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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 600. Legal, Congressional, Inventions, Patents, Technology Transfer Agreements, Cooperative Research and Development Agreements, and Other USGS Agreement Records

Records which furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities.

Chapter 600 Topics This section provides for the disposition of the following USGS Legal, Congressional, Inventions, Patents, Technology Transfer Agreements, Cooperative Research and Development Agreements, and Other USGS Agreement Records:

601. Law and Litigation Records

602. Congressional Records

603. Inventions, Patents, and Copyrights

604. Technology Transfer Agreements (TTA)

605. Other USGS Agreements


601. Law and Litigation Files include the following records:
601-01 Law and Litigation General Files - General correspondence pertaining to law and litigation topics not otherwise covered in this schedule.
601-02 Law and Litigation Reports - Miscellaneous reports.
601-03 Solicitor's Office Correspondence - Correspondence received from the Department of the Interior's Solicitor's Office.
601-04 Law Enforcement Files - Correspondence and related material pertaining to the maintenance of law and order.
601-05 Litigation and Appeals Files - Correspondence and related documents provided in responses to discovery requests.
601-06 Investigative Case Files - Documents used in the inquiry and investigation.
601-07 Claims - Case files pertaining to claims.
601-08 Witness Files - Material relating to employees testifying as official witnesses in judicial proceedings.
601-09 Compliance Audit and Assessment Records - Audit and assessment requests, proposals, and other related records.


602. Congressional Records include the following records:
602-01 Congressional Legislative Files - Copies of proposed House and Senate bills and related documentation.
602-02 Member Files - Copies of biographical information, correspondence, and related information.
602-03 Legislative Proposal Case Files - Legislative proposals drafted by the USGS.
602-04 Congressional and Legislative Files - General correspondence pertaining to Congressional and legislative topics not otherwise covered in this schedule.
602-05 Congressional Hearing/Briefing Files - All materials from hearings or USGS briefings.


603. Inventions, Patents, and Copyrights Files include the following records:
603-01 Invention Case Files - Specific case files pertaining to inventions developed by bureau employees.
603-02 True Copy Certifications - Certifying or evidencing true copy nature of material submitted for publication in the Federal Register or elsewhere.


604. Technology Transfer Agreements (TTA) Files include the following records:
604-01 Cooperative Research and Development Agreements (CRADAs) - Written agreements between a private sector organization and the USGS to work together on a project.
604-02 Other TTA Agreements - Material Transfers and Non-Disclosure Agreements.
604-03 Other Records and Documents Associated with Technology Transfer Formats - Proposals, planning documents, correspondence, budget materials, and other related materials.
604-04 Marketing Research or Promotional Records - Newsletters, brochures, and other such promotional items.
604-05 Other TTAs - Any Executed Record Copies held in Tech Transfer/OPA Files - Shorter term collaborative research agreements.


605. Other USGS Agreements include the following records:
605-01 Agreements signed by the USGS to accept fiscal resources (excludes TTAs) - Case files maintained by the office having signatory authority for the instrument.
605-02 Reimbursable Service Agreements - Agreements signed by the USGS, to finance the provision of a service.
605-03 Memorandum of Understandings/Memorandum of Agreements - Agreements identifying and defining potential areas of coordination and cooperation.
605-04 Intergovernmental Personnel Act (IPA) Mobility Program - Agreements which provide for the temporary assignment of personnel.
605-05 Proposals - Any copies of agreements that were unsuccessful joint ventures and never approved
605-06 Other Copies - For all other copies of documents listed in the 604 and 605 sections that are maintained for reference purposes


What records in this chapter are important or considered permanent USGS records? •   Investigative Case Files of significant investigations.
•   Legislative proposal case files consisting of legislative proposals, review comments, analyses, recommendations, and related documents.
•   Congressional hearing/briefing files.


What records in this section are considered temporary USGS records? •    Law and litigation general files and reports.
•   Solicitor's Office correspondence.
•   Law enforcement files including cases of illegal activity.
•    Litigation and appeals.
•    Minor agency investigative case files.
•    Case files pertaining to claims.
•    Witness files.
•    Compliance Audit and Assessment Records.
•    Congressional files such as proposed Congressional bills, member files, legislative proposals, and general files.
•    Inventions and patents.
•    True copy certifications.
•    CRADAs.
•    Technology Transfer Agreements (TTA).
•    Agreements signed by the USGS to accept fiscal resources.
•    Other agreements such as reimbursable agreements, service agreements, Memorandum of Understanding, Memorandum of Agreements, and Intergovernmental Personal Act agreements.
•    Unsuccessful proposals or joint ventures.


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 600. Legal, Congressional, Inventions, Patents, Technology transfer Agreements, Cooperative Research and Development Agreements, and Other USGS Agreement Records

601 Law and Litigation Records || 602 Congressional Records || 603 Inventions, Patents, and Copyrights || 604 Technology Transfer Agreements (TTA) || 605 Other USGS Agreements

Item No. Record Item / Description of Records Disposition Instructions Authority
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. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. N1-57-02-03, Item 601-01
601-02 Law and Litigation Reports. Miscellaneous reports pertaining to law and litigation. Cutoff at the end of each fiscal year. Destroy 5 years after cutoff. N1-57-02-03, Item 601-02
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. Cutoff at the end of each fiscal year. Destroy 6 years after cutoff. N1-57-02-03, Item 601-03
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. Cutoff at the end of each fiscal year. Destroy 5 years after cutoff. N1-57-02-03, Item 601-04
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. Cutoff 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. N1-57-02-03, Item 601-05
601-06 Investigative Case Files. Located in the USGS Records Management Office or other designated offices. Consists of documents describing the nature, scope, and purpose of the project; documents used in the inquiry and investigation including significant correspondence (including e-mail), working papers, working drafts, reports, memorandums, copies of records produced, follow-up documents, and any other appropriate records.

601-06a Significant Investigations. Where the agency is involved in extensive litigation or received widespread publicity. Destroy 50 years after final agency action. N1-57-08-02, Item 601-06a
601-06b Minor Cases. Destroy 20 years after final agency action. N1-57-08-02, Item 601-06b
601-07 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. Cutoff file after settlement. Destroy 10 years after cutoff. N1-57-02-03, Item 601-06
601-08 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. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. N1-57-02-03, Item 601-07
601-09 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. Cutoff at the end of the fiscal year or when audit or assessment is complete, whichever occurs first. Destroy 5 years after cutoff. N1-57-02-03, Item 603-04

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Item No. Record Item / Description of Records Disposition Instructions Authority
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. NC1-57-81-2, Item 29, Item 601-01
602-02 Member Files. Copies of biographical information, correspondence, and related information. Cutoff at the end of the fiscal year. Destroy material when no longer needed for reference. N1-57-02-03, Item 602-02b
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. Cutoff when legislation is enacted. Hold 10 years or until volume warrants and retire to FRC. Transfer to NARA 30 years after cutoff. N1-57-02-03, Item 602-03
602-04 Congressional and Legislative General Files. General correspondence pertaining to Congressional and legislative topics not otherwise covered in this schedule. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-02-03, Item 602-04
602-05 Congressional Hearing/Briefing Files. All materials from hearings or USGS briefings. Hearings include those in which USGS witnesses are invited to participate and those which the Office of Communications and Outreach choose to cover. Briefings include visits to Congressional offices, committees, or DOI initiated by both the requesting office and the USGS. PERMANENT. Cutoff at the end of the fiscal year. Transfer to NARA in 5-year blocks. Transfer when most recent record is 10 years old, or if volume warrants, transfer earlier. N1-57-08-02, Item 602-05

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Item No. Record Item / Description of Records Disposition Instructions Authority
603 Inventions, Patents, and Copyrights.

603-01 Invention 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. Cutoff files at the end of the fiscal year after the patent is issued. Transfer to the FRC 15 years after cutoff. FRC destroy 25 years after cutoff. N1-57-02-03, Item 603-01a
603-01b Abandoned Patent Files. Cutoff files at the end of the fiscal year. Transfer to the FRC when volume warrants. Destroy when 20 years old. N1-57-02-03, Item 603-01b
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.

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.
Cutoff files at the end of the fiscal year. Transfer to the FRC when volume warrants. Destroy when 20 years old. N1-57-02-03, Item 603-01c
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. N1-57-02-03, Item 603-02

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Item No. Record Item / Description of Records Disposition Instructions Authority
604 Technology Transfer Agreements (TTA). Pursuant to 15 USC 3710(a) a cooperative research and development agreement is any agreement between USGS and public and private parties under which USGS conducts joint or leveraged research with a mission related objective. USGS tech transfer mechanisms include formal Cooperative Research and Development Agreements (CRADAs), Technical Assistance Agreements, Material Transfer Agreements, User Facility Agreements, and Personnel Exchange Agreements. TTAs are joint partnership opportunities established between the USGS and other parties including private entities, State, and local governments, and non-profit entities.

All the TTA formats described above are negotiated agreements between USGS and a qualified private or public entity, under which USGS and the partner leverage resources on a research or technical project. All require execution by both parties.


604-01 Cooperative Research and Development Agreements (CRADAs). A formal CRADA file should contain: the original signed agreement, any incorporated schedules or attachments, signed amendments, the Conflict of Interest Form, the Announcement Notice of Opportunity (Federal Register, Commerce Business Daily, or Federal Biz Ops Notice), and any correspondence between the parties during the course of the research effort related to the agreement or research effort. Cutoff files at the expiration of the agreement. 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 (see 603-01a). N1-57-02-03, Item 603-03a
604-02 Other TTA Agreements. Material Transfer Agreements which bring in or send out material for scientific trials; and Non-Disclosure Agreements under which typically limit or restrict USGS use of proprietary information. Cutoff files at the end of the fiscal year that the agreement expires. Destroy 6 years and 3 months after cutoff. N1-57-08-02, Item 604-02
604-03 Other Records and Documents Associated with Technology Transfer Formats. These records include, but are not limited to, accepted proposals, project planning documents, start-up reports, correspondence, budgetary documentation, status reports, technical data and study information, partnership meeting notes, clearances obtained for publication, or joint and single press releases, presentation materials, and other related records. Transfer identified deliverable and a copy of any written reports required under the TTA to the partner.

Retain 1 record set for 10 years after project completion or termination, and then destroy.
N1-57-08-02, Item 604-03
604-04 Marketing Research or Promotional Records. Includes, but not limited to, questionnaires, product trend analysis, newsletters, brochures, posters, articles and photos published in national trade journals and magazines, and mailing lists. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. N1-57-08-02, Item 604-04
604-05 Other TTAs - Any Executed Record Copies held in Tech Transfer/OPA Files. Technical Assistance Agreements, Facility Use Agreements, and Personnel Exchange Agreement; are shorter term collaborative research agreements in which the opportunity for creating patented or copyrightable intellectual property is much more limited. Cutoff files at the expiration of the agreement. Destroy 10 years after the agreement expires. N1-57-08-02, Item 604-05

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Item No. Record Item / Description of Records Disposition Instructions Authority
605 Other USGS Agreements. A typical file contains the agreement, correspondence, annual and progress reports, agreement amendments and renewals, and similar records.

NOTE: Originals should be filed in this legal and legislation records section. 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.


605-01 Agreements Signed by the USGS to Accept Fiscal Resources (Excludes TTAs) - Record Copy. Case files maintained by the office having signatory authority for the instrument. Examples include Cooperator (COOP), Joint Funding Agreements (JFAs), Federal Interagency Agreements (FIA), Military Interdepartmental Purchase Requests (MIPRs), collaborative agreements, and reimbursable agreements with State and local agencies. Cutoff files at the expiration of the agreement and transfer to the FRC when volume warrants. Destroy 30 years after the agreement expires. N1-57-02-03, Item 603-03a
605-02 Reimbursable Service Agreements. Agreements, signed by the USGS, to finance the provision of a service, such as with the Department of the Interior. Cutoff after final payment is made. Destroy 6 years 3 months after cutoff. N1-57-08-02, Item 605-02
605-03 Memorandum of Understandings/ Memorandum of Agreements - Record Copy. Agreements identifying and defining potential areas of coordination and cooperation. Outlines basic policies and procedures governing collaboration on matters of mutual concern or interest. Cutoff at the completion of the agreement. Place in inactive file. Destroy when no longer needed for reference purposes.

NOTE: For reference purposes, it is suggested that documents be retained indefinitely.
N1-57-08-02, Item 605-03
605-04 Intergovernmental Personnel Act (IPA) Mobility Program - Record Copies. Agreements which provide for the temporary assignment of personnel between the Federal government and State or local governments, institutions of higher education, Indian Tribal Governments, Federally funded research and development centers; and other eligible organizations. Files include the Assignment Agreement form (OP-69) and any supporting documents.

NOTE: For USGS employees ensure that the appropriate records are filed in accordance with the Guide to Personnel Recordkeeping.
Cutoff at the end of the agreement. Destroy 2 years after cutoff. N1-57-08-02, Item 605-04
605-05 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. N1-57-02-03, Item 603-03c
605-06 Other Copies. For all other copies of documents listed in the 604 and 605 sections that are maintained for reference purposes. Destroy when no longer needed for reference. N1-57-02-03, Item 603-03b

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