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U.S. Geological Survey Manual

U.S. Geological Survey

General Records Disposition Schedule

Prepared by the Geographic Information Office

432-1-S1

April 2003

U.S. Department of the Interior
U.S.Geological Survey


Foreword and Table of Contents | Record of Posted Changes | Information on Official Records and Personal Papers | How to use this Records Disposition Schedule | Changes in this Issuance | Chapter 100 | Chapter 200 | Chapter 300 | Chapter 400 | Chapter 500 | Chapter 600 | Chapter 700 | Chapter 800 | Chapter 900 | Chapter 1000 | Chapter 1100 | Chapter 1200 | Chapter 1300 | Appendix 1 | Appendix 2 | Appendix 3 | Change 1

Appendix 3 - Subject Index

SUBJECT ITEM NUMBER
Accidents (See also Safety) 904-05


Accounting and Disbursement Files (See also Expenditure Accounting and Financial)
•   Accountable Officers' Files 703-01
•   Accounting Administrative Files 703-05
•   Accounting Systems 703-06
•   Administrative and Tort Claims 703-11
•   Appropriations 703-13
•   Certificates Settlement Files 703-03
•   Collection Procedures 703-14
•   Federal Personnel Surety Bond Files 703-07
•   GAO Exceptions Files 703-02
•   General Fund 703-04
•   Government Credit Card Files 703-16
•   Taxation 703-08
•   Telegrams 703-09
•   Telephone Statements and Toll Slips 703-10
•   Unpaid Obligations 703-15
•   Waiver of Claims 703-12


Acquisition
•   Acquisition Correspondence 804-02
•   Acquisition Files 801-01
•   Acquisition Management Files 804-01
•   Contingent Fee Violations Files 801-03
•   Contracting Officer Files 804-03
•   Contractor's Payroll Files 801-04
•   Contracts Appeals Cases 801-02
•   Performance of Commercial Activities 801-05
•   Small and Disadvantaged Business Utilization 804-04
•   Unsolicited Proposals 801-06


Administrative Announcements 309-07


Administrative Databases 308-01


Administrative Management
•   Improvement Plans, Surveys, Studies, and Project Case Files 101-02
•   Program Policy, Direction, and Decision Case Files 101-03
•   Reports 101-05
•   Subject Files 101-04


Agency Directives and Publications (Reference and/or Circulating Copies) 309-06


Agreements 603-03


Aircraft
•   Accidents 904-05
•   Alleged Misuse 1002-04
•   General Management 1002-01
•   Operation and Maintenance 1002-05
•   Policies and Procedures 1002-02
•   Reports 1002-03


Architectural Records
•   Contract Negotiation Drawings 1204-02
•   Drawings of Temporary Structures and Buildings or of Buildings not Critical to the Mission of the USGS 1204-01
•   Drawings Reflecting Minor Modifications 1204-06
•   Engineering Drawings of Routine Minor Parts 1204-05
•   Architectural Models 1204-04
•   Paint Plans and Samples 1204-07
•   Space Assignment Plans 1204-03


Assessments (Reimbursable and Appropriated Funds) 704-01


Audio (Sound) Recordings (USGS-Sponsored and Mission-Related) 1105-01


Audiovisual Related Documentation Records 1106-01


Audit Records
•   Audit Files 306-01
•   Compliance Audit and Assessment Records 603-04
•   Financial Audits and Claim Settlements 702-08
•   General Audit Files 306-03
•   Office of the Inspector General Contact Reports 306-02


Awards
•   Employee Awards 405-01
•   Employee Incentive Awards Program Reports 405-02
•   Employee Performance File System Records 405-04
•   Human Resources Initiatives (HRI) Proposals 405-03


Budget (See also Expenditure Accounting and Financial)
•   Budget Apportionment 702-03
•   Budget Estimates, Justifications, and Annual Work Plan Files 702-02
•   Budget Files 701-01
•   General Budget Management and Administration 701-02
•   Information Collection Budget 201-03b


Cartographic Records (See also Maps)
•   Cartographic Records Prepared During Intermediate Stages of Publication 1202-02
•   Printed Maps 1202-01


Claims 601-06
•   Administrative and Tort Claims 703-11
•   Financial Audits and Claim Settlements 702-08
•   Waiver of Claim Files 703-12


Classified Information
•   Access Requests 901-07
•   Classified Documents Administrative Correspondence 901-01
•   Classified Document Inventory Files 901-05
•   Classified Documents Reports 901-02
•   Destruction Certificates 901-04
•   Document Receipts 901-03
•   Incident of Security Concern Inquiry/Investigation Files 902-11
•   Security Container Records 901-08
•   Top Secret Accounting and Control Files 901-06


Committee and Conference 101-06


Communications
•   Acknowledgement Files 502-04
•   Commendation/Complaint Correspondence 502-07
•   Community Relations 502-09
•   General Correspondence 502-01
•   Information Projects 502-06
•   Information Requests 502-03
•   News Media Files 502-05
•   Non-Government Briefings 502-08
•   Public Ceremonies 502-10
•   Speeches (Presentations and Official) 502-02


Computer Files (See also Electronic)
•   Administrative Databases 308-01
•   Electronic Records 202
•   Hardware 201-07
•   Input/Source 202-02
•   Network Operations and Maintenance 201-08
•   Software 201-07
•   Spreadsheets (Electronic) 308-02
•   Supervisory Control and Data Acquisition System 203-11
•   User Support and Liaison 201-09
•   Word Processing 202-13


Congressional Records
•   Congressional and Legislative General Files 602-04
•   Legislative Files 602-01
•   Legislative Proposal Case Files 602-03
•   Member Files 602-02


Contracting Officer Files 804-03


Copyrights
•   Copyright Permission Records 1301-03
•   True Copy Certifications 603-02


Databases (Administrative) 308-01


Daycare Centers (Federally Run) 408-04


Delegations of Authority Files 309-13


Directives (Bureau) 205-01, 02, 03, 04
•   Agency Directives and Publications - Reference and/or Circulating Copies 309-06
•   Directives and Publications of Other Government Agencies 309-08
•   Reports Control Files 205-08


Disabilities Act 411-01


Educational/Student Program Files
•   Academic/Outreach Programs 412-01
•   Apprenticeship Program 412-02
•   Student Placement Assistance (SPA) System 412-05
•   Student Recruitment System (SRS) 412-04
•   Tuition Reimbursement Records 412-03


Electronic (See also Computer Files)
•   Administrative Databases 308-01
•   Data Files Consisting of Summarized Information 202-04
•   Data Verification and Quality Control Files not Described Elsewhere 202-16
•   Downloaded and Copied Data 202-12
•   Electronic Freedom of Information Act (See Freedom of Information Act (FOIA) and Electronic Freedom of Information Act (E-FOIA) 501
•   Finding Aids or Indexes 202-09
•   Input/Source 202-02
•   Mail Records 202-14
•   Print Files 202-06
•   Records Consisting of Extracted Information 202-05
•   Relating to the Creation, Use, and Maintenance of Computer Systems Applications, or Electronic Records 202-01
•   Security Backups 202-08
•   Special-Purpose Programs (Software) Necessary to Maintain Temporary Files 202-10
•   Spreadsheets (Electronic) 308-02
•   System Documentation 202-11
•   Technical Reformat Files 202-07
•   Tracking and Control 202-15
•   Versions of Records Scheduled for Disposal 202-03
•   Word Processing Files 202-13


Electronic Mail and Word Processing System Copies
•   Chapter 100 103
•   Chapter 200 206
•   Chapter 300 310
•   Chapter 400 418
•   Chapter 500 503
•   Chapter 600 604
•   Chapter 700 706
•   Chapter 800 805
•   Chapter 900 909
•   Chapter 1000 1006
•   Chapter 1100 1107
•   Chapter 1200 1205
•   Chapter 1300 1307


Emergency Planning 905


Employee Standards of Conduct and Codes of Ethics 409-01
•   Conflict-of-Interest Files 409-04
•   Ethics Training 409-06
•   Financial Disclosure Reports 409-02
•   Serving as Officers in Outside Organizations 409-05
•   Stock Holding Conflicts and Advisories 409-03


Employment
•   Appointment Information Files 403-01
•   Certificates of Eligibles 403-04
•   E-mail Vacancy Notification System 403-09
•   Employment Applications 403-08
•   Employment Examination and Certifications 403-13
•   Exit Interviews 403-17
•   Merit Promotion Case Files 403-05
•   Notifications of Personnel Actions 403-07
•   Offers of Employment 403-03
•   Online Automated Recruitment Systems (OARS) 403-16
•   Personnel Interview Records 403-06
•   Prehire Test Files 403-12
•   Recruitment Packages 403-11
•   Reductions-in-Force 403-15
•   Staffing and Analyses 403-02
•   Vacancy Announcements 403-10
•   Unemployment Compensation 403-14


Energy Conservation Management
•   General Files 1003-01
•   Policies and Procedures 1003-02
•   Reports 1003-03


Environmental Compliance and Management (See also Resources and Compliance)
•   Environmental Analysis, Management Studies, and Endangered Species Act 906-04
•   Environmental Assessment and Evaluation Methodology 906-05
•   Environmental Commitment 908-08
•   Environmental Impact Statements 907-01
•   National Environmental Policy Act (NEPA) Records 907
•   Policies 906-01
•   Reports 906-03
•   Subject Files 906-02


Equal Employment Opportunity (EEO) Files
•   EEO Affirmative Action Plans (AAPs) 416-04
•   EEO Compliance Records 416-02
•   EEO Employment Statistics 416-03
•   EEO General Files 416-06
•   EEO Official Discrimination Records 416-01
•   Special Emphasis Programs and Projects 416-05


Ethics (See Employee Standards of Conduct and Codes of Ethics)


Expenditure Accounting (See also Budget and Financial)
•   Appropriation Allotments 705-03
•   Expenditure Accounting Posting and Control Files 705-04
•   General Accounting Ledgers 705-02
•   General Correspondence and Subject Files 705-01
•   Payments-in-Lieu-of-Taxes (PILT) Files 705-05


Facilities (See also Security and Real Property)
•   Credentials Files 902-22
•   Facilities Check Files 902-20
•   Facilities Survey and Inspection Files (Government-owned Facilities) 902-07
•   Facilities Survey and Inspection Files (Privately-owned Facilities) 902-08
•   Foreign Ownership, Control, or Influence Files 902-06
•   Logs and Registers 902-21
•   Physical Security Files 902-05
•   Trespass Investigative Files 902-17
•   Visitor Access Approvals 902-19
•   Visitor Control Files 902-18


Federal Workplace Drug Testing 410-01, 02


Files Maintenance and Disposition Plans 309-01


Financial (See also Budget and Expenditure Accounting)
•   Financial Audits and Claim Settlements 702-08
•   Financial Disclosure Reports 409-02
•   Financial Management and Program Coordination Background Records 702-04
•   Financial Management and Program Coordination Policy Files 702-06
•   Financial Management and Program Coordination Reports 702-05
•   Funds and Funding 702-07
•   General Financial Management Correspondence 702-01


Fire Management 908-10


Foreign Travel Files 304-03
•   International Visitor and Training Files 413-06


Forms Case Files 205-05


Freedom of Information Act (FOIA) and Electronic Freedom of Information Act (E-FOIA)
•   E-FOIA and FOIA Control Files 501-02
•   E-FOIA and FOIA Request and Appeals Files 501-01
•   E-FOIA and FOIA Reports and Administrative Files 501-03


Geospatial Data Sets 1201-01


Government Credit Card Files 703-16


Grants
•   Administrative Files 803-02
•   Grant and Cooperative Agreement Cases 803-01


Guard/Police
•   Guard/Security Police Officer Assignments 902-14
•   Guard/Security Service Controls 902-15
•   Police Functions 902-16
•   Logs and Registers 902-21


Hazardous Waste Management 904-10


Health
•   Denied Health Benefits Requests Under Spouse Equity 414-08
•   Employee Health Statistical Summaries 414-05
•   Employee Medical Folders 414-03
•   General Health and Wellness Correspondence 414-04
•   Health Unit Control Files 414-02
•   Individual Non-Occupational Health Records 414-01
•   Occupational Injury and Illness Files 414-07
•   Personal Injury (Accident) Case Files 414-06


Information Collection Budget 201-03b


Information Products (See Publishing)


Information Resources Management (IRM) Files
•   Feasibility Studies 201-04
•   General Files 201-01
•   Oversight Files 201-06
•   Policies and Procedures 201-02
•   Program Files 201-05
•   Reports 201-03


Information Technology Security Data 201-10


Internal/External Audits (See Audits)


Inventions 603-01


Labor Relations
•   Certification/Decertification Files 415-03
•   Labor Management Relations 415-01
•   Seniority Rosters 415-02


Law and Litigation
•   Claims 601-06
•   General Files 601-01
•   Law Enforcement 601-04
•   Litigation and Appeals Files 601-05
•   Reports 601-02
•   Solicitor's Office Correspondence 601-03
•   Witness Files 601-07


Library Materials and Operations 309-10, 11


Mail, Messenger, and Distribution Files
•   Mail and Delivery Service Control Files 303-03
•   Messenger Service Files 303-01
•   Metered Mail 303-04
•   Post Office and Private Mail Company Records 303-02
•   Postal Irregularities 303-05


Management Control Records 301-01


Maps (See also Cartographic Records)
•   Cartographic Records Prepared During Intermediate Stages of Publication 1202-02
•   Printed Maps 1202-01


Messenger Service Files 303-01


Microform Inspections 205-09


Motion Pictures
•   Non-Mission Related 1103-02
•   USGS-Sponsored and Mission-Related 1103-01


Motor Vehicle
•   Accidents 904-05
•   Alleged Misuse Files 1002-04
•   General Management Files 1002-01
•   Operation and Maintenance 1002-05
•   Policies and Procedures 1002-02
•   Reports 1002-03


Museum Management Files
•   Accountability Files 1004-04
•   General Management Files 1004-01
•   Loan and Exhibits Correspondence 1004-06
•   Policies and Procedures 1004-02
•   Preservation Maintenance Files 1004-05
•   Reports 1004-03


National Environmental Policy Act (NEPA) Records 907
•   Environmental Impact Statements (EIS) 907-01


Non-Government Publications 309-09


Office Administrative Files 309-12


Organizational and History Records 101-01


Passports (Official) 304-08


Patents 603-01


Payroll and Time and Attendance Records
•   Classification Appraisals (Pay) Files 417-12
•   Combined Federal Campaign and Other Allotment Authorizations 417-14
•   Donated Leave Program 417-08
•   Flexitime Attendance 417-06
•   Individual Employee Pay Records 417-01
•   Leave Records 417-07
•   Non-current Payroll Files 417-02
•   Other Leave Program Files 417-09
•   Pay Comparability Records 417-11
•   Payroll Adjustment and Change 417-17
•   Payroll Administration - Payroll System Reports 417-16
•   Payroll Correspondence 417-18
•   Payroll Levy and Garnishment Files 417-15
•   Savings Bond Purchases 417-13
•   Tax Files 417-10
•   Time and Attendance Input Records 417-05
•   Time and Attendance - Leave Applications 417-03
•   Time and Attendance Source Records 417-04


Personnel
•   Alternative Worksite/Flexiplace/Telecommuting Program 408-02
•   Awards 405
•   Bright Ideas 408-01
•   Conflict Resolution (CORE) Program 407-07
•   Employee Benefits 407-03
•   Educational and Student Programs 412
•   Employee Concerns Program 407-06
•   Employee Investigative Files 407-02
•   Employee Relations Case Files 407-01
•   Employee Standards of Conduct and Codes of Ethics 409-01
•   Equal Employment Opportunity (EEO) 416
•   Exit Interviews 403-17
•   FastClass 406-02
•   Federal Employee Express 403-18
•   Federal Workplace Drug Testing 410-01, 02
•   Federally Run Day Care Centers 408-04
•   General Federal Personnel Correspondence 401-01
•   General Workplace Enhancement Program Files 408-05
•   Health 414
•   Interview Records 403-06
•   Labor Relations 415
•   Mentoring Program 413-03
•   Online Automated Recruitment System (OARS) 403-16
•   Official Personnel Folders (OPF) 402-01
•   Operations Statistical Reports 401-02
•   Payroll and Time and Attendance 417
•   Personnel Counseling 407-05
•   Position Classification 406-01
•   Reductions-in-Force 403-15
•   Special Appointments 411
•   Supervisor's Personnel Files and Duplicate OPF Documentation 402-02
•   Thrift Savings Plan 403-19
•   Training 413
•   Transportation Fringe Benefit Program 408-03
•   Volunteer Personnel Files 404
•   Wage Survey 407-04


Personnel Security
•   Administration and Operation Files 903-03
•   Background Investigations for Access Authorizations 903-04
•   Classified Information Non-Disclosure Agreements 903-08
•   Security Clearance/Access Authorization Administrative Policy Subject Files 903-02
•   Security Clearance/Access Authorization Administrative Subject Files 903-01
•   Security Clearance/Access Authorization Case Records 903-05
•   Security Clearance/Access Authorization Status Files 903-06
•   Security Violations Files 903-07


Photography
•   Documentary and Research Photography - USGS Mission-Related 1102-01
•   Documentary and Research Photography - USGS Non-Mission Related 1102-02
•   Official Portraits of USGS Directors and Other High-Ranking USGS Officials 1101-01
•   Portrait Photographs of Other USGS Personnel 1101-02


Police (See Guard/Police)


Policy and Precedent Reference Files 309-03


Portraits (Official)
•   Official Portraits of USGS Directors and Other High-Ranking USGS Officials 1101-01
•   Portrait Photographs of Other USGS Personnel 1101-02


Post Office (See Mail, Messenger, and Distribution)


Privacy Act
•   Accounting of Disclosure Files 501-06
•   Amendment Case Files 501-05
•   Control Files 501-07
•   Erroneous Release Files 501-15
•   General Administrative Files 501-09
•   Mandatory Review for Declassification Administrative Files 501-14
•   Mandatory Review for Declassification Appeals 501-11
•   Mandatory Review for Declassification Control 501-12
•   Mandatory Review for Declassification Reports 501-13
•   Mandatory Review for Declassification Requests 501-10
•   Request Files 501-04
•   Reports 501-08


Procurement (See Acquisition)


Production Files 1106-01


Program Mission Files 102-01


Program Policy, Direction, Decision Case Files 101-03


Project Files
•   Case Files 102-02
•   Control Files 102-04
•   Inventory Files 102-03
•   Laboratory Project Notebooks 102-07
•   Summary Progress Reports 102-05
•   Source Data 102-06


Personal Property (See also Property and Real Property)
•   Bureau Board of Survey Files 1001-08
•   General Personal Property Management 1001-01
•   Personal Property Accountability Files 1001-05
•   Personal Property Classification 1001-04
•   Personnel Property Disposal Cases 1001-07
•   Personal Property Loan Activities 1001-06
•   Policies and Procedures 1001-02
•   Reports 1001-03


Property (See also Personal Property and Real Property)
•   Misuse of Government Property 902-10
•   Property Passes 902-12


Publishing (USGS Information Products)
•   Customer Mailing Lists 1303-04
•   Directives and Instructions 1303-02
•   Duplicate Copies of USGS Information Products 1301-02
•   Electronic Files, Artwork, Camera-Ready Originals, and Line and Half-tone Negatives 1305-01
•   General Management Files 1303-06
•   Indexes and Checklists 1303-05
•   Policies and Procedures 1303-01
•   Printing Project Files 1306-01
•   Reports 1303-03
•   Research Records 1302-01
•   Review and Approval Records and Copyright Permissions 1301-03
•   Unofficial Information Products, Newsletters, and USGS Announcements 1304-01
•   USGS Official Record Set 1301-01
•   Working Papers, Manuscripts, and Background Materials 1301-04


Radio Communications 203-09, 10


Reading or Chronological Files 309-02


Real Property (See also Personal Property and Property)
•   Building Operations Plans 1005-06
•   Bureau-Owned 1005-04
•   Federal Real Property Management (FRPM) System 1005-08
•   General Management 1005-01
•   GSA and Bureau-Leased Space Files 1005-07
•   Maintenance Records 1005-05
•   Policies and Procedures 1005-02
•   Reports 1005-03


Records Common to Most Offices
•   Administrative Announcements 309-07
•   Agency Directives and Publications - Reference and/or Circulating Copies 309-06
•   Delegations of Authority Files 309-13
•   Directives and Publications of Other Government Agencies 309-08
•   Files Maintenance and Disposition Plans 309-01
•   Library Materials 309-11
•   Library Operations 309-10
•   Non-Government Publications 309-09
•   Office Administrative Files 309-12
•   Policy and Precedent Reference Files 309-03
•   Reading or Chronological Files 309-02
•   Routine Tracking and Control Files 309-05
•   Temporary Files 309-04


Records Management
•   Feasibility Studies 201-04
•   General 201-01
•   Microform Inspections 205-09
•   Oversight Files 201-06
•   Policies and Procedures 201-02
•   Program Files 201-05
•   Records Disposition and Holdings 205-06, 07
•   Reports 201-03
•   Reports Control Files 205-08
•   Vital Records 205-10


Remote Sensing Records 1203-01


Resources and Compliance Records
•   Clean Air Act 908-06
•   Clean Water Act 908-05
•   Cultural Resources 908-01
•   Environmental Commitment 908-08
•   Environmental Compliance 906
•   Fire Management 908-10
•   Fish Resources 908-03
•   Mineral Resources 908-04
•   National Environmental Policy Act (NEPA) 907
•   Pest Management 908-07
•   Protective Clothing Reviews and Approvals 908-09
•   Wildlife Resources 908-02


Routine Tracking and Control Files 309-05


Safety (See also Security)
•   Accidents 904-05
•   Hazardous Waste Management Files 904-10
•   Personal Injury (Accident) Case Files 414-06
•   Records that Demonstrate the Capability for Safe Operations 904-06
•   Records that Verify the Performance of Safe Operations 904-07
•   Safe Work Permits 904-08
•   Safety Files 904-01
•   Safety Policies 904-04
•   Safety Procedures and Programs 904-03
•