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
Legal services protect the legal and financial rights of the Government, the USGS, and persons directly affected by the activities of the USGS.
| Chapter 600 Topics | This section provides for the disposition of the following USGS Legal and Congressional records: | |
| 601. | Law and Litigation Records. | |
| 602. | Congressional Records. | |
| 603. | Inventions, Patents, Copyrights, and Agreements. | |
| 604. | Electronic Mail (E-mail) and Word Processing System copies of Legal and Congressional records. | |
| 601-01 | Law and Litigation General Files. |
| 601-02 | Law and Litigation Reports. |
| 601-03 | Solicitor's Office Correspondence. |
| 601-04 | Law Enforcement Files. |
| 601-05 | Litigation and Appeals Files. |
| 601-06 | Claims. |
| 601-07 | Witness Files. |
| 602-01 | Congressional Legislative Files. |
| 602-02 | Member Files. |
| 602-03 | Legislation Proposal Case Files. |
| 602-04 | Congressional and Legislative General Files. |
| 603-01 | Inventions Case Files. |
| 603-02 | True Copy Certifications. |
| 603-03 | Agreements. |
| 603-04 | Compliance Audit and Assessment Records. |
| 604-01 | Electronic copies of e-mail and word processing records created solely to produce the recordkeeping copy and electronic copies of e-mail and word processing records that are needed in addition to the recordkeeping copy for dissemination, revision, or updating. |
| What files in this section are important or considered permanent USGS records? | • Legislation proposal case files that affect the USGS and are maintained by the USGS Congressional Liaison Office. • Successful patent files. • Record copies of bureau agreements such as Cooperator (COOP)/Joint Funding Agreements, Cooperative Research and Development Agreements, Memorandum of Understandings/Memorandum of Agreements, and Military Interdepartmental Purchase Requests. |
| What files in this section are considered temporary USGS records? | • Law and litigation general files, reports, and routine correspondence. • Solicitor's office correspondence. • Law Enforcement files. • Litigation and appeals case files. • Claim case files. • Witness files. • Congressional records such as proposed Congressional bills, member files, legislative proposals, and general correspondence • Abandoned patent files and invention disclosure files. • True copy certifications. • Copies of agency agreements as well as copies of unsuccessful proposals. • Compliance audit and assessment files. |
| Miscellaneous | Information regarding ongoing USGS litigation cases that involve freezing of USGS records. Correspondence and any related materials, in any media, located in any USGS office nationwide with reference to any of the following areas should be frozen until further notice. These areas are: 1) Indian Trust and Individual Indian files; 2) New Mexico (Cerro Grande) fire related files; 3) Coeur d'Alene Basin mining records; and 4) Federal Smoking and Tobacco policy and use records. Further and more specific information on these litigations, and any future litigations, may be obtained from the USGS Records Manager or your discipline or regional Records Liaison Officer. Such records must be frozen and retained indefinitely since they are involved in litigations. Records should be maintained in the area of this schedule or appropriate bureau mission-specific schedule, where they normally would belong if no litigation were involved. Once official bureau notification is received that the litigation is concluded, then apply applicable disposition. (See NOTE below). NOTE: Authorized disposition applied will be that approved disposition applicable to the records in the area of this schedule or the appropriate bureau mission-specific schedule where they are located. As an example, if the record is a Freedom of Information Act response, then apply the authorized disposition found in Chapter 500 of this schedule; or if the record concerns a county ground water record, then apply the authorized disposition found in the Water Resources mission-specific schedule. |
| Questions? | Contact the USGS Records Manager or your discipline or regional Records Liaison Officer. |
| Item No. | Description of Records | Disposition Instructions |
|---|---|---|
| 601 | Law and Litigation Records. | |
| 601-01 | Law and Litigation General Files. General correspondence pertaining to law and litigation topics not otherwise covered in this schedule. | Cut-off at the end of the fiscal year. Destroy 5 years after cut-off. |
| 601-02 | Law and Litigation Reports. Miscellaneous reports pertaining to law and litigation. | Cut-off at the end of the fiscal year. Destroy 5 years after cut-off. |
| 601-03 | Solicitor's Office Correspondence. Correspondence received from the Department of the Interior Solicitor's Office either in response to a request by a USGS office for advice or sent to the USGS for informational purposes. | Cut-off at the end of each fiscal year. Destroy 6 years after cut-off. |
| 601-04 | Law Enforcement Files. Correspondence and related material pertaining to the maintenance of law and order. Case files consist of trespass and similar crimes occurring on USGS properties, theft, vandalism, unlawful entry, unauthorized occupation of land, and illegal activities on bureau-owned properties. | Cut-off at the end of each fiscal year. Destroy 5 years after cut-off. |
| 601-05 | Litigation and Appeals Files. Correspondence and related documents, such as discovery requests, listings of bureau contacts, and listings or copies of documents provided in response to discovery requests. Cases pertain to suits filed against the Federal Government, in general, or any of its Departments, agencies, or bureaus and involves searching and producing of USGS records. | Cut-off at the end of the fiscal year. Destroy 10 years after issuance of final decision, or upon final ruling, if appealed, or upon withdrawal of appeal, whichever is later. |
| 601-06 | Claims. Case files pertaining to claims. Includes, but not limited to, damage claims as a result of fire or property damage; tort claims; settlement agreements; investigative reports; damage appraisals; legal opinions; correspondence negotiating settlement or denial of claims; copies of summons, subpoenas, complaints, and court rulings; and copies of court proceedings in cases where litigation occurs. (If preferred, see Item 703-11 for filing of claims records in the budget area if preference is to file within that area). | Break file at the end of the fiscal year. Cut-off file after settlement. Destroy 10 years after cut-off. |
| 601-07 | Witness Files. Material relating to employees testifying as official witnesses in judicial proceedings. Includes such items as permission to testify, requests and authorizations, depositions, and statements. | Cut-off at the end of the fiscal year. Destroy 5 years after cut-off. |
| Item No. | Description of Records | Disposition Instructions |
|---|---|---|
| 602 | Congressional Records. | |
| 602-01 | Congressional Legislative Files. Copies of proposed House and Senate bills and related documentation regarding USGS operations and related correspondence. | Destroy when legislation is passed or when no longer needed, whichever is later. |
| 602-02 | Member Files. Copies of biographical information, correspondence, and related information. | |
| 602-02a | Congressional Liaison Team (CLT) official files maintained in the CLT. | Break files at the end of each Congress (2 years) and transfer to the FRC. Destroy when 10 years old. |
| 602-02b | All other copies. | Cut-off at the end of the fiscal year. Destroy material when no longer needed for reference. |
| 602-03 | Legislative Proposal Case Files. Maintained by the CLT. Consists of legislative proposals drafted by the USGS. Includes review comments, analyses, recommendations, and related documents. | Permanent. Cut-off when legislation is enacted. Hold 10 years or until volume warrants and retire to FRC. Transfer to NARA 30 years after cut-off. |
| 602-04 | Congressional and Legislative General Files. General correspondence pertaining to Congressional and legislative topics not otherwise covered in this schedule. | Cut-off at the end of the fiscal year. Destroy 2 years after cut-off. |
| Item No. | Description of Records | Disposition Instructions |
|---|---|---|
| 603 | Inventions, Patents, Copyrights, and Agreements. | |
| 603-01 | Inventions Case Files. Specific case files pertaining to inventions developed by bureau employees including correspondence and data supporting invention reports on patent applications. Typical case file contains the invention disclosure, the patent application, correspondence between the Patent and Trademarks Office and the USGS, the registered patent if it is issued, or patent abandonment documents if a patent is not issued or the application is withdrawn. | |
| 603-01a | Successful patent files. | Cut-off files at the end of the fiscal year after the patent is issued. Transfer to the FRC 15 years after cut-off. FRC destroy 25 years after cut-off. |
| 603-01b | Abandoned patent files. | Cut-off files at the end of the fiscal year. Transfer to the FRC when volume warrants. Destroy when 20 years old. |
| 603-01c | Invention disclosure files. Case files created in the bureau prior to filing for a patent, but for which no registration or application process is completed. Invention disclosure files contain a detailed description of the invention, drawings, correspondence, and other similar records. | Cut-off files at the end of the fiscal year. Transfer to the FRC when volume warrants. Destroy when 20 years old. NOTE: A review of files by the USGS Technology Enterprise Office must be conducted prior to destruction to ensure that alleged infringement claim of patent has been resolved. |
| 603-02 | True Copy Certifications. Certifying or evidencing true copy nature of material submitted for publication in the Federal Register or elsewhere, including copy of material to be published, evidence of certification of true copy, letter of transmittal, and related correspondence and documents. | Destroy when 1 year old. |
| 603-03 | Agreements. Case files created to monitor and track agreements, such as Cooperator (COOP)/Joint Funding Agreements (JFAs), Cooperative Research and Development Agreements (CRADAs), Memorandum of Understandings (MOUs)/Memorandum of Agreements (MOAs), and Military Interdepartmental Purchase Requests (MIPRs). A typical file contains the agreement, correspondence, annual and progress reports, agreement amendments and renewals, and similar records. Originals should be filed in this legal and legislation records section. Copies of records may also be cross-filed in the bureau, discipline, division, or office budget and accounting files if expenditure or receipt of funds is involved within their area. | |
| 603-03a | Record Copy. Case files maintained by the office having signatory authority for the instrument. | Cut-off files at the expiration of the agreement and transfer to the FRC when volume warrants. Destroy 30 years after the agreement expires. If there are any patents or income tied to the CRADA then it should be maintained as part of the licensing agreement file or the patent file and maintained permanently. |
| 603-03b | All other copies. | Cut-off at the end of the fiscal year. If maintained with financial schedules, retain according to appropriate financial disposition. For all other copies, destroy when no longer needed. |
| 603-03c | Proposals. Any copies of agreements (or proposals) that were unsuccessful joint ventures and never approved will be filed in this section. | Destroy when no longer needed. |
| 603-04 | Compliance Audit and Assessment Records. Audit and assessment requests and proposals, work plans, work papers, correspondence, internal and external exhibits, appeals, legal opinions, and reports of findings. Examples include audits and assessments in areas such as safety, security, health, and environmental. NOTE: Use Item 702-08 for audits specific to financial operations and use Item 703-01 for accountable officer's records held for onsite audits by the General Accounting Office. | Cut-off at the end of the fiscal year or when audit or assessment is complete, whichever occurs first. Destroy 5 years after cut-off. |
| Item No. | Description of Records | Disposition Instructions |
|---|---|---|
| 604 | Electronic Mail and Word Processing System Copies. | |
| 604-01 | Electronic Copies of Records. Electronic copies of records that are created on electronic mail and word processing systems and used solely to generate a recordkeeping copy of the records covered by the other items in this chapter. Also includes electronic copies of records created on electronic mail and word processing systems that are maintained for updating, revision, or dissemination. | |
| 604-01a | Copies that have no further administrative value after the recordkeeping copy is made. Includes copies maintained by individuals in personal files, personal electronic mail directories, or other personal directories on hard disk or network drives and copies on shared network drives that are used only to produce the recordkeeping copy. | Destroy/delete within 180 days after the recordkeeping copy has been produced. |
| 604-01b | Copies used for dissemination, revision, or updating that are maintained in addition to the recordkeeping copy. | Destroy/delete when dissemination, revision, or updating is completed. |
