disabled Veteran Decisions
Disposition Authority Number: DAA-0309-2016-0002-0066
45.04 Women's Owned Small Business Decisions
Disposition Authority Number: DAA-0309-2016-0002-0067
45.05 Economically Disadvantaged Women Owned Small Business Decisions
Disposition Authority Number: DAA-0309-2016-0002-0068
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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
Disposition Authority Number: DAA-0309-2016-0002-0123
65.09 Publications- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0124
65.10 Publications - Field Offices
Disposition Authority Number: DAA-0309-2016-0002-0125
65.11 SCORE Chapter(s)
Disposition Authority Number: DAA-0309-2016-0002-0126
65.12 SCORE Volunteers (data on individuals)
Disposition Authority Number: DAA-0309-2016-0002-0127
65.13 Motion Pictures- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0128
65.14 Video Recordings- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0129
65.15 Sound Recordings- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0130
80 - Office of Business Development
80.01- 8(a) Subcontracts
Disposition Authority Number: DAA-0309-2016-0002-0131
80.02- 8(a) Subcontracts (Miscellaneous)
Disposition Authority Number: DAA-0309-2016-0002-0132
80.03- 8(a) Business Plan File
Disposition Authority Number: DAA-0309-2016-0002-0133
80.04- 8(a) Business Plan Filed (Miscellaneous)
Disposition Authority Number: DAA-0309-2016-0002-0134
90 - Office of Inspector General
90.01- Schedule of Daily Activities- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0135
90.02- Congressional Relations
Disposition Authority Number: DAA-0309-2016-0002-0136
90.03- Congressional- Permanent
Disposition Authority Number: DAA-0309-2016-0002-0137
90.04- State File
Disposition Authority Number: DAA-0309-2016-0002-0138
90.05- Legislation
Disposition Authority Number: DAA-0309-2016-0002-0139
90.06- Legislative History
Disposition Authority Number: DAA-0309-2016-0002-0140
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
Disposition Authority Number: DM-0309-2016-0002-0142
90.09- Semi-Annual Reports- Permanent
Disposition Authority Number: DM-0309-2016-0002-0143
90.10- Semi-Annual Reports
Disposition Authority Number: DM-0309-2016-0002-0144
90.11- General Letters and Correspondence
Disposition Authority Number: DM-0309-2016-0002-0145
90.12-Testimonies- Permanent
Disposition Authority Number: DM-0309-2016-0002-0146
90.13- Legislative Hearing Files
Disposition Authority Number: DM-0309-2016-0002-0147
90.14- Policy and Procedures Files- Permanent
Disposition Authority Number: DM-0309-2016-0002-0148
90.15- Policy and Procedures Files
Disposition Authority Number: DM-0309-2016-0002-0149
90.16- Investigative Case Files- Permanent
Disposition Authority Number: DM-0309-2016-0002-0150
90.17- Complaint Files
Disposition Authority Number: DM-0309-2016-0002-0151
90.18- Sensitive and Significant Investigative Case Files- Permanent
Disposition Authority Number: DM-0309-2016-0002-0152
90.19- Under Cover Investigative Files
Disposition Authority Number: DM-0309-2016-0002-0153
90.20- Confidential Informant Files
Disposition Authority Number: DM-0309-2016-0002-0154
90.21- Investigative Peer Reviews
Disposition Authority Number: DM-0309-2016-0002-0155
90.22- Audit Peer Reviews
Disposition Authority Number: DM-0309-2016-0002-0156
90.23- Evidence Ledger
Disposition Authority Number: DM-0309-2016-0002-0157
90.24- Officer Safety Files - Firearm Certification Form
Disposition Authority Number: DM-0309-2016-0002-0158
90.25- Officer Safety Files - Physical Fitness
Disposition Authority Number: DM-0309-2016-0002-0159
90.26- Officer Safety Files - LEAP Certifications
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Disposition Authority Number: DAA-0309-2016-0002-0160
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
Unknown To Be Determined
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1.2 00.02 Reading or Chronological Files
Disposition Authority Number DAA-0309-2016-0002-0002
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
Disposition Instruction
Cutoff Instruction Cutoff each calendar year. Destroy 1 years after cutoff.
Retention Period Destroy 1 year(s) after cutoff
Additional Information
GAO Approval Not Required
1.3 00.03 Committees - Permanent
Disposition Authority Number DAA-0309-2016-0002-0003
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
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?
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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
Disposition Instruction
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
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0004
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.
Final Disposition Permanent
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
Disposition Instruction
Cutoff Instruction Headquarters: Cutoff each calendar year
Electronic Records Archives Page 14of139 PDF Created on: 10/1312017
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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.
Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20 for Accessioning year(s) after cutoff
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0005
Includes punch card, paper, tape, magnetic tape disks and rleated service requirements and usage; machine utilization data; communication usage.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
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
GRS or Superseded Authority Citation
N1-309-86-001
Disposition Instruction
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.
Additional Information
GAO Approval Not Required
1.6 00.06 ADP Plans
Disposition Authority Number DAA-0309-2016-0002-0006
Eleclronlc Records Archives Page 15of139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
WITHDRAWN - RETURNED W~ 1 HOUT ACTION
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.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered by this item currently exist in electronic fonnat(s) other than email and word processing?
Do any of the records covered by this item exist as structured electronic data?
Yes
Yes
GRS or Superseded Authority Citation
N1-309-86-001
Disposition Instruction
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.
Retention Period Destroy 10 year(s) after cutoff
Additional Information
GAO Approval Not Required
1.7 00.07 ADP Standards
Disposition Authority Number DAA-0309-2016-0002-0007
Includes Data Processing Procedures, studies relative to Federal Standardization Program, Federal Information Processing Standards. File by standard or publication.
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 fonnat(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
Electronic Records Archives Page 16of139 PDF Created an: 10/1312017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposiUon Authority Records Schedule: DAA-0309-2018-0002
Disposition Instruction
Cutoff Instruction
Retention Period
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0008
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?
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?
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.
Transfer to the National Archives in 5 year blocks 20 year(s) after cutoff
Unknown To Be Determined
Electronic Records Archives Page 17of139 PDF Created on: 10/1312017
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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
Disposition Authority Number DAA-0309-2016-0002-0009
Temporary agency communication, procedures, and information concerning agency programs. Program offices issuing must maintain a desk reference set of Notices.
Final Disposition Permanent
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this Item currenUy exist in electronic format(s) other than e· mail and word processing?
Do any of the records covered Yes by this item exist as structured electronic data?
GRS or Superseded Authority N1-309-94-001
Citation
Disposition Instruction
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.
Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20 for Accessioning year(s) after cutoff
Additional Information
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
transfer these records to the To Be Determined National Archives?
00.10 District Office Notices - Permanent
Electronic Records An:hives Page 18ol139 PDF Created on: 10/13/2017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-0309·2016-0002
Disposition Authority Number DAA-0309-2016-0002-0010
Temporary agency communication, procedures, and information concerning agency programs. All District Offices maintain desk reference set issued from HQ.
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?
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 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.
Transfer to the National Archives in 5 year blocks 20 year(s) after cutoff
Unknown To Be Determined
Unknown To Be Determined
DAA-0309-2016-0002-0011
Copies of incoming messages and original outgoing messages, and miscellaneous correspondence.
Final Disposition Temporary
Electronic Records Archives Page 19of139 PDF Created on: 10/13/2017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority
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?
Do any of the records covered by this Item exist as structured electronic data?
GRS or Superseded Authority Citation
Disposition Instruction
Cutoff Instruction
Retention Period
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0012
Includes items forwarded to the Federal Register for publications; viz: delegations,
organizational material, listing of Agency officials, etc.
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 thane-
mail 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 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
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1.13
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
Additional Information
GAO Approval Not Required
00.13 Delegations of Authority- Permanent
Disposition Authority Number DAA-0309-2016-0002-0013
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.
Final Disposition Permanent
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenHy 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
Disposition Instruction
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.
Transfer to Inactive Storage Transfer to FRC 5 years after cutoff.
Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20 for Accessioning year(s) after cutoff
Additional Information
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?
00.14 Delegations of Authority- Temporary
Electronic Records Archives Page 21 of 139 PDF Created on: 10/1312017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016-0002
Disposition Authority Number DAA-0309-2016-0002-0014
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.
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
Disposition Instruction
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.
Additional Information
GAO Approval Not Required
00.15 Checklist- Permanent
Disposition Authority Number DAA-0309-2016-0002-0015
Weekly compilation of SBA's issuances and cancellations of Standard Operating Procedures (SOP's), Notices, and forms.
Final Disposition Permanent
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?
Electronic Records Archives Page 22 of 139 PDF Created on: 10/13/2017
WITHDRAWN - RETURNED WITHOUT ACTION
1.16
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016.0002
GRS or Superseded Authority N1-309-94-001 Citation
Disposition Instruction
Cutoff Instruction Cut off each calendar year.
Transfer to Inactive Storage Transfer to FRC 5 years after cutoff.
Transfer to the National Archives Transfer to the National Archives in 5 year blocks 20
for Accessioning year(s) after cutoff
Additional Information
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?
00.16 Checklist-Temporary
Disposition Authority Number DAA-0309-2016-0002-0016
Weekly compilation of SBA's issuances and cancellations of Standard Operating Procedures (SOP's), Notices, and forms..
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 forrnat(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 N1-309-94-001 Citation
Disposition Instruction
Cutoff Instruction Cut off each calendar year. District & Regional offices. Destroy 1 year after cutoff.
Retention Period Destroy 1 year(s) after cutoff
Additional Information
Electronic Records Archives Page 23 of 139 PDF Created on: 10/13/2017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-11309-2016-11002
GAO Approval Not Required
00.17 Section 7 Contracts
Disposition Authority Number DAA-0309-2016-0002-0017
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.
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 N1-309-94-001 Citation
Disposition Instruction
Cutoff Instruction Cutoff when contract has been completed, or terminated by other means. Destroy 6 years 3 months after cutoff.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 6 year(s) and 3 month(s) after cutoff
Additional Information
GAO Approval Not Required
00.18 Section 7 Grants and Cooperative Agreements
Disposition Authority Number DAA-0309-2016-0002-0018
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.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this Hem currenUy exist in
Electronic Records Archives Page 24 of 139 PDF Created on: 10/1312017
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1.19
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA.0309-2016.0002
electronic format(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
Retention Period
Additional Information
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
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?
Do any of the records covered by this Item exist as structured electronic data?
GRS or Superseded Authority Citation
Disposition Instruction
Cutoff Instruction
Retention Period
Additional Information
GAO Approval
Temporary
Withdrawn
Yes
Yes
Yes
N1-309-86-001
Destroy 1 year after cutoff.
Destroy 1 year(s) after cutoff
Not Required
00.20 Associate Assistant and Regional Administrator's Meetings
Electronic Records Archives Page 25 of 139 PDF Created on: 10/1312017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request far Records Disposition Authority Records Schedule: DAA-0309-2018-0002
Disposition Authority Number DAA-0309-2016-0002-0020
Includes agendas, transcripts, and recordings of meetings, list of participants,
decisions, etc.
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?
Do any of the records covered by this item exist as structured electronic data?
GRS or Superseded Authority Citation
Disposition Instruction
Cutoff Instruction
Retention Period
Additional Information
GAO Approval
Temporary
Withdrawn
Yes
Yes
Yes
N1-309-86-001
Cutoff each calendar year. Destroy 2 years after cutoff.
Destroy 2 year(s) after cutoff
Not Required
00.21 Rejected Grant Application Files
Disposition Authority Number DAA-0309-2016-0002-0021
Application memoranda, correspondence and other records relating to rejected grant proposals. File numerically based on grant type.
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 N 1-309-90-02
Citation
Disposition Instruction Electronic Records Archives Page 26 of 139 PDF Created on: 10/1312017
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority
Cutoff Instruction
Retention Period
Additional Information
GAO Approval
Records Schedule: DAA-0309-2016-0002
Cutoff each fiscal year. Destroy 3 years after cutoff.
Destroy 3 year(s) after cutoff
Not Required
00.22 Formal Directives, Procedural and Operating Manuals
Disposition Authority Number DAA-0309-2016-0002-0022
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
Is this item media neutral?
Do any of the records covered by this item currently exist In electronic fonnat(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
Retention Period
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0023
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
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1.23
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Aulhority
Final Disposition
Item Status
Is this item media neutral?
Do any of the records covered by this item currently exist in electronic fonnat(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 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.
Unknown To Be Determined
Unknown To Be Determined
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
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Aulharity Records Schedule: DAA.0309-2016.0002
00.24 Organizational Files
Disposition Authority Number DAA-0309-2016-0002-0024
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.
Final Disposition Permanent
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 thane-
mail and word processing?
Do any of the records covered Yes
by this Item exist as structured
electronic data?
GRS or Superseded Authority N 1-309-90-02
Citation
Disposition Instruction
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.
Additional Information
What will be the date span of the Unknown
initial transfer of records lo the To Be Determined National Archives?
How frequently will your agency Unknown
transfer these records to the To Be Determined National Archives?
Eleclronlc Records Archives Paga 29 of 139 PDF Created an: 10/1312017
WITHDRAWN RETURNED WITHOUT ACTION
1.25
1.26
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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
Disposition Authority Number DAA-0309-2016-0002-0025
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'
Is this Item media neutral?
Do any of the records covered by this Hem currenUy exist in electronic format(s) other than e· mail and word processing?
Do any of the records covered by this item exist as structured electronic data?
GRS or Superseded Authority Citation
Disposition Instruction
Retention Period
Additional Information
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
Disposition Authority Number DAA-0309-2016-0002-0026
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.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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?
Electronic Records Archives P1111e 30of139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
WITHDRAWN RETURNED wr.. iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DlsposlUon Authority Records Schedule: DAA-0309-2016-0002
GRS or Superseded Authority N1-309-90-02
Citation
Disposition Instruction
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
Additional Information
GAO Approval Not Required
2 05 - Office of the Ombudsman
2.1 05.01 Comments by small entities jurisdictional - Permanent
Disposition Authority Number DAA-0309-2016-0002-0027
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.
Final Disposition Permanent
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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 N1-309-11-01
Citation
Disposition Instruction
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
Additional Information
What will be the date span of the Unknown
iniUal transfer of records to the To Be Determined National Archives?
Electronic Records Archives Paga 31of139 PDF Created on: 10/13/2017
WITHDRAWN - RETURNED WITHOUT ACTION
WITHDRAWN - RETURNED wr.. iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016·0002
How frequently will your agency Unknown
transfer these records to the To Be Determined National Archives?
2.2 05.02 Comments by small entities- non-jurisdictional - Temporary
Disposition Authority Number DAA-0309-2016-0002-0028
Includes comments from small businesses and others seeking review of Federal agency actions other than regulatory enforcement and Federal agencies responses.
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 N1-309-11-01
Citation
Disposition Instruction
Cutoff Instruction Cutoff each fiscal year.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 5 year(s) after cutoff
Additional Information
GAO Approval Not Required
2.3 05.03 Records of the Office of the National Ombudsman Hearings and Roundtables - Permanent
Disposition Authority Number DAA-0309-2016-0002-0029
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.
Final Disposition Permanent
Item Status Withdrawn
Is this item media neutral? Yes Electronic Records Archives Page 32 of 139 PDF Craated an: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
2.4
WITHDRAWN - RETURNED WI ••~OUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Aulhority Records Schedule: DAA.0309-2016-0002
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 N1-309-11-01 Citation
Disposition Instruction
Cutoff Instruction Cutoff each fiscal year.
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 ·
Additional Information
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?
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.
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?
Eleclronic Records Archives Page 33 of 139 PDF Created on: 10/1312017
WITHDRAWN RETURNED WITHOUT ACTION
2.5
WITHDRAWN - RETURNED WI' ••-IOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records DisposlUon Authority Records Schedule: DAA-0309-2018-0002
GRS or Superseded Authority N1-309-11-1
Citation
Disposition Instruction
Cutoff Instruction Cutoff after each Hearing or Roundtable. Destroy 5 years after cutoff.
Retention Period Destroy 5 year(s) after cutoff
Additional Information
GAO Approval Not Required
05.05 Annual Reports to Congress - Permanent
Disposition Authority Number DAA-0309-2016-0002-0031
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.
Final Disposition Permanent
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 N1-309-11-01
Citation
Disposition Instruction
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 Inactive Storage Transfer to FRC 3 years after cutoff.
Transfer to the National Archives Transfer to the National Archives 15 year(s) after for.Accessioning cutoff
Additional Information
What will be the date span of the Unknown
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 WITHOUT ACTION
WITHDRAWN - RETURNED wr. If OUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Reoords Disposition Au1hor1ty Reoords Schedule: DAA.0309.2016.0002
How frequently will your agency Unknown
transfer these records to the To Be Determined National Archives?
2.6 05.06 Annual Regulatory Fairness Board meetings (required by SBREFA) agenda, minutes, preparations.
Disposition Authority Number DAA-0309-2016-0002-0032
At annual meetings are forums SBA Regulatory Fairness Board members advise the Ombudsman on enforcement matters and compliance trends.
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 fonnat(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 N1-309-11-01
Citation
Disposition Instruction
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.
Retention Period Destroy 5 year(s) after cutoff
Additional Information
GAO Approval Not Required
2.7 05.07 Board Member Files
Disposition Authority Number DAA-0309-2016-0002-0033
Regulatory Fairness Board members- appointments, actions, ideas on SBREFA,
members travel.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Electronic Records An:hlves Pege 35of139 PDF Crealsd on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
2.8
WITHDRAWN ... RETURNED wr .. -tOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authon"\y Records Schedule: DAA-0309-2018-0002
Do any of the records covered Yes
by this item currenUy 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 N1-309-11-01
Citation
Disposition Instruction
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 FRC 2 years after cutoff.
Retention Period Destroy 5 year(s) after cutoff
Additional Information
GAO Approval Not Required
05.08 Federal Inter-agency SBREFA meetings
Disposition Authority Number DAA-0309-2016-0002-0034
Includes agenda, planning documents, Federal Register notices, invitation e-mails, sign-in sheets, etc.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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 N1-309-11-01
Citation
Disposition Instruction
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 FRC 2 years after cutoff.
Electronic Records Archives Page 38 of 139 PDF Created on: 10/1312017
WITHDRAWN RETURNED WITHOUT ACTION
3.2
WITHDRAWN - RETURNED wr.. iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authorily Records Schedule: DAA-0309..2016-0002
3
3.1
Retention Period Destroy 5 year(s) after cutoff
Additional Information
GAO Approval Not Required
10 - Office of Investment and Innovation
10.01 License Application- Withdrawn and/or Disapproved Case Folder
Disposition Authority Number DAA-0309-2016-0002-0035
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
Is this Item media neutral?
Do any of the records covered by this item currently exist in electronic fonnat(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
Retention Period
Additional Information
GAO Approval
Temporary
Withdrawn
Yes
Yes
Yes
N1-309-86-001
Cutoff on notification of action taken.
Destroy 2 year(s) after cutoff
Not Required
10.02 Investment Administration
Disposition Authority Number DAA-0309-2016-0002-0036
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
Is this item media neutral?
Temporary
Withdrawn
Yes
Electronic Records Archives Page 37of139 PDF Created on: 10/13/2017
WITHDRAWN RETURNED WITHOUT ACTION
3.3
WITHDRAWN - RETURNED WI'. 1-iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
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
Disposition Instruction
Cutoff Instruction Cutoff each calendar year. Destroy 1 year after cutoff.
Retention Period Destroy 1 year(s) after cutoff
Additional Information
GAO Approval Not Required
10.03 Statutory Provisions, Interpretations, SBIC Advisory Council, and lnteragency Relationships
Disposition Authority Number DAA-0309-2016-0002-0037
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.
Final Disposition Temporary
Item Status Withdrawn
Is this Item media neutral? Yes
Do any of the records covered Yes by this itam 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
Disposition Instruction
Cutoff Instruction Cutoff each calendar year. Destroy 6 year after cutoff.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Electronic Records An:hlves Paga 38 of 139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
WITHDRAWN - RETURNED wr. I iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
Retention Period Destroy 6 year( s) after cutoff
Additional Information
GAO Approval Not Required
3.4 10.04 License Folder- SBIC's - MESBIC's
Disposition Authority Number DAA-0309-2016-0002-0038
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.
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
Disposition Instruction
Cutoff Instruction Cutoff after licensed is cancelled or surrendered. Destroy 6 year and 3 months after cutoff.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 6 year(s) and 3 month(s) after cutoff
Additional Information
GAO Approval Not Required
3.5 10.05 License Operations Case Folder(s)
Disposition Authority Number DAA-0309-2016-0002-0039
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.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes Electronic Records Archives Paga 39 of 139 PDF Created an: 10/13/2017
WITHDRAWN - RETURNED WITHOUT ACTION
3.6
WITHDRAWN - RETURNED WI' ••-fOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
Do any of the records covered Yes
by this item currenUy 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
Disposition Instruction
Cutoff Instruction Cutoff after licensed is cancelled or surrendered. Destroy 6 year and 3 months after cutoff.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 6 year(s) and 3 month(s) after cutoff
Additional Information
GAO Approval Not Required
10.06 SBIC Liquidations
Disposition Authority Number DAA-0309-2016-0002-0040
Includes all SBIC liquidation cases that have been paid in full through liquidation or charged-off final by SBA-327 or otherwise.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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
Disposition Instruction
Cutoff Instruction Cutoff when paid-in-full or charged off-final. Destroy 6 years after cutoff.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 6 year( s) after cutoff
Electronic Records Archives Page 40 of 139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
WITHDRAWN - RETURNED wr. 1iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
Additional Information
GAO Approval Not Required
3.7 10.07 SBIC Liquidations (charged-off)
Disposition Authority Number DAA-0309-2016-0002-0041
Includes all SBIC liquidation cases that have been charged-off by SBA 327 or otherwise
Final Disposition Temporary
Item Status Withdrawn
Is this Item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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
Disposition Instruction
Cutoff Instruction Cutoff at the end of the calendar year in which case was charged-off. Destroy 6 year and 3 months after cutoff.
Retention Period Destroy 6 year(s) and 3 month(s) after cutoff
Additional Information
GAO Approval Not Required
3.8 10.08 Examination Project Files
Disposition Authority Number DAA-0309-2016-0002-0042
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
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
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 WITHOUT ACTION
WITHDRAWN - RETURNED WI', .-IOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0309-2016-0002
electronic format(s) other than e
mail 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
Disposition Instruction
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.
Transfer to Inactive Storage Transfer to FRC 2 years after cutoff.
Retention Period Destroy 10 year(s) after cutoff
Additional Information
GAO Approval Not Required
4 30 - Office of Human Resource Solutions
4.1 30.01-Training Records
Disposition Authority Number DAA-0309-2016-0002-0043
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.
Final Disposition Permanent
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy 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 N1-309-90-02
Citation
Disposition Instruction
Electronic Records Archives Page 42 of 139 PDF Craated on: 10/1312017
WITHDRAWN RETURNED WITHOUT ACTION
4.2
WITHDRAWN - RETURNED wr.. iOU.T ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016.0002
Cutoff Instruction
Transfer to Inactive Storage
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 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.
Transfer to the National Archives in 5 year blocks 10 year(s) after cutoff
Unknown To Be Determined
Unknown To Be Determined
Estimated Current Volume Annual Accumulation
5 Cubic feet
30.02- Administrative Grievance Files (5 CFR 771)
Disposition Authority Number DAA-0309-2016-0002-0044
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.
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?
Electronic Records Archives Paga 43 of 139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
4.3
WITHDRAWN - RETURNED wr.. iOUT ACTION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA.0309-2016.0002
Do any of the records covered Yes by this item exist as structured electronic data? GRS or Superseded Authority N1-309-86-001
Citation
Disposition Instruction
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.
Additional Information
GAO Approval Not Required
30.03- Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432)
Disposition Authority Number DAA-0309-2016-0002-0045
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).
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
Disposition Instruction
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.
Additional Information
Elactronlc Records Archives Page 44 of 139 PDF Created on: 10/1312017
WITHDRAWN - RETURNED WITHOUT ACTION
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
GAO Approval Not Required
30.04- Reasonable Accommodation Request Records
Disposition Authority Number DAA-0309-2016-0002-0046
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.
Final Disposition Temporary
Item Status Withdrawn
Is this item media neutral? Yes
Do any of the records covered Yes by this item currenUy exist in electronic fOnnat(s) other than email and word process
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