10 - 1

Part 10 – Grant and Loan Program Records

ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

The most widely known activities in the Department of Education are the disbursement of Federal monies
through grant and loan programs. Some programs are administered from the headquarters office, and others
from the regional offices. All fiscal activities of grant and loan transactions are documented by the Chief
Financial Officer’s Financial Management Operations, headquarters office.

Formula grant programs distribute money according to a formula established by the basic legislation of each
program. The formula may be based on population, ethnic distribution, presence of Federal activities,
disasters, etc. Certain records pertaining to construction grants programs are accorded longer retention
periods due to specific legal requirements to retain written guarantees made by States or institutions.

1. Certification of Accreditation, and Related Correspondence.

These certifications establish or verify eligibility of institutions for
Federal grant or loan programs.

a. Official File of Certifications of Accreditation.

Disposition: TEMPORARY. Destroy when obsolete or ED/RDS, Part 10, Item 1a

superseded. (NC-12-75-1, Item 18a)

b. Related Correspondence.

Disposition: TEMPORARY. Destroy when 2 years old. ED/RDS, Part 10, Item 1b
(NC-12-75-1, Item 18b)

2. Certification of Federal Property Ownership and Related

Correspondence. These certifications establish or verify eligibility
of an institution or local educational agency for Federal grant or loan
programs.

a. Property Folder (including correspondence).

Disposition: TEMPORARY. Destroy 3 years after completion ED/RDS, Part 10, Item 2a
of last project relating to property. (NC-12-75-1, Item 19a)

b. Real Estate Inventories.

Disposition: TEMPORARY. Destroy when obsolete or ED/RDS, Part 10, Item 2b

superseded. (NC-12-75-1, Item 19b)

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

c. Correspondence Not Affecting Federal Status.

Disposition: TEMPORARY. Purge from property folders ED/RDS, Part 10, Item 2c
annually and destroy. (NC-12-75-1, Item 19c)

3. Grant Administration Records for Formula and Discretionary

Grant Programs. Included are progress reports and other
correspondence related to grants. This item does not include fiscal
records.

Disposition:

a. TEMPORARY. Destroy 5 years after final payment to grantee, ED/RDS, Part 10, Item 3a
or after audit, whichever is sooner, except as noted below. (NC-12-75-1, Item 20a)

b. Retain (as PERMANENT) a sample of significant grants (for ED/RDS, Part 10, Item 3b
example, grants mentioned in ED annual report, or of public (NC-12-75-1, Item 20b)
note) to be selected by ED and not to exceed 1% of all grants in
a given year. Offer to the National Archives and Records
Administration (NARA) 5 years after payment or after audit,
whichever is sooner.

4. Duplicate (Non-Record/Working Copies) of Grant or Loan

Administration Records. These are reference copies maintained in
offices other than the office with the primary responsibility for
signing/awarding and closing-out the grant or loan transaction.

Disposition: TEMPORARY. Destroy when convenient, but no later ED/RDS, Part 10, Item 4
than one year after final grant payment. (NC-12-75-1, Item 22)

5. Record Set of Final Products of Grants. This includes, but is not

limited to, final published technical reports, textbooks, audiovisual
items such as films, slides or tapes.

Disposition: PERMANENT. Transfer to the Archives when 10 ED/RDS, Part 10, Item 5
years old. (NC-12-75-1, Item 23)

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

6. State Plans. These are plans submitted annually by the various states
which describe what the state proposes to do with potential Federal
monies. They often recapitulate previous year reports.

a. Original ED Copy.

Disposition: TEMPORARY. Dispose after 5 years, or after ED/RDS, Part 10, Item 6a
Program Audit, whichever is sooner. (NC-12-75-1, Item 24a)

b. State Plans of: Alabama, California, Illinois, Massachusetts,

New York, New Mexico, Kansas, and Texas for every fifth
fiscal year beginning FY 75.

Disposition: PERMANENT. Transfer to the Archives when 10 ED/RDS, Part 10, Item 6b
years old. (NC-12-75-1, Item 24b)

c. Duplicate Copies.

Disposition: TEMPORARY. Destroy when 2 years old or no ED/RDS, Part 10, Item 6c
longer needed, whichever is sooner. (NC-12-75-1, Item 24c)

7. Correspondence Relating to the Selection of Panelists (Field

Readers for Discretionary Grants).

Disposition: TEMPORARY. Destroy when 5 years old. ED/RDS, Part 10, Item 7
(NC-12-75-1, Item 25)

8. Proposals or Plans Not Resulting in Grant Awards (Discretionary

Grants).

Disposition: TEMPORARY. Destroy 3 years after rejection or ED/RDS, Part 10, Item 8
withdrawal. (GRS 3, Item 13)

9. Approved Fellowship Administration Records and Payment

Records. Most fellowships are administered through institutions of
higher education and are similar in many respects to grants.

Disposition: TEMPORARY. Disposition is the same as Items 3 and ED/RDS, Part 10, Item 9

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

4 above. (NC-12-75-1, Item 27)

10. Unsuccessful, Withdrawn, and Declined Fellowship Program

Applications. Including correspondence with institutions, cost
estimates, and working files.

Disposition: TEMPORARY. Destroy 3 years after rejection or ED/RDS, Part 10, Item 10
withdrawal. (GRS 3, Item 13)

11. Lists or Indices of Individuals Participating in Fellowship

Programs.

Disposition: TEMPORARY. Dispose of after administrative values ED/RDS, Part 10, Item 11
have ceased or after 10 years, whichever is sooner. Do not store in (NC-12-75-1, Item 29)
Federal Centers.

12. Certification of Right to Construct, Maintain, and Operate

Facilities. Assurances or certification that local educational agency
or institution of higher learning has right to construct and maintain,
and will continue to operate, facilities to be constructed with Federal
money for the period provided by law.

a. For construction grants related to higher education facilities.

Disposition: TEMPORARY. Destroy when 50 years old. ED/RDS, Part 10, Item 12a
(NC-12-75-1, Item 30a)

b. For construction grants related to areas affected by Federal

activities (P.L. 81-815).

Disposition: TEMPORARY. Destroy when 20 years old. ED/RDS, Part 10, Item 12b
(NC-12-75-1, Item 30b)

c. For all other construction grants.

Disposition: TEMPORARY. Destroy 5 years after final payment ED/RDS, Part 10, Item 12c
or after audit, whichever is sooner. (NC-12-75-1, Item 30c)

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

13. Application and Grant Administration Correspondence other

than when Described in Item 12, including Construction Project
Information and Payment Records.

a. Applications Determined to be Ineligible.

Disposition: TEMPORARY. Destroy at the end of the fiscal ED/RDS, Part 10, Item 13a
year for which application was made. (NC-12-75-1, Item 31a)

b. Applications and Correspondence for Projects which are

Eligible.

Disposition: TEMPORARY. Same as Items 3 and 4 above. ED/RDS, Part 10, Item 13b
(NC-12-75-1, Item 31b)

NOTE: Student Assistance Program Records. The distribution of

Federal monies or interest payments in support of student loan
programs is a major function of ED. There are two categories of
loans. First are the basic grant programs in which the Government
allocates money directly to institutions of higher learning on the
basis of a pre-established formula. The second group is insured
loans. The Government is a guarantor of loans from various
institutions (banks, universities, state agencies) to students, and
underwrites a certain amount of the interest payment on the loans.

14. Institution Files for Insured Loan Programs. This group of

records documents the participation of institutions (usually banks) in
insured loan programs. Included are applications and audits, various
administrative reports, and requests for interest payments.

a. Applications and Audits.

Disposition: TEMPORARY. Destroy 5 years after end of an ED/RDS, Part 10, Item 14a
institution’s participation in a program, or after final audit of (NC1-12-82-1, Item 2a)
institution, whichever is sooner.

b. Request for Federal Interest Payments.

Disposition: TEMPORARY. Destroy when 5 years old or after ED/RDS, Part 10, Item 14b
audit, whichever is sooner. (NC1-12-82-1, Item 2b)

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

c. All other records or correspondence with the institutions for

administration of the program.

Disposition: TEMPORARY. Destroy after 2 years. ED/RDS, Part 10, Item 14b
(NC1-12-82-1, Item 2c)

15. Institution Fields for Basic Grants. This group of records

documents the participation of an institution in the basic grant
programs. Included are applications, audits, and annual requests for
funds.

a. Basic Applications and Audits.

Disposition: TEMPORARY. Destroy 5 years after the end of ED/RDS, Part 10, Item 15a
institutional participation in program, or after final audit of (NC-12-75-1, Item 13a)
institutional program, whichever is sooner.

b. Annual Request for Funds and Payment Records.

Disposition: TEMPORARY. Dispose of 5 years after final ED/RDS, Part 10, Item 15b
payment or after audit, whichever is sooner. (NC-12-75-1, Item 13b)

c. All Other Records or Correspondence with an Institution for the

Administration of the Program.

Disposition: TEMPORARY. Destroy after 2 years. ED/RDS, Part 10, Item 15c
(NC-12-75-1, Item 13c)

16. Individual Files for Insured Loan Programs. Document

participation of individual students in loan program.

a. Approved Applications and Certifications.

Disposition: TEMPORARY. Destroy after microfilming in ED/RDS, Part 10, Item 16a
accordance with 36 CFR 1230 parts 10-16. (NC-12-75-1, Item 15a)

b. Microfilm of Application.

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

Disposition: TEMPORARY. Destroy 3 years after repayment or ED/RDS, Part 10, Item 16b
cancellation of loan. (NC-12-75-1, Item 15c)

c. Unapproved Applications.

Disposition: TEMPORARY. Destroy at the close of fiscal year ED/RDS, Part 10, Item 16c
in which application was made. (NC-12-75-1, Item 15c)

d. Machine Readable Records.

Disposition: TEMPORARY. Destroy 3 years afer repayment or ED/RDS, Part 10, Item 16d
cancellation of loan. (GRS 20, Item 3b(2))

e. Approved Application Certifications and Related Papers, ED

Hard (Paper) Copy.

Disposition: TEMPORARY. Destroy 3 years afer repayment or ED/RDS, Part 10, Item 16e
cancellation of loan. (NC1-12-80-2, Item 15e)

17. Pell Grant Program Records. The Pell Grant Program awards
grants to help financially needy students meet the cost of their
postsecondary education.

a. Student Records. The student record series includes:

application, payment voucher (report portion of student aid
report (SAR), multiple data entry (CSX, USAF and CSS ACT)),
correspondence and related documents.

Disposition: TEMPORARY. Transfer to a Federal Records ED/RDS, Part 10, Item 17a
Center after final payment to grantee. Destroy 15 years after final (N1-441-92-1, Item 1a)
payment or audit, whichever is sooner.

b. Institution Records. This file series documents the participation

of an institution in the Pell Grant Program. Records include:
statement of account (SOA), institutional payment summary,
original payment voucher, processed payment document,
recipient data exchange record, electronic payment voucher,
electronic transmittals, student eligibility and validation rosters
and progress reports.

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

Disposition: TEMPORARY. Transfer to a Federal Records ED/RDS, Part 10, Item 17b
Center after final payment to grantee. Destroy 15 years after final (N1-441-92-1, Item 1b)
payment or audit, whichever is sooner.

c. Pell Grant Program History. Documentation of program

legislation, budget histories, policy papers, congressional
correspondence impacting on program activities, organization
charts, and program management studies.

Disposition: PERMANENT. Transfer to a Federal Records ED/RDS, Part 10, Item 17c
Center when 3 years old. Transfer to the National Archives and (N1-441-92-1, Item 1d)
Records Administration when 10 years old.

d. Unsuccessful Pell Grant Applications. Applications,

correspondence, and other records relating to unsuccessful
(rejected or withdrawn) applications.

Disposition: TEMPORARY. Transfer to a Federal Records ED/RDS, Part 10, Item 17d
Center 120 days after rejection or withdrawal. Destroy 3 years (N1-441-92-1, Item 1f)
after date of rejection.

e. Pell Grant Administration Records. Correspondence and/or

subject files relating to routine operations and daily activities in
administration of the Pell Grant Program

Disposition: TEMPORARY. Destroy when 2 years old. ED/RDS, Part 10, Item 17e
(N1-441-92-1, Item 1g)

OFFICE OF POSTSECONDARY EDUCATION

Accrediting Agency Files.

This schedule relates to records submitted to the Department of

Education from accrediting agencies seeking initial or renewed
recognition from the Secretary of Education. For the recognition
process, the Accrediting Agency Evaluation Branch reviews the
accrediting agency’s application and supporting documentation to
determine if they are a reliable authority concerning the quality of
education or training provided by the institutions they accredit.

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

18. Accreditation Case Files.

These records consist of materials submitted from state approval

agencies and non-governmental accrediting agencies. Includes
petitions, interim reports, accrediting decisions, and annual reports
submitted to the Secretary, which are included in the files. Also
included in the files is correspondence to and from the accrediting
agency that contains complaints received from concerned individuals
regarding the agency’s recognition status.

a. Case files for Agencies Recommended for Approval.

Disposition: TEMPORARY. Cut off at end of calendar year in ED/RDS, Part 10, Item 18a
which the accreditation process terminates. Retire to the Federal (N1-441-98-1)
Records Center 1 year after cut off. Destroy 11 years after cut
off.

b. Application Case files for Agencies Denied Approval or ED/RDS, Part 10, Item 18b
Recognition. (N1-441-98-1)

Disposition: TEMPORARY. Cut off at end of calendar year.

Retire to the Federal Records Center 1 year after cut off. Destroy
3 years after cut off.

c. Working Papers. Consists of drafts, notes, background material ED/RDS, Part 10, Item 18c
and reference copies of documents. (N1-441-98-1)

Disposition: TEMPORARY. Destroy when no longer needed.

d. Electronic Records. Consists of electronic mail, word

processing documents, and other items created electronically
that are used solely to generate a recordkeeping copy.

Disposition: TEMPORARY. Destroy when business need is ED/RDS, Part 10, Item 18d
complete, or recordkeeping copy has been created and filed, (N1-441-98-1)
whichever is later.

NOTE: Some Accreditation Case Files may be worthy of permanent

retention if they significantly interpret Department of Education
agency accreditation regulations, reflect significant developments, or

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

attract extensive public attention. These should be brought to the

attention of NARA via an SF 115, Request for Disposition Authority,
so that they can be appraised and appropriate disposition
authorized.

19. CD-ROM Copy of Accreditation Case files for Agencies

Recommended for Approval.

CD-ROM copy of Agency petitions, interim reports, accrediting

decisions, annual reports and related correspondence with agencies
recommended for approval or recognition.

Disposition: TEMPORARY. Destroy 11 years after creation of CD- ED/RDS, Part 10, Item 19
ROM images. (N1-441-98-1)

OFFICE OF STUDENT FINANCIAL ASSISTANCE

Case Management Files.

The following schedule is for records created by ED documenting the

process by which an institution is approved to participate in Student
Financial Assistance (SFA) programs authorized by Title IV of the
Higher Education Act (HEA) of 1965, as amended. The records also
document oversight of an institution’s compliance with the
regulations governing Title IV Programs. The records include
documentation provided by the financial aid community (institutions,
accreditation and state licensing agencies, guaranty agencies and
lenders, and auditors) pertaining to an institution’s participation in the
Title IV Programs. This schedule applies to records maintained by the
Department (Case Management and Oversight, formerly known as
the Institutional Participation and Oversight Service) in headquarters
and at the Washington National Records Center.

Included are the following: 1) Application for Approval to

Participate in Federal Student Financial Aid Programs required from
institutions submitting applications for initial participation,
recertification, changes in ownership or restructure, reinstatement,
and other changes in their relation to ED student financial aid

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

programs. Beginning July 1, 1998, institutions are encouraged to

submit their applications electronically. The Department, however,
will continue to accept paper applications. 2) Financial statements
that report the financial condition of institutions participating in Title
IV programs. The reports include audit opinions, balance sheets,
income statements, statements of cash flow, and correspondence with
financial institutions. 3) Audit reports, which detail Title IV program
audits of participating postsecondary institutions. The reports
provide the audited period, management assertions, the auditor
information sheet, schedule of findings, questioned costs, summary
schedules A, B and C, and a corrective action plan. 4) Program
review reports that monitor, document, and determine a participating
postsecondary institution’s compliance with the Title IV SFA
programs. The program review reports drafted by the Department
emphasize the scope of the review, findings of non-compliance,
regulatory authority, and corrective action.

20. Eligibility Files.

a. Applications completed by educational institutions and submitted

to the Department of Education in order to certify for
participation in Title IV SFA Programs, and Program
Participation Agreements made between the Department and
certified educational institutions.

Disposition: TEMPORARY. Cut off files 1 year after the ED/RDS, Part 10, Item 20a
institution’s next re-certification into the program. Retire to a (N1-441-00-1, Item 1a)
certified records center 1 year after cut off. Destroy 8 years after
cut off.

b. Correspondence, memoranda, and other documents relevant to

applications and Program Participation Agreements.

Disposition: TEMPORARY. Cut off files 1 year after the ED/RDS, Part 10, Item 20b
institutions re-certification into program. Destroy 8 years after (N1-441-00-1, Item 1b)
cutoff, or when no longer needed by the Department of Education
for reference purposes.

c. Electronic copies of applications received through the

Postsecondary Education Participants System (PEPS) via the

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

Internet.

Disposition: TEMPORARY. A hard copy of the application is ED/RDS, Part 10, Item 20c
printed out and placed in the appropriate file (see item 1A). (N1-441-00-1, Item 1c)
PEPS will be scheduled at a later date.

d. Word processing and electronic records (electronic version of

records created by electronic mail or word processing
applications).

Disposition: TEMPORARY. Delete when file copy is generated ED/RDS, Part 10, Item 20d
or when no longer needed for reference or updating, whichever is (N1-441-00-1, Item 1d)
sooner.

21. Financial Statement Files.

a. Includes financial statements submitted annually by participating

Title IV institutions, balance sheets, cash flow information,
information concerning income/retained earnings, and other
related correspondence. These records are compiled in support of
applications completed to certify or re-certify an organization as
eligible to participate in Title IV SFA Programs.

Disposition: TEMPORARY. Cut off files 2 years after the end ED/RDS, Part 10, Item 21a
of the fiscal year in which the review is completed. Retire files to (N1-441-00-1, Item 2a)
the Washington National Records Center 2 years after cut off.
Destroy 8 years after cut off.

b. Word processing and electronic records (electronic version of

records created by electronic mail or word processing
applications).

Disposition: TEMPORARY. Delete when file copy is generated ED/RDS, Part 10, Item 21b
or when no longer needed for reference or updating, whichever is (N1-441-00-1, Item 2b)
sooner.

22. Audit Reports.

a. Includes compliance audit reports, audit clearance documents,

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Part 10 – Grant and Loan Program Records
ED/RDS
ITEM DISPOSAL
NO. DESCRIPTION OF RECORDS AUTHORITY

schedules of findings, summary schedules, and other

correspondence submitted by participating Title IV institutions
in support of applications completed to certify or re-certify an
organization as eligible to participate in Title IV SFA Programs.

Disposition: TEMPORARY. Cut off files 2 years after the end ED/RDS, Part 10, Item 22a
of the fiscal year in which the review is completed. Retire to the (N1-441-00-1, Item 3a)
Washington National Records Center 2 years after cut off.
Destroy 8 years after cut off.

b. Word processing and electronic records (electronic version of

records created by electronic mail or word processing
applications).

Disposition: TEMPORARY. Delete when file copy is generated ED/RDS, Part 10, Item 22b
or when no longer needed for reference or updating, whichever is (N1-441-00-1, Item 3b)
sooner.

23. Program Review Files.

a. Includes program review reports, which monitor, document, and

determine whether participating post-secondary institutions
comply with Title IV SFA financial and other program
requirements, with other correspondence.

Disposition: TEMPORARY. Cut off files 1 year after the ED/RDS, Part 10, Item 23a
institution terminates from the Title IV SFA programs. Retire to (N1-441-00-1, Item 4a)
the Washington National Records Center 1 year after cut off.
Destroy 8 years after cut off.

Department of Education Records Disposition Schedules (ED/RDS) 10/99