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U.S. Geological Survey Manual

U.S. Geological Survey

General Records Disposition Schedule

Prepared by the Geospatial Information Office

432-1-S1

May 2009

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


Foreword and Table of Contents | Record of Posted Changes | Information on Official Records | How to use Records Disposition Schedules | 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

Chapter 100. Organizational, History, Administrative Management, and Program Policy and Management Records

Because of the nature of the activities documented in this section, most of these records have a continuing value to the bureau and are vital to the history of the USGS and care should be taken to ensure that they are preserved and transferred according to this disposition schedule.

Chapter 100 Topics This section provides for the disposition of the following:

101. Organizational, History, Administrative Management, and Commissions/Councils/Boards/Committee Records

102. Program Management, Director's, Project, and Oversight Records

103. Bureau Directives and Federal Register Notices


101. Organizational, History, Administrative Management, and Commissions/Councils/Boards/Committee records include the following records:
101-01 Organizational Functions and USGS Histories - Official organizational and reorganization documents, narrative histories, and related records.
101-02 Agency Management Plans, Surveys, Studies, Strategies, and Initiatives - Records that contribute to increasing efficiency and improving performance.
101-03 Final Agency-Level Strategic and Performance Plans - Strategic and performance plans which state bureau goals, objectives, performance indicators, and strategies for accomplishment.
101-04 Temporary Commissions, Councils, Boards, Committees, and Conference Records - Includes Federal Advisory Committee Act (FACA) records, interagency, international, advisory, and high-level internal committees, and all other committee records. Also, includes conference materials which document the conference.


102. Program Management, Director's, Project, and Oversight Records include the following records:
102-01 Program Mission Files - Relates to the primary function of the USGS. To be used only with the authorization of the USGS Records Management Officer.
102-02 Correspondence Control System - Electronic tracking system for bureau controlled correspondence.
102-03 Bureau Director’s Files - Copies of signed Director’s Office correspondence.
102-04 Program Policy, Direction, and Decision Case Files - Case files which document major policies and other decisions not documented in a mission-related directives case file.
102-05 Project Records - Records reflecting the complete history of projects not covered in a USGS mission-specific records schedule.
102-06 Oversight Files - Files pertaining to oversight responsibilities.
102-07 General Reports and Correspondence Files - Miscellaneous reports and materials and any copies of records found in this chapter.


103. Bureau Directives and Federal Register Notices include the following records:
103-01 Bureau Directives Files - Records of both temporary and permanent bureau directives.
103-02 Bureau Directives Management Program Files - Records relating to program oversight.
103-03 Bureau External Directives Case Files - Records documenting notices open to the public and rules scheduled for review.


What records in this chapter are important or considered permanent USGS records?
  • Official organization charts, narrative histories, studies, and related records that document the internal organization/reorganization and functions of the USGS.
  • Record copies of bureau Strategic and other high-level bureau Performance Plans.
  • Records documenting Federal Advisory Committee Act (FACA) Advisory Commissions.
  • Internal bureau records documenting interagency, international, advisory, and high-level internal committees related to the bureau mission.
  • Program mission files.
  • Director's Office correspondence.
  • Program policy, direction, and decision case files.
  • Project case files.
  • Bureau internal directives and Survey Manual chapters.


What records in this section are considered temporary USGS records?
  • Agency management plans, surveys, studies, strategies, and initiatives which contribute to increasing efficiency and improving performance.
  • Committee records of committees established under FACA.
  • All other internal bureau committee records.
  • Conference records.
  • Supporting project records.
  • Oversight files.
  • General correspondence records.
  • Bureau directives management program and copies of bureau directives and Survey Manual chapters.
  • Federal Register related files.
  • Semiannual Agenda files.


Questions? Contact the USGS Records Manager or your discipline or regional Records Liaison Officer - http://internal.usgs.gov/gio/irm/fmassis2.html


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100. Organizational, History, Administrative Management, and Program Policy and Management Records.

101 Organizational, History, Administrative Management, and Commissions/Councils/Boards/Committee Records || 102 Program Management, Director's, Project, and Oversight Records || 103 Bureau Directives and Federal Register Notices

Item No. Record Item / Description of Records Disposition Instructions Authority
101 Organizational, History, Administrative Management, and Commissions/Councils/Boards/Committee Records. Official organization charts, narrative histories, studies, and related records that document the internal organization/reorganization and functions of the USGS. Commissions/Council/Board/Committee records related to the establishment, organization, accomplishments, and eventual termination.  
101-01 Organizational Functions and USGS Histories. Records, created for and/or maintained at the Director's, Associate Director's, and Regional Director's levels, relating to the establishment of and changes in organization, functions, and relationships of bureau activities. Included are official organization charts, narrative histories (including oral history projects), studies, reorganizations, and related records that document the internal organization and functions of the bureau. Include oral history interviewee release forms, and any existing transcripts of interviews. Do not include copies of the USGS documents made for convenient reference. PERMANENT. Cutoff at the end of the fiscal year in which the project is completed. Transfer to the Federal Records Center (FRC) 5 years after cutoff. Transfer to the National Archives and Records Administration (NARA) in 5-year blocks when 20 years old. Transfer original or earliest generation recordings in appropriate format, and a copy for reference, if one exists, directly to NARA when 10 years old. N1-57-01-04, Item 101-01a(1)
101-02 Agency Management Plans, Surveys, Studies, Strategies, and Initiatives. Documents bureau plans, surveys, studies, strategies, and initiatives which contribute to increasing efficiency and improving performance. These could result from shifting strategic directions or mandated activities such as from the President's Management Agenda and Office of Management and Budget (OMB) directed initiatives such as the Fair Act Inventory which may involve workforce implications. May include bureau planning documents, inventories, workload studies, administrative task force files, benefit and risk analysis, reports, team minutes, and action plans. Cutoff at the end of the fiscal year in which plan, survey, study, or initiative is implemented or completed. Destroy 7 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-01-04, Item 101-02
101-03 Final Agency-Level Strategic and Performance Plans. Developed for establishment of performance goals, final agency level performance reports, and annual performance plans as related to strategic plan goals, which are submitted to the USGS Director, Department of the Interior, OMB, and Congress. Annual performance plans state goals, objectives, performance indicators, and strategies for accomplishment. PERMANENT. Cutoff when superseded. Transfer to NARA in 5-year blocks 20 years after cutoff. N1-57-01-04, Item 101-05a(2)
101-04 Temporary Commissions, Councils, Boards, Committees, and Conference Records.
  • Contains directives, correspondence, and reports relating to the establishment, organization, membership, policy, and termination of temporary commissions, boards, councils, and committees. In the case of interagency bodies, covers the records maintained by the designated secretariat as well as records accumulated by other commission members. Arrange alphabetically by subject.
  • Conference materials that document the conference.
   
101-04a Advisory Commissions, Councils, Boards, Committees, and Other Groups Established under the Federal Advisory Committee Act (FACA). Established by statute or reorganization plan; established or utilized by the President; or established or utilized by one or more agencies or officers of the Federal Government.    
101-04a(1) Records Documenting the Commission's Establishment, Membership, Policy, Organization, Deliberations, Findings, and Recommendations. Includes such records as original charter; minutes; testimony; transcripts of meetings; reports; studies; pamphlets; posters; publications; speeches; key correspondence; research records; questionnaires; surveys; raw data; and records created to comply with the provisions of the Government in the Sunshine Act (annual reports to Congress). PERMANENT. Transfer to NARA on termination of the Commission. Earlier transfer is authorized for commissions operating for 3 years or longer.

NOTE: Prior to termination consult NARA to review web site records and electronic records.
N1-57-08-1, Item 101-04a(1) and GRS 26/2a
101-04a(2) Records that Relate to Day-to-Day Commission Activities. Records which do not contain unique information of historical value, including working files, pictures of members and staff, extra copies of records, and routine records.

NOTE: Prior to destruction, NARA, in consultation with Commission staff, will review records covered by this item and may identify files that warrant permanent retention. Such records will be transferred to NARA at the time that related permanent records are transferred.

Administrative records generated by an advisory committee may be disposed of in accordance with schedule items that pertain to the subject of those records (i.e., budget, personnel).
Destroy when 3 years old. N1-57-08-1, Item 101-04a(2) and GRS 26/2b
101-04a(3) Committee Management Records.    
101-04a(3)(a) Records Maintained by the Agency Committee Management Officers for Committees Established under FACA. Records include the establishment, appointment of members, and operation and termination of chartered FACAs. Destroy when 6 years old. N1-57-08-1, Item 101-04a(3)(a) and GRS 26/4
101-04a(3)(b) Committee Records not Maintained by the Agency Committee Management Officers.

NOTE: Records of an international committee held by the U.S. member or representative when the U.S. is not the sponsor or Secretariat should be described on a SF-115 and submitted to NARA for disposition authority.
Destroy when 3 years old. N1-57-08-1, Item 101-04a(3)(b) and GRS 26/3
101-04b Agency Committees and Conference Records.    
101-04b(1) Record Copy. Interagency, international, advisory, and high-level internal committees related to the bureau's mission and agency conference records. Agendas, minutes, electronic mail (e-mail), word processing records, final reports, and all related records documenting the accomplishments of official boards and committees. Maintained by the office of committee origin. Examples: Executive Leadership Team, Regional Leadership Team, and the Federal Geographic Data Committee. PERMANENT. Transfer to FRC 5 years after termination. Transfer to NARA in 5-year blocks 20 years after termination. RCS/Item 201-02a(1) and NC1-57-81-2, Item 6a(1)
101-04b(2) All Other Agency Committee Records and Conference Records. Any other records created by agency committees as well as any records created by internal committees. Also, any copies of conference materials that document the purpose, activities, and results of agency conferences. Destroy when 3 years old or when no longer needed for reference. RCS/Item 201-02a(2) and NC1-57-81-2, Item 6a(2)

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Item No. Record Item / Description of Records Disposition Instructions Authority
102 Program Management, Director's, Project, and Oversight Records.    
102-01 Program Mission Files. Program mission records, maintained anywhere throughout the bureau, that directly relate to primary functions of the USGS and definitely do not fit within the authorized USGS discipline mission-specific records disposition schedules. Program mission records include, but are not limited to, research in biology, geology, topography, geochemistry, hydrology, geophysics, oceanography, and related sciences; inventorying national mineral, energy and water resources; classification of Federal lands for mineral and waterpower potential; surveying and mapping; publication of maps and reports detailing the results of these activities.

NOTE: This item can only be used with the authorization of the USGS Records Management Officer.
PERMANENT. Cutoff at the end of the fiscal year. Transfer to FRC 5 years after break. Transfer to NARA in 5-year blocks 20 years after file break. N1-57-01-04, Item 102-01a
102-02 Correspondence Control System. Located in the USGS senior level executive offices. These electronic files provide a correspondence locator, follow-up control and subject reference for correspondence received in the Office of the Director. The files contain document numbers assigned to correspondence, subjects, dates, and action office information. Input is from incoming and outgoing correspondence on a daily basis. Completed files are retired from the master file.

NOTE: Official files in the Director's File Room are specifically identified in Item 102-03 below.
PERMANENT. Transfer electronic records to NARA every 3 years with any related documentation, finding aids, and related information as specified in 36 CFR 1228.270 or according to standards applicable at the time of transfer. N1-57-08-1, Item 102-02
102-03 Bureau Director's Files. Copies of signed Director's Office correspondence. PERMANENT. Cutoff at the end of the fiscal year. Transfer to FRC 3 years after cutoff. Transfer to NARA 20 years after file break. N1-57-01-04, Item 102-01b(1)
102-04 Program Policy, Direction, and Decision Case Files. Case files, arranged by program activity name, containing documentation of major policy and other decisions that are not documented in a mission-related directives case file. These records provide a complete history of major events, approvals, and changes in program direction and other important actions. PERMANENT. Cutoff at the end of the fiscal year or if accumulation is limited; cutoff every 5 years. Transfer to FRC 10 years after cut-off. Transfer to NARA 30 years after cutoff. N1-57-01-04, Item 101-03
102-05 Project Records.    
102-05a. Project Case Files. Files reflect complete history of each project and may include planning documents, records of appraisal, evaluation, or review; test and trial results; reports; scientific peer review records; original observations, laboratory notes, notebooks, equipment printouts, and models; sampling methods; final results; copies of contracts or agreements for research services; drawings, specifications, and photographs of designed items; technical and progress reports; notices of completion or cancellation, and any correspondence or other action or discussion affecting the development of the project. Related records may include computer disks and other electronic media and information. This item should not be used if the project case file is covered more specifically in a USGS mission-specific records schedule. Copies of records may also be cross-filed in the bureau, discipline, regional, or office budget and accounting files if expenditure or receipt of funds is involved within their area. Cutoff upon completion of the project. Transfer to FRC 2 years after cutoff. Destroy 30 years after cutoff. RCS/Item 202-02 and NC1-57-81-2, Item 32
102-05b. Supporting Project Technical Information. Includes incidental project information not appropriate to the official project case file, i.e., not necessary to the official history of the project or are not of sufficient value for the incorporation into the project case files. Includes preliminary data and information, administrative correspondence, project reports, records containing technical and scientific data that has been duplicated in the project case file. Destroy when project final results are published. N1-57-08-1, Item 102-05b
102-05c Project Summary. Copy of the project's key information such as proposal, formal work plan, summary of project finances, listing of key contacts, presentation materials, and final report retained in the Project Chief/Scientist files. Destroy when no longer needed for reference. N1-57-08-1, Item 102-05c
102-06 Oversight Files. Correspondence and related materials pertaining to oversight responsibilities, i.e., Regional or Administrative offices. Includes, but not limited to, internal and/or external correspondence; records on areas of oversight (organized by subject or location); and general records relating to oversight responsibilities. Cutoff at the end of the fiscal year. Destroy 6 years after cutoff. RCS/Item 102-02b and NC1-57-82-4, Item 2B
102-07 General Reports and Correspondence Files. Miscellaneous reports and any materials or any copies of records, for all areas contained in this chapter. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-08-1, Item 102-07

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Item No. Record Item / Description of Records Disposition Instructions Authority
103 Bureau Directives and Federal Register Notices    
103-01 Bureau Directives Files. The USGS directives system is comprised of both temporary and permanent directives. Temporary directives are in effect for a short period of time. The USGS manual system is a permanent record of written policy and procedural instructions consisting of directives indexes, manual sections, manual supplements, handbooks, and handbook supplements. All Survey Manual (SM) issuances at the bureau, discipline, and regional level, with supporting documents, if any, document important aspects of development. These directives announce major changes in bureau policies and procedures. Also, included are all Departmental Manual issuances, developed by the bureau, that document the organizational structure of the USGS.    
103-01a Bureau Internal Directives Case Files. Record copy and supporting documentation of directive related to bureau program functions, organizations, etc., issued through the SM or discipline Operating Manuals, or organizational issuances published in the Departmental Manual. Maintained by the individual or staff responsible for directives control and distribution in the originating office. PERMANENT. Cutoff at the end of the fiscal year. Retire to FRC when volume exceeds at least 1 cubic foot. Transfer to NARA in 5-year blocks when 20 years old. N1-57-89-1, Item 203-01a
103-01b Temporary Issuances. Issuances related to routine administrative functions (e.g., payroll, procurement, personnel, property, vehicles, budget, forms, reports, mail, and printing). Maintained by the originating office. Destroy when issuance is superseded, canceled, or no longer needed for reference. Destroy any supporting documentation when issuance is destroyed. N1-57-02-02, Item 205-01b
103-02 Bureau Directives Management Program Files. Correspondence and material accumulated as a result of managing the directives program established to develop internal policy and procedural instructions. Includes preparation, format, revision, clearance, publication, distribution, and sales of instructions and releases. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff or when no longer needed for administrative purposes, whichever is later. N1-57-02-02, Item 205-03
103-03 Bureau External Directives Case Files    
103-03a Federal Register Notices. Material documenting the processing of notices announcing committee meetings, including meetings open to the public under the Government in Sunshine Act (5 U.S.C. 552b(e)(3)); hearing and investigations; filing of petitions and applications; issuance or revocation of a license; grant application deadlines, the availability of certain environmental impact statements; delegations of authority; and other matters that are not codified in the Code of Federal Regulation. (See note below).

NOTE: Agency files documenting the development, clearance, and processing of proposed and final rules for publication in the Federal Register are not covered by the General Records Schedules. These records may be, but are not necessarily, permanent. They must be scheduled individually by each agency so NARA can conduct an analysis and appraisal to determine their appropriate disposition.
Destroy when 1 year old. N1-57-02-02, Item 205-02c
103-03b Temporary Issuances of Regulations/Notices Maintained for Reference. Destroy when reference need expires. N1-57-89-1, Item 203-08c
103-03c Semiannual Agenda.    
103-03c(1) Information on rules scheduled for review or development during the subsequent 6-month period and on the status of those rules previously scheduled. This information is forwarded to the Office of Management and Budget for publication in the Federal Register. Destroy when no longer needed for reference. N1-57-87-2, Item 203-08d
103-03c(2) Files documenting the processing of semiannual regulatory agenda. Cutoff at the end of the fiscal year. Destroy when 2 years old. N1-57-02-02, Item 205-02e(2)

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