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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 800. Acquisition, Supply, and Grant Records

Procurement and contract, acquisition of goods, supply management, grant and cooperative agreement programs, contracting officer, and small and disadvantaged business utilization files are included in this section.

Chapter 800 Topics This section provides for the disposition of the following:

801. Acquisition Files

802. Supply Management Files

803. Grant Files

804. Acquisition Management and Administration Files


801. Acquisition Files include the following records:
801-01 Acquisition Files - Contract, purchase order, Blanket Purchase Agreements, task and delivery orders.
801-02 Contracts Appeals Case Files - Case files arising under the Contracts Dispute Act.
801-03 Contingent Fee Violations Files - Evidence of violation of the Covenant Against Contingent Fees and related documents.
801-04 Contractor's Payroll Files - Contractor's payrolls (construction contracts) submitted in accordance with Labor Department regulations.
801-05 Performance of Commercial Activities Files - Documentation created in the analysis and evaluation of commercial activities.
801-06 Unsolicited Proposals - Records of unsolicited proposals and their disposition and copies of unsuccessful proposals and related correspondence.


802. Supply Management Files include the following records:
802-01 Supply Management Files - Files or reports on supply requirements and procurement matters submitted for supply management purposes.


803. Grant Files include the following records:
803-01 Grant and Cooperative Agreement Case Files - Proposals or application, requisitions, award documents, project reports, studies, assurances, correspondence, and other records.
803-02 Grant Administrative Files - Correspondence relating to routine operations and daily activities in administration of the Grant program.


804. Acquisition Management and Administration files include the following records:
804-01 General Acquisition Management Files - Records of acquisition function management activities.
804-02 General Acquisition Correspondence Files - Files of operating procurement and acquisition units concerning internal operation and administration matters not covered elsewhere in this schedule.
804-03 Contracting Officer Files - Applications for appointment of contracting officer(s), certificates of appointments, renewals, and related correspondence.
804-04 Small and Disadvantaged Business Utilization Files - Correspondence, reports, studies, and other records.


What records in this chapter are important or considered permanent USGS records? •   None of the records listed are permanent records.

Official contract files should be maintained in accordance with the retention periods set forth in the FAR, 48 CFR 4.805(b). The documents specified in this chapter may not be destroyed before the times indicated and may be retained longer if the responsible agency official determines that the files have future value to the Government.


What records in this section are considered temporary USGS records? •   All records in this chapter are considered as temporary records.


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 800. Acquisition, Supply, and Grant Records

801 Acquisition Files || 802 Supply Management Files || 803 Grant Files || 804 Acquisition Management and Administration Files

Item No. Record Item / Description of Records Disposition Instructions Authority
801 Acquisition Files.

801-01 Acquisition Files. Contract, purchase order, Blanket Purchase Agreements, task and delivery orders, including interagency agreements acquiring goods or services from other Federal agencies. Files include the record (General Accounting Office (GAO) review) copy of the award and requisitions, correspondence, tax exemption certificates and related papers, and papers pertaining to solicitation, offer, award, administration, receipt, inspection and payment, and related records as described in the Federal Acquisition Regulations (FAR) 4.801-4.803. This schedule does not cover interagency agreements under which the USGS receives money to perform services for others. NOTE: Obligation copies of awards are not covered in this section but are covered under Item 703-01, Accountable Officers' Files.

801-01a Official Contract Files. Procurement or purchase organization copy of requisitions, solicitations, bids, proposals, quotations, awards, and related papers necessary for GAO or internal audit purposes. Follow retention periods set forth in the FAR, 48 CFR 4.805(b). N1-57-02-04, Item 801-01a
801-01b Procurement Reference Copies. Other copies of records described in this section used for administrative or reference purposes, including copies used by the requiring office (such as Contracting Officer Representative files) but not including obligation and payment records covered in Chapter 700. Destroy upon termination or completion. RCS/Item 801-01b and GRS 3, Item 3c
801-01c Electronic data submitted to the Federal Procurement Data System (FPDS). Refer to FAR 4.805(b)(9). Destroy or delete when 5 years old. RCS/Item 801-01c and GRS 3, Item 3d
801-01d Procurement Desktop (PD). This automated acquisition system contains acquisition data and document copies which support acquisition operations in larger USGS acquisition offices. Apart from FPDS data (Item 801-01c), the data contained in PD consist only of the same information as is contained in all or portions of the disposable paper records in the official file (Item 801-01a), which it duplicates. This electronic record also serves as the disaster recovery copy. Destroy after close of the fiscal year in which final payment is made or contract file is closed, whichever is later. N1-57-02-04, Item 801-01d
801-01e Charge Card Purchase Records. Documents supporting purchases made by charge card (including convenience checks). Purchase records include cardholder logs, initiating requests, vendor quotes, order forms (such as fax, e-mail, and e-catalogue order form printouts). NOTE: Related documents that are required to support payment of charge card purchases (including original sales receipts, packing slip, or other records itemizing and describing item purchased, certified monthly statements, convenience check duplicates, and registers) are not covered here but are classed under Item 703-01a. Records associated with payment for passenger or freight transportation are covered under Item 303-01a. If charge card purchase records include or are filed together with payment or transportation records, apply the longest retention period.

801-01e(1) Cardholder/Approving Official Records. Destroy 6 years 3 months after close of the fiscal year in which final payment is made. N1-57-02-04, Item 801-01e
801-01e(2) Copies for Reconciliation Purposes. Destroy 1 year 3 months after the close of the fiscal year in which final payment is made. N1-57-08-02, Item 801-01e(2)
801-02 Contracts Appeals Case Files. Contract appeals case files arising under the Contracts Dispute Act. Destroy 1 year after final action or decision. N1-57-02-04, Item 801-02 and GRS 3, Item 15b
801-03 Contingent Fee Violations Files. Evidence of violation of the Covenant Against Contingent Fees and related documents, including the record of actions taken. (See FAR 3.406). Destroy when no longer needed for enforcement purposes or with the related contract file, whichever is later. N1-57-02-04, Item 801-03
801-04 Contractor's Payroll Files. Contractor's payrolls (construction contracts) submitted in accordance with Labor Department regulations, with related certifications, anti-kickback affidavits, and other related papers. Destroy 3 years after date of completion unless contract performance is the subject of enforcement action on such date. N1-57-02-04, Item 801-04 and GRS 3, Item 11
801-05 Performance of Commercial Activities Files. Documentation created in the analysis and evaluation of commercial activities. Included are cost studies, performance work statements, and related records as required by the Office of Management and Budget Circular A-76. Cutoff at the end of the fiscal year. Retire to the Federal Records Center (FRC) 5 years after cutoff. Destroy 10 years after cutoff. N1-57-02-04, Item 801-05
801-06 Unsolicited Proposals. Records of unsolicited proposals and their disposition and copies of unsuccessful proposals and related correspondence. Successful unsolicited proposals are retained with the award file and are covered under Item 801-01a or Item 803-01, as applicable. Destroy one year from notification of non-acceptance or when no longer of any value to the Government, whichever is later. RCS/Item 802-02b and NC1-57-84-5, Item 02b and GRS 3, Item 5b(1)

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Item No. Record Item / Description of Records Disposition Instructions Authority
802 Supply Management Files.

802-01 Supply Management Files. Files or reports on supply requirements and procurement matters submitted for supply management purposes (other than those incorporated in case files or other files of a general nature). Destroy when 2 years old. N1-57-02-04, Item 802-01a and GRS 3, Item 4a

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Item No. Record Item / Description of Records Disposition Instructions Authority
803 Grant Files

803-01 Grant and Cooperative Agreement Case Files. Proposals or applications; requisitions; award documents; project reports; studies; assurances; correspondence; other records relating to receipt, review, award, evaluation, status, and monitoring of grants and cooperative agreements; and project budget. Official record copy may be in paper or electronic format (including imaged records). The same retention requirements apply regardless of format.

803-01a Grant and Cooperative Agreement Awards including the Successful Application. Cutoff at the end of the fiscal year when grant or agreement is completed or closed. Destroy 6 years after case is closed. RCS/Item 803-01a and NC1-57-81-2, Item 26
803-01b Unsuccessful Grant Applications. Applications, correspondence, and other records relating to unsuccessful (rejected or withdrawn) applications. Destroy 3 years after rejected or withdrawn. N1-57-02-04, Item 803-01b and GRS 3, Item 13
803-01c Program Announcement Files. Program announcement, related notices and clearances, record of applications received, evaluation or peer review process, and funding and declination decision. Destroy when last funded grant/ cooperative agreement is completed or after 5 years, whichever is longer. N1-57-02-04, Item 803-01c
803-02 Grant Administrative Files. Correspondence and/or subject files, in paper or electronic format, relating to routine operations and daily activities in administration of the grant program. Excludes program announcement and individual award case files. Destroy when 2 years old. N1-57-02-04, Item 803-02 and GRS 3, Item 14

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Item No. Record Item / Description of Records Disposition Instructions Authority
804 Acquisition Management and Administration Files.

804-01 General Acquisition Management Files. Files containing records of acquisition function management activities, including oversight reviews, initiatives, organization data, and other related general records. Destroy when 4 years old unless needed for future reference, then destroy when no longer needed. N1-57-02-04, Item 804-01
804-02 General Acquisition Correspondence Files. Correspondence files of operating procurement and acquisition units concerning internal operation and administration matters not covered elsewhere in this schedule. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-02-04, Item 804-02
804-03 Contracting Officer Files. Applications for appointment of contracting officer(s), certificates of appointment as contracting officer(s) (warrants), renewals, and related correspondence. Destroy all documents relating to an individual employee 1 year after separation or transfer. RCS/Item 802-08 and N1-57-87-2, Item 802-08
804-04 Small and Disadvantaged Business Utilization Files. Correspondence, reports, studies, goal statements, and other records relating to the small and disadvantaged business utilization program, as required by P.L. 95-507. Destroy when 3 years old. RCS/Item 802-09 and GRS 3, Item 17

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