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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 1300. Publishing Records

Records that relate to the management and administration of the USGS publishing process for information products.

Chapter 1300 Topics This section provides for the disposition of the following:

1301. USGS Information Products

1302. Information Products Research and Management Files

1303. Miscellaneous Publishing Records

1304. Information Product Data System (IPDS)

1305. Electronic Publications Database System (currently called the Publications Warehouse)


1301. USGS Information Products include the following records:
1301-01 USGS Publications Series - Record copies of each printed or electronic USGS information product.
1301-02 All Other Copies - Duplicate copies of USGS information products.
1301-03 Review and Approval Records and Copyright Permission Records - Records supporting the review and approval of the USGS information products, including information products and articles published by outside sources.
1301-04 Working Papers, Manuscripts, and Background Materials - Records supporting the USGS information products.


1302. Information Products Research and Management Files include the following records:
1302-01 Research Records Supporting Information Products - Consists of research records that support the validity of the scientific data or information in the information product and are not already covered in any of the USGS mission-specific records schedules.
1302-02 Information Product Management Policies, Procedures, Directives, Instructions and Reports - Documents and miscellaneous reports pertinent to future and continuing actions for USGS information products management and activities.
1302-03 Information Product Customer Mailing Lists - Correspondence and other records relating to customer mailing lists.
1302-04 Information Product Indexes - Bibliographies and indexes of USGS information products.


1303. Miscellaneous Publishing Records include the following records:
1303-01 Internal USGS Information Products, Newsletters, and Announcements - Records circulated or distributed internally to USGS staff for informational purposes.
1303-02 Electronic Files, Artwork, Camera-Ready Originals, and Related Negatives (such as Line and Half-tone Negatives and Color Separates) - Materials used to publish (print or electronic) the final product.
1303-03 Printing Project Files - Print jobs or project records containing all papers and data pertaining to the planning and execution of printing, binding, duplicating, financing, and distributing.
1303-04 Miscellaneous Information Products Management Files - Documents, general in nature, which cannot be filed elsewhere in this chapter.


1304. Information Product Data System (IPDS) Records include the following records:
1304-01 Inputs - Information product development metadata, supporting documents and product components.
1304-02 Master File - Information product development metadata and review and approval records.
1304-03 Outputs - MODS metadata, emails.
1304-04 System Documentation - Documentation on the system.
1304-05 Backup Tapes - Backup information.


1305. Electronic Publications Database System (the Publications Warehouse) Records include the following records:
1305-01 Inputs - Bibliographic citations.
1305-02 Master File - Bibliographic data (including persistent URLs or equivalent) about the published USGS information products.
1305-03 Outputs - Citation information output based on pre-defined or user-specified queries.
1305-04 System Documentation - Documentation on the system.
1305-05 System Backup - Backup information.
1305-06 Working Papers and Background Materials - Records for verifying citations and materials on the database redesign or data migration.


What records in this chapter are important or considered permanent USGS records? •   Official USGS information products.
•   Master files and system documentation from the Bureau's electronic publication database system (Publications Warehouse) (including the persistent URL, digital object identifier, or equivalent).
•   Master files and system documentation from the Bureau's electronic publication development and tracking database system (IPDS).

One copy of each printed or electronic USGS information product and the master files and documentation (in a neutral format) from the Bureau's electronic publication development and tracking database system (IPDS) and the USGS electronic publication database system (currently called the Publications Warehouse) to be sent to the USGS Records Management Program, 12201 Sunrise Valley Drive, MS 807, Reston VA 20192 (Attn: NARA Archive) for forwarding to the National Archives and Records Administration (NARA) as the official USGS records.

NOTE: For online products send the persistent URL, digital object identifier, or equivalent and ensure that the records meet NARA regulations in effect as cited in 36 CFR 1228.


What records in this section are considered temporary USGS records? •   Duplicate copies of USGS information products.
•   Review and approval records and copyright permission records.
•   Working papers, manuscripts, and background materials.
•   Research records supporting information products.
•   Information products management policies, procedures, and reports.
•   Documents relating to the development, preparation, issuance, and interpretation of directives or regulatory instructions in the publishing area.
•   Information products customer mailing lists, indexes, and checklists.
•   Internal USGS information products, newsletters, and announcements.
•   Electronic files, artwork, camera-ready originals, and related negatives (such as line and half-tone negatives, and color separates).
•   Printing project files pertaining to the planning and execution of printing, binding, duplicating, financing, and distributing jobs.
•   Miscellaneous information products management and administration records, general in nature.
•   Input, output, and system backup files from the Bureau's electronic publications database system
•   Bureau's electronic publication development and tracking database system (IPDS) and the electronic publications database system (Publications Warehouse) working papers and background materials.


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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Chapter 1300. Publishing Records

1301 USGS Information Products || 1302 Information Products Research and Management Files || 1303 Miscellaneous Publishing Records || 1304 Information Product Data System (IPDS) || 1305 Electronic Publications Database System (currently called the Publications Warehouse)

Item No. Record Item / Description of Records Disposition Instructions Authority
1301 USGS Information Products. Official USGS information products covered by this Chapter are those published in USGS publication series, the limited-use series-Open-File Reports and the USGS Periodical-Annual Report of the USGS, as described in Survey Manual (SM) Chapter 1100.3 - USGS Publication Series at http://www.usgs.gov/usgs-manual/1100/1100-3.html, along with finding aids and indexes used to access collections of these information products.

NOTE: Electronic information products are the equivalent of printed publications or information products.

As a best practice, the Bureau encourages the use of a persistent URL, digital object identifier, or equivalent, to ensure consistency and ease of accessibility in retrieving USGS Web information.

Official USGS information products published on the Web must be available (using a persistent URL, digital object identifier, or equivalent), from the Bureau's electronic publications database system (the Publications Warehouse-see http://pubs.usgs.gov/).

May include chronological list and electronic index to the records and may be maintained in different media and formats. Therefore, this series is written to authorize the disposition of records in any media. Records created and maintained electronically, will be transferred to NARA in an approved electronic format (see http://www.archives.gov/records-mgmt/initiatives/transfer-regulation.html) for current NARA transfer standards.



1301-01 USGS Publication Series. One copy of each printed or electronic USGS information product (includes Limited-Use Publication Series: Open-File Reports (OFR) and the USGS Periodical: Annual Report of the USGS (which may be issued under various titles such as Performance and Accountability Report and Annual Financial Report.)

NOTE: For descriptions of publication series products, see SM Chapter 1100.3. In addition, refer to the various Bureau discipline-specific record schedules for any additional records disposition requirements for map and special map products. For online products send the persistent URL or equivalent.

PERMANENT. Cutoff at the end of the fiscal year. Transfer textural records of the official copy to the NARA in 5-year blocks when a 5-year block is available. Transfer electronic data, with related documentation and external finding aids, as applicable to NARA, as specified in 36 CFR 1228.270 or standards applicable at the time, every 5 years. N1-57-03-1, Item 1301-01
1301-02 All Other Copies. Duplicate copies of USGS information products maintained solely for convenience of reference. Destroy when no longer needed. N1-57-03-1, Item 1301-02
1301-03 Review and Approval Records and Copyright Permission Records. Review and approval records for published USGS information products (described in 1301-01 above) and for information products and articles published by outside sources (see SM 1100.4 at http://www.usgs.gov/usgs-manual/1100/1100-4.html). Contains, but not limited to, information such as author, title, purpose, publishing media, and signatures for peer (colleague) review, editorial review, delegated Bureau approval, and other appropriate USGS and outside source review and approval concurrences. Also, includes the written consent or permission of the copyright owner for using copyrighted materials in USGS information products and articles. Cutoff at the end of the fiscal year. Retain in appropriate region, discipline, or office until product is published. Destroy in agency 3 years after publishing or when no longer needed for reference, whichever is later. N1-57-03-1, Item 1301-03
1301-04 Working Papers, Manuscripts, and Background Materials. Records for USGS information products (described in 1301-01 above) and records for information products and articles published by outside sources (see SM 1100.4 at http://www.usgs.gov/usgs-manual/1100/1100-4.html). Contains, but not limited to, any required justifications and author's manuscript drafts that include reviewers' comments, including author's report of how comments were reconciled, and other background materials or history records. Retain in appropriate region, discipline, or office until document is published. Destroy in agency 6 months after publishing, or when no longer needed for reference, whichever is later. N1-57-03-1, Item 1301-04

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Item No. Record Item / Description of Records Disposition Instructions Authority
1302 Information Products Research and Management Files.

1302-01 Research Records Supporting Information Products. Files contain only research records that are not already covered in any of the USGS mission-specific schedules including original data, research material, and other publishing-essential background documents that support the validity of the scientific data or information in the information product. Destroy in agency when no longer needed for reference. N1-57-03-1, Item 1302-01
1302-02 Information Product Management Policies, Procedures, Directives, Instructions, and Reports. Documents and miscellaneous reports pertinent to future and continuing actions for USGS information products management activities.

NOTE: This file consists of policies, procedures, directives, and procedures for information products management that may not be included in the bureau master set of directives.

Cutoff at the end of the fiscal year. Place in inactive file when canceled, superseded, or revoked. Destroy when no longer needed for reference purposes. N1-57-03-1, Item 1303-01
1302-03 Information Product Customer Mailing Lists. Correspondence and other records relating to customer mailing lists. Destroy after appropriate revision of mailing list or after 3 months, whichever is later. RCS/Item 303-09a and GRS 13, Item 4a
1302-04 Information Product Indexes. Bibliographies and indexes of USGS information products. Destroy when superseded or obsolete. N1-57-03-1, Item 1303-05 and GRS 14, Item 6

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Item No. Record Item / Description of Records Disposition Instructions Authority
1303 Miscellaneous Publishing Records.

1303-01 Internal USGS Information Products, Newsletters, and Announcements. Information products, newsletters, or announcements circulated or distributed internally to USGS staff for informational purposes. These are not considered to be official USGS publications, nor have they been submitted for formal editorial review or received other formal review and approval prior to publishing. Destroy in agency when no longer needed for reference. N1-57-03-1, Item 1304-01
1303-02 Electronic Files, Artwork, Camera-Ready Originals, and Related Negatives (such as Line and Half-tone Negatives and Color Separates). Materials used to publish (print or electronic) the final product.

NOTE: Printing instructions should be maintained with the artwork to which it relates and retained for the same amount of time.

Maintain on back-up system for 10 years then destroy in agency when no longer needed for reference. N1-57-03-1, Item 1305-01
1303-03 Printing Project Files. Print jobs or project records containing all papers and data pertaining to the planning and execution of printing, binding, duplicating, financing, and distributing. Cut off at the end of the fiscal year. Destroy in agency when no longer needed for reference RCS/Item 303-07a and GRS 13, Item 2a
1303-04 Miscellaneous Information Products Management Files. Documents relating to information product management and administration that, due to their general nature, cannot logically be filed elsewhere in this chapter. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-03-01, Item 1303-06

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Item No. Record Item / Description of Records Disposition Instructions Authority
1304 Information Product Data System (IPDS). Bureauwide system for managing the development of USGS information products. Tracks and monitors the development of all products requiring Bureau approval, including non-USGS publications such as abstracts and journal articles.

1304-01 Inputs. Consists of information product development metadata, workflow status information and documents that support the development of USGS information products. Also includes information product components that are in development, such as draft information product manuscripts and illustration files. Data is stored on a per product basis. Delete or destroy after input and verification of data and files into the master file or when no longer needed to support the reconstruction of the master file, whichever is later. GRS 20, Items 2a(4) and 2b
1304-02 Master File. Contains information product development metadata for USGS and outside publications for the Bureau, including abstracts and journal articles.

1304-02a Information Product Development Metadata. Metadata used for trend reporting for USGS and outside publications for the Bureau, including abstracts and journal articles. Cutoff at the end of the fiscal year. Destroy 10 years after cutoff. N1-57-08-06, Item 1304-02a
1304-02b Review and Approval Records. Includes draft manuscripts and illustrations, peer review comments and peer review resolution documents, as well as USGS approval documents and comments. Delete individual record 3 years after publication of the information product. N1-57-08-06, Item 1304-02b
1304-03 Outputs. Includes information product bibliographic metadata (Supplied to the USGS Publications Warehouse) and user-specified status and metadata summary reports. Also includes draft manuscripts and illustrations, peer review comments and peer review resolution documents, as well as USGS approval documents and comments in the following formats: Portable Document Format (PDF), Microsoft Office Word (DOC), Microsoft Excel (XSL), Encapsulated Postscript (EPS), Adobe Illustrator (AI), Adobe InDesign (INDD), Tagged Image File Format (TIF), Bitmap Image (BMP), Joint Photographic Engineering Group (JPEG), Hypertext Markup Language (HTML), Extensible Markup Language (XML), and Text (TXT). Maintain until superseded or obsolete and then destroy. N1-57-08-06, Item 1304-03
1304-04 System Documentation. Technical documentation adequate to identify, service, and interpret electronic records, such as data modeling, documentation, data system specifications, data element descriptions, data dictionaries, code books, record layouts, user guides, output specifications, standards, and similar documentation necessary for servicing and interpreting the system-generated records. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-08-06, Item 1304-04
1304-05 Backup Tapes. Includes daily metadata and weekly document backups. Tapes are stored off site. Maintain until superseded or obsolete and then destroy. GRS 20, Item 8b

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Item No. Record Item / Description of Records Disposition Instructions Authority
1305 Electronic Publications Database System (currently called the Publications Warehouse). The Bureau's official publications catalog and database system that contains bibliographic citations of published USGS information products, including USGS publication series, thematic maps, and some outside publications (see http://pubs.usgs.gov/).

The database system also contains scanned image files of USGS information products previously published in hard copy only. The majority of the electronic image files are of historical USGS publication series.



1305-01 Inputs. Consists of bibliographic citations, originally compiled from the official USGS library database and over 100 other USGS sources. New records for outside publications previously authored by USGS (legacy products) are gradually added from program or thematic sources. New records are immediately created when an information product is published. Also, contains electronic image files of USGS publication series information products previously published in hard copy only. Delete or destroy after input and verification of bibliographic data and scanned image files into master file or when no longer needed to support the reconstruction of the master file, whichever is later. GRS 20, Items 2a(4) and 2b
1305-02 Master File. Contains bibliographic data (including persistent URLs or equivalent) about published USGS information products, including USGS series publications, limited-use series (Open File Reports) thematic maps, and some outside publications as well as electronic image files of previously published USGS publication series information products. This collection is the most comprehensive bibliographic citation source for USGS series publications. PERMANENT. Cutoff at the end of the fiscal year. Transfer copy to NARA every five years in accordance with NARA regulations in effect as cited in 36 CFR 1228. N1-57-08-06, Item 1305-02
1305-03 Outputs. Consists of citation information output based on pre-defined or user-specified queries. Interfaces with other systems to provide availability, pricing, and purchase options for hardcopy USGS information products. Also, for the scanned image files provides a modified scanned image format output to be viewed or printed. Maintain until superseded or obsolete and then destroy. N1-57-08-06, Item 1305-03
1305-04 System Documentation.

1305-04a Technical Documentation. Technical documentation adequate to identify, service, and interpret electronic records, such as data modeling, documentation, data system specifications, data element descriptions, data dictionaries, code books, record layouts, user guides, output specifications, standards, and similar documentation necessary for servicing and interpreting the system-generated records. PERMANENT. Transfer those records necessary to document how the system captures, manipulates, and outputs data to NARA as specified in 36 CFR 1228.270. This document would be transferred with the electronic data flat file. GRS 20, Item 11b
1305-04b Other System Documentation. All other system documentation that is not critical for servicing and interpreting the system-generated records. Maintain until superseded or obsolete and then destroy. N1-57-08-06, Item 1305-04b
1305-05 System Backup. System backups are completed weekly and are stored off-site. Destroy or re-use when superseded. GRS 20, Item 8b
1305-06 Working Papers and Background Materials. Intermediate records for verifying citations may contain history and reconciliation comments. Materials pertaining to database redesign or data migration while in progress. Maintain until no longer needed for reference and then destroy. N1-57-08-06, Item 1305-06

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