U.S. Geological Survey Manual

Chapter 900. Emergency Planning, Safety, Security, and Environmental Records

Emergency preparedness files, for the protection of life and property under emergency conditions, are vital records to the USGS. Safety, security, and environmental records pertain to all aspects of the program.

Chapter 900 Topics	This section provides for the disposition of the following USGS Emergency Planning, Safety, Security, and Environmental Hazards records:
	901.	Classified Information Records.
	902.	Protection Program Administrative Records.
	903.	Personnel Security Records.
	904.	Safety Management Records.
	905.	Emergency Planning Files.
	906.	Environmental Compliance and Management Records.
	907.	National Environmental Policy Act (NEPA) Records.
	908.	Resources and Compliance Records.
	909.	Electronic Mail (E-mail) and Word Processing System Copies of Emergency Planning, Safety, Security, and Environmental Hazards records.

901. Classified Information files include the following records:

901-01	Classified Documents Administrative Correspondence Files.
901-02	Classified Documents Report Files.
901-03	Document Receipt Files.
901-04	Destruction Certificates Files.
901-05	Classified Document Inventory Files.
901-06	Top Secret Accounting and Control Files.
901-07	Access Request Files.
901-08	Security Container Records.

902. Protection Program Administrative files include the following records:

902-01	Security and Protective Services Administrative Correspondence Files.
902-02	Technical Surveillance Countermeasures Files.
902-03	Security Alarm and Access Control System Files.
902-04	Master Safeguards and Security Agreements and Security Plans.
902-05	Physical Security Files.
902-06	Foreign Ownership, Control, or Influence Files.
902-07	Facilities Survey and Inspection Files (Government-owned Facilities).
902-08	Facilities Survey and Inspection Files (Privately-owned Facilities).
902-09	Investigative Files.
902-10	Misuse of Government Property.
902-11	Incident of Security Concern Inquiry and Investigation Files.
902-12	Property Pass Files.
902-13	Key Accountability Files.
902-14	Guard and Security Police Officer Assignment Files.
902-15	Guard and Security Service Control Files.
902-16	Police Functions Files.
902-17	Trespass Investigative Files.
902-18	Visitor Control Files.
902-19	Visitor Access Approval Files.
902-20	Facilities Check Files.
902-21	Logs and Registers.
902-22	Credentials Files.

903. Personnel Security files include the following records:

903-01	Security Clearance and Access Authorization Administrative Subject Files.
903-02	Security Clearance and Access Authorization Administrative Policy Subject Files.
903-03	Administration and Operation Files.
903-04	Background Investigations for Access Authorizations.
903-05	Security Clearance and Access Authorization Case Records.
903-06	Security Clearance and Access Authorization Status Files.
903-07	Security Violations Files.
903-08	Classified Information Non-Disclosure Agreements.

904. Safety Management files include the following records:

904-01	Safety Files.
904-02	Safety Reports.
904-03	Safety Procedures and Programs.
904-04	Safety Policies.
904-05	Accident Files.
904-06	Records that Demonstrate the Capability for Safe Operations.
904-07	Records that Verify the Performance of Safe Operations.
904-08	Safe Work Permits.
904-09	Safety Training Files.
904-10	Hazardous Waste Management Files.

905. Emergency Planning files include the following records:

905-01	Emergency Planning Files.

906. Environmental Compliance and Management files include the following records:

906-01	Environmental Compliance and Management Policies.
906-02	Environmental Compliance and Management Subject Files.
906-03	Environmental Compliance and Management Reports.
906-04	Environmental Analysis, Management Studies, and Endangered Species Act.
906-05	Environmental Assessment and Evaluation Methodology.

907. National Environmental Policy Act (NEPA) files include the following records:

907-01	Environmental Impact Statement (EIS) Files.

908. Resources and Compliance files include the following records:

908-01	Cultural Resources.
908-02	Wildlife Resources.
908-03	Fish Resources.
908-04	Mineral Resources.
908-05	Clean Water Act.
908-06	Clean Air Act.
908-07	Pest Management Program.
908-08	Environmental Commitment.
908-09	Protective Clothing Reviews and Approvals.
908-10	Fire Management Files.

909. E-mail and Word Processing System Copy records for the Emergency Planning, Safety, Security, and Environmental Hazards files include the following records:

909-01	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?

•   All program and policy guides, classification manuals, directives, and any documents used as guides in determining classification. •   All official policy documents used as guides in administering the security program. •   All safety policy, precedent files, and safe work permits. •   Emergency planning program and policy guides, operational manuals, and reports of operational tests. •   Environmental analysis, management studies, and Endangered Species Act management, compliance, and program planning activity files. •   USGS history, cultural resources, artifacts, historical archaeology, and related activities files. •   Material pertaining to conservation, development, or the exploitation of coal, gas, and other mineral resources. •   Pest management program planning and implementation files. •   Fire report record copies including fire reports, related information, photos, maps, analyses, and any other pertinent information.

What files in this section are considered temporary USGS records?

•   Correspondence files pertaining to all areas in this chapter. •   Classification/declassification information that is not policy oriented. •   Records documenting receipt, destruction, inventory, accounting, access requests, and security container records for classified documents. •   Records related to the protection of USGS-owner or contractor-operated facilities from unauthorized entry, sabotage, or loss. •   Threat, hazard, trespass, or penetration files. •   Security alarm, access control files, safeguards, and security protection files. •   Physical security files. •   Foreign ownership, control, and influence files. •   Facilities survey and inspection files. •   Investigative files. •   Misuse of government property and incident inquiry files. •   Property pass and key accountability files. •   Guard, security, and police files. •   Trespass investigative files. •   Visitor control and access files. •   Identification credentials. •   Facilities and security check files. •   Personnel security and access files including such files as access authorization rosters and security violation files. •   Background investigations for access authorizations. •   Safety management records such as general correspondence, reports, procedures, program, and policy files. •   Accident files including motor vehicle, aircraft, and watercraft. •   Safe operation and safety training files. •   Hazardous waste management files. •   Emergency planning program procedures, operations, general, and case files. •   Environmental compliance and management general files. •   NEPA files. •   Wildlife and fish resources including documentation for general programs and objectives. •   Clean Water Act and Clean Air Act requirements and compliance files. •   Environmental assessment and evaluation methodology and environmental commitment compliance files. •   Protective clothing reviews and approvals. •   Fire reference files such as fire logs, board reviews, and alarm information. Also, documentation for qualifications of bureau personnel who are associated with the USGS fire management program

Questions?	Contact the USGS Records Manager or your discipline or regional Records Liaison Officer.

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900. Emergency Planning, Safety, Security, and Environmental Records.

Item No.	Description of Records	Disposition Instructions
901	Classified Information Records.
901-01	Classified Documents Administrative Correspondence Files. Correspondence files pertaining to the administration of security classification and declassification, control, and accounting for classified documents. Included are records that document policy, programs, and procedures for the classification/declassification program, including information recorded by personnel who are trained to identify, classify, or declassify documents for sensitive and classified information.
901-01a	Records that document the policy, standards, and procedures for the administration of USGS's classification and declassification program.
901-01a(1)	Program and policy guides, classification manuals, and documents used as guides in determining classification, including USGS action and information papers concerning classification policy.	Permanent. Cut-off when superseded. Transfer to the National Archives and Records Administration (NARA) in 5-year blocks. Transfer when most recent record is 25 years old.
901-01a(2)	Records documenting the development of classification policy, including policy studies.	Cut-off when superseded. Destroy 50 years after cut-off.
901-01b	Records documenting classification and declassification review actions taken on the basis of established policy, directives, regulations, and guides.
901-01b(1)	Review actions which deviate from established policy and set a precedent for future action, reflect unusual sensitivity, are of historical interest, or are the subject of litigation.
901-01b(1)(a)	Record Copy.	Permanent. Cut-off at the end of the fiscal year. Transfer to NARA in 5-year blocks 25 years after cut-off of most recent records.
901-01b(1)(b)	All other offices.	Cut-off at the end of the fiscal year. Destroy when obsolete, superseded, or no longer needed for reference.
901-01b(2)	Review actions that do not deviate from established policy or set a precedent for future action, do not reflect unusual sensitivity, are not of particular historical interest, and are not the subject of litigation.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off.
901-01b(3)	Logbooks and correspondence which record notes, comments, actions taken, decisions made, or other information which documents the review process.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off.
901-01b(4)	Declassification records including change notices, review notices, correspondence, or similar documents including documents that give authority to void, cancel, and remove markings from records.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
901-01c	Correspondence files pertaining to the administration of security classification, control and accounting for classified documents, and control of sensitive documents and not covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
901-02	Classified Documents Report Files. Reports and correspondence regarding classification reviews of individual documents submitted for review.	Cut-off at the end of the fiscal year. Destroy 4 years after cut-off.
901-03	Document Receipt Files. Records documenting the receipt and issuance of classified documents.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
901-04	Destruction Certificates Files. Certificates relating to the destruction of classified documents.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
901-05	Classified Document Inventory Files. Forms, ledgers, or registers used to show identity, internal routing, and final disposition made of classified documents, but exclusive of classified document receipts and destruction certificates and documents relating to top secret material covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
901-06	Top Secret Accounting and Control Files.
901-06a	Registers maintained at control points to indicate accountability over top secret documents, reflecting the receipt, dispatch, or destruction of the documents.	Destroy 5 years after documents shown on forms are downgraded, transferred, or destroyed.
901-06b	Forms accompanying documents to ensure continuing control and showing names of persons handling the documents, intra-office routing, and comparable data.	Destroy when related document is downgraded, transferred, or destroyed.
901-07	Access Request Files. Requests and authorizations for individuals to have access to classified files.	Place in inactive file when the authorization expires. Destroy 2 years after authorization expires.
901-08	Security Container Records.
901-08a	Forms or lists used to record safe and padlock combinations, names of individuals knowing combinations, and comparable data used to control access into classified document containers.	Destroy when superseded by a new form or list or upon turn-in of containers.
901-08b	Forms placed on safes, cabinets, or vaults containing classified documents that record opening, closing, and routine checking of the security of the container, such as locking doors and windows and activating alarms. Included are such forms as SF-701, Activity Security Checklist and SF-702, Security Container Check Sheet.	Destroy 3 months following the last entry on the form (See Note). NOTE: Forms involved in investigations will be retained until completion of the investigation.

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Item No.	Description of Records	Disposition Instructions
902	Protection Program Administrative Records. Records relating to measures taken for the protection of USGS-owned, contractor-operated facilities from unauthorized entry, sabotage, or loss.
902-01	Security and Protective Services Administrative Correspondence Files. Correspondence files relating to administration and operation of the facilities security and protective services programs such as, but not limited to, Departmental or contracting officer guidance, project management records, and program feedback.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off. NOTE: This item does not cover records documenting policies and procedures accumulated in offices having USGS-wide responsibilities for security and protective services program.
902-02	Technical Surveillance Countermeasures Files.
902-02a	Threat Files. Files contain reports of known or suspected technical and non-technical security information, methodology, technologies used, suspected individual(s) or groups, reports of actions directed against U.S. Government and commercial interest and/or personnel.	Cut-off at the end of the fiscal year. Destroy when superseded or obsolete.
902-02b	Hazard and Penetration Files. Files provide general and specific design information on known or suspected surveillance devices, electronic anomalies, methodology, and historical technical data. These files are used for technical surveillance threat reference.	Review every 2 years. Destroy when no longer needed.
902-03	Security Alarm and Access Control System Files.
902-03a	System Manufacturers Documentation. Files include manufacturer's operations and technical manuals for the equipment installed as part of the Security Alarm System. These records include information on individual components for both the security alarm systems and the electronic access control systems.	Destroy when current system is upgraded or replaced.
902-03b	Systems Operations Files. Files include on-site configuration files for systems operations. Includes information on individual components, systems operations, and how the systems are currently installed for both the security alarm systems and the electronic access control system.	Destroy when current system is upgraded or replaced.
902-03c	Open Storage Approval Records. Files contain on-site records of areas approved for the open storage of classified information. Includes information concerning the motion detection and alarm devices within specific areas.	Destroy when superseded.
902-03d	Activity Journals. These records include all of the user activity and alarm activity for all portions of the alarm and access control system. User activity includes operations of Day/Night mode access of alarmed rooms and access/exit through card reader controlled doors or access points. Alarm activity includes alarm devices, line supervision, and administrative alarms as they occur. Files consist of system activity journals containing the on-site records for alarm system activity.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
902-03e	Maintenance Records. These records contain all activity concerning preventive and corrective maintenance performed on the alarm system and the sub-components. Files consist of maintenance requests, test reports, schedules, notification letters, and maintenance activity journals containing the on-site records for alarm system maintenance activity.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
902-04	Master Safeguards and Security Agreements and Security Plans. Records establish the baseline safeguards and security protection strategy and programs for a facility and are an agreement between the cognizant program office and other headquarters and field elements as to the acceptable level of risk to a facility and any measures employed to mitigate unacceptable risk. The Master Safeguards and Security Agreement, Site Safeguards and Security Plan, or Site Security Plan also provides a historical perspective on facility operations and configuration. In addition, Master Safeguards and Security Agreement, Site Safeguards and Security Plan, or Site Security Plan provides short and long-term planning profiles for safeguards and security operations at a facility.	Destroy 10 years after termination of the facility as a security interest.
902-05	Physical Security Files. Detailed security measures for the physical protection and location of equipment and facilities vital to safety. The files include physical security plans, drawings of the physical protection system, alarm system details, and safeguards procedures.
902-05a	Facilities subject to licensing (Nuclear Regulatory Commission or Environmental Protection Agency).
902-05a(1)	If license is granted:	Retain until the termination of the license. At termination of license, apply the disposition cited in Item 902-05b below.
902-05a(2)	If license is not granted:	Retain until the determination is made not to license the facility, then apply the disposition cited in Item 902-05b below.
902-05b	Facilities not subject to licensing.	Destroy when superseded or obsolete, or 5 years after facility closes, whichever is soonest.
902-06	Foreign Ownership, Control, or Influence Files
902-06a	Unsuccessful bidder files containing their representations as to their ownership and any foreign control or influence and other information pertaining to foreign ownership, control, or influence and whether anything that has been provided by the unsuccessful bidder or otherwise gathered may pose an undue risk to national security.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
902-06b	Successful bidder (contractor) files containing original and subsequent representations as to their ownership and any foreign control or influence, and other information pertaining to foreign ownership, control, or influence and whether anything that has been provided by the contractor or otherwise gathered may pose an undue risk to national security. Files relating to contract eligibility determinations when foreign ownership, control, or influence issues are present.	Cut-off 5 years after determination date. Destroy 5 years after cut-off.
902-07	Facilities Survey and Inspection Files (Government-owned Facilities). Reports of surveys, inspections, and self-assessments of USGS-owned facilities conducted to ensure adequacy of protective and preventive measures taken against hazards of fire, explosion, and accidents and to safeguard information and facilities against sabotage and unauthorized entry.	Cut-off at the end of the fiscal year. Destroy when 3 years old or upon discontinuance of facility, whichever is sooner.
902-08	Facilities Survey and Inspection Files (Privately-owned Facilities). Reports of surveys, inspections, and self-assessment reports, facility information, and correspondence of privately-owned facilities assigned security cognizance by Government agencies and related papers.	Cut-off at the end of the fiscal year. Destroy when 4 years old or when security cognizance is terminated, whichever is sooner.
902-09	Investigative Files. Investigative files accumulating from investigations of fires, explosions, and accidents, consisting of retained copies of reports and related documents when the original reports are submitted for review and filing in other agencies or organizational elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements. Not included here are records related to misuse of Government property (see Item 902-10 below) or incidents of security concern (see Item 902-11 below).	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
902-10	Misuse of Government Property. Records, correspondence, and related working papers which document the misuse and abuse of government property, equipment, vehicles, or systems while in the custody of government or contractor employees. Records may include information on infractions of Federal, State, or local laws or ordinances, and penalties levied against government or contractor employees.
902-10a	Records maintained by USGS elements.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
902-10b	Records maintained by USGS contractors.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
902-11	Incident of Security Concern Inquiry and Investigation Files. Records not covered elsewhere in c this schedule that pertain to inquiries or investigations into incidents of security concern (e.g., suspected infractions and violations; loss, compromise, or unauthorized disclosure of classified information; unaccounted-for classified matter), and to the corrective measures recommended and/or taken.	Cut-off upon termination of inquiry or investigation and case is closed. Destroy 5 years after cut-off.
902-12	Property Pass Files. Property pass files authorizing removal of property or materials.	Destroy 3 months after expiration or revocation.
902-13	Key Accountability Files. Files relating to accountability for keys issued.
902-13a	For areas under maximum security.	Destroy 3 years after key was turned in.
902-13b	For other areas.	Destroy 6 months after key was turned in.
902-14	Guard and Security Police Officer Assignment Files. Files relating to guard and security police officer assignments and strength.
902-14a	Ledger records.	Destroy 3 years after final entry.
902-14b	Requests, analyses, reports, change notices, and other papers relating to post assignments and strength requirements.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
902-15	Guard and Security Service Control Files.
902-15a	Control center key or code records, emergency call cards, and building record and employee identification cards.	Destroy when superseded or obsolete
902-15b	Round reports, service reports on interruptions and tests, and punch clock dial sheets.	Destroy when 1 year old.
902-15c	Automatic machine patrol charts and registers of patrol and alarm services.	Destroy when 1 year old.
902-15d	Arms distribution sheets, charge records, and receipts.	Destroy 3 months after return of arms.
902-16	Police Functions Files. Files relating to the exercise of police functions.
902-16a	Ledger records of arrests, cars ticketed, and outside police contacts.	Destroy 3 years after final entry.
902-16b	Reports, statements of witnesses, warning notices, and other documents relating to arrests, commitments, and traffic violations.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
902-16c	Reports on contact of outside police with building occupants.	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
902-17	Trespass Investigative Files. Case files documenting the unlawful and/or unwarranted entrance, use, destruction, and possession of the USGS facilities, lands, or resources. Contains the initial report of unauthorized use, trespass investigation report, notice of trespass, location maps, other land status and location data, damage assessment, notice to remove structures, notice of impoundment, trespass bond, record of interviews and phone conversations, field notes, sketch maps, measurements, bills/invoices, reimbursable project log, related photos, correspondence, and other documents. Exclude record copies of financial documents related to collection of compensation.	Cut-off at the end of the fiscal year in which case is settled or abandoned. Transfer to the Federal Records Center (FRC) 1 year after cut-off. FRC destroys 51 years after cut-off.
902-18	Visitor Control Files. Registers or logs used to record names of outside contractors, service personnel, visitors, employees admitted to areas, and reports on automobiles and passengers.
902-18a	For areas under maximum security.	Destroy 5 years after final entry or 5 years after date of document, as appropriate.
902-18b	For other areas.	Destroy 2 years after final entry or 2 years after date of document, as appropriate.
902-19	Visitor Access Approval Files. Correspondence and forms created to document that visitors are authorized access to classified and/or unclassified sensitive information and/or security controlled areas. Files contain data for each visit to a USGS facility, consisting of access approvals together with related correspondence.
902-19a	Files retained by sites (incoming visitor control) with potential for exposure to hazardous materials.	Cut-off at the end of the fiscal year. Destroy 75 years after cut-off.
902-19b	Files retained by sites (incoming visitor control) without potential for exposure to hazardous materials.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
902-19c	Files retained by requesting office (outgoing visitor control).	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
902-19d	Duplicate copies used to notify other on-site offices of the intended visit.	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
902-20	Facilities Check Files. Files relating to periodic guard force facility checks.
902-20a	Data sheets, door slip summaries, check sheets, and guard reports on security violations (except copies in files of agency security offices covered by Item 903-07 of this schedule).	Destroy when 1 year old.
902-20b	Reports of routine after-hours security checks which either do not reflect security violations or for which the information contained therein is documented in the files referenced in Item 902-11.	Destroy when 1 month old.
902-21	Logs and Registers. Security logs and registers not covered elsewhere in this schedule.
902-21a	Central guard office master logs.	Destroy 2 years after final entry.
902-21b	Individual security post logs of occurrences entered in master logs.	Destroy 1 year after final entry.
902-22	Credentials Files. Identification credentials and related papers.
902-22a	Identification credentials including cards, badges, parking permits, photographs, agency permits to operate motor vehicles, visitor passes, and other identification credentials.	Destroy credentials 3 months after return to issuing office.
902-22b	Receipts, indexes, listings, and accountable records.	Destroy after all listed credentials are accounted for.

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Item No.	Description of Records	Disposition Instructions
903	Personnel Security Records. Records accumulating from investigations of personnel conducted under statutory, Presidential, or Departmental directive requirements.
903-01	Security Clearance and Access Authorization Administrative Subject Files. Files maintained by individual security offices for purposes of managing operations of personnel security. Files include, but are not limited to, forms, lists, and correspondence documenting the type of clearance/access authorization and date it was granted and subsequent actions were taken; briefing and debriefing statements; and lists of individuals granted access authorizations by assigned numbers.
903-01a	Correspondence granting access authorizations not maintained in official personnel files.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
903-01b	Briefing and debriefing statements including related correspondence.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
903-01c	Termination statements, cards, or correspondence not maintained in official personnel files.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
903-01d	Lists identifying employees by assigned number used for indexing or references.	Cut-off at the end of the fiscal year. Destroy when related records are destroyed or when no longer needed for reference, whichever is later.
903-01e	Reports related to personnel security issues.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
903-01f	Outgoing transfer record tracking files for personnel security files sent to other USGS facilities.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
903-02	Security Clearance and Access Authorization Administrative Policy Subject Files. Files, which document the official policy, standards, and procedures for the administration of the USGS personnel access authorization program.
903-02a	Program and policy guides, access authorization manuals, and documents used as guides in administering the security program. Includes USGS correspondence concerning access authorization policy.	Cut-off at the end of the fiscal year. Place in inactive file when canceled, superseded, or revoked. Destroy when no longer needed for reference purposes.
903-02b	Files documenting the development of access authorization policy, includes policy studies.	Cut-off when superseded. Destroy 20 years after cut-off.
903-02c	Procedures implementing USGS access authorization policy and guides.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
903-03	Administration and Operation Files. Correspondence, reports, and other records relating to administration and operation of the personnel access authorization program, not covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
903-04	Background Investigations for Access Authorizations. Background files including records of investigations for USGS and contractor employees and consultants, subcontractors and their employees and consultants who require an access authorization. The files are used to determine the eligibility of granting access authorizations and may include the following letters and completed forms for each individual being considered: drug screen consent, credit reports, authorization for release of information, request to process, negative drug screen results, letters generated from personnel security requesting information on applicants, police, driving, academic, previous employment, military, and personal references, subcontractor employment application, security acknowledgement, medical records including employee assistance program, and employment eligibility verification.
903-04a	For those access authorizations granted.	Cut-off at the end of the fiscal year. Destroy 5 years after access authorization has been terminated.
903-04b	For those access authorizations not granted.	Cut-off at the end of the fiscal year. Destroy 5 years after date of background investigation. NOTE: For legal purposes, if an individual is not granted the access authorization, it is necessary to retain the background files to permit reconstruction or validation of actions taken in the event of appeal or legal action.
903-05	Security Clearance and Access Authorization Case Records. Personnel security and administrative review files created under Executive Order, Code of Federal Regulations, Department of the Interior and agency directive requirements and procedures, and related indices maintained by bureau personnel security offices at USGS headquarters and field offices.
903-05a	Personnel Security Files documenting the processing of individuals for USGS access authorizations (security clearances), regardless of whether access authorizations are granted. These files may include copies of items such as pre-employment investigations; requests and justifications for access authorizations; security forms; reports of background investigation(s); personnel security interview transcripts and/or summaries (including audio cassettes); case evaluation sheets; security incident/infraction report forms; correspondence with the individuals, the individuals' employers, and other agencies; security badge information; medical evaluations; security termination statements; and other material relevant to the access authorization process.	Destroy upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after the contract relationship expires, whichever is applicable.
903-05b	Investigative reports and related papers furnished to agencies by investigative organizations for use in making security/suitability determination.	Destroy in accordance with the investigating agency instructions.
903-06	Security Clearance and Access Authorization Status Files. Lists or rosters showing the current access authorization status of individuals.	Destroy when superseded or obsolete.
903-07	Security Violations Files. Copies of Report of Security Incident/Infraction, or similar forms or reports that are placed in Personnel Security Files are handled in accordance with Item 903-05 above. Other documentation relating to infractions or violations is handled in accordance with Item 902-11 above.
903-08	Classified Information Non-Disclosure Agreements. Copies of non-disclosure agreements, such as SF-312, Classified Information Non-Disclosure Agreement, signed by personnel with access to information that is classified under standards put forth by Executive Orders governing security classification. These forms should be maintained separately from personnel security clearance files, but may be filed on the right side of the individual's Official Personnel Folder (OPF).
903-08a	If maintained separately from the individual's OPF.	Destroy when 70 years old.
903-08b	If maintained in the individual's OPF.	Apply the disposition for the OPF.

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Item No.	Description of Records	Disposition Instructions
904	Safety Management Records.
904-01	Safety Files.
904-01a	Correspondence of a general nature pertaining to safety subjects relating to the causes, investigations, and prevention of accidents.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
904-01b	Safety issues, complaints, and inquires received by USGS personnel. Included in the file are responses to all inquiries and noted follow-on steps, if any, to correct any noted deficiencies.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
904-01c	Safety awards. Files, including recommendations, approved nominations, memoranda, correspondence, reports and any related materials pertaining to agency safety awards such as the safe driving award.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
904-02	Safety Reports. Periodic reports concerning safety activities of the USGS, including annual program plans, minutes of monthly safety meetings, accident data analysis, safety and health program assessments, and any similar or related reports.	Cut-off at the end of each fiscal year. Destroy 5 years after cut-off.
904-03	Safety Procedures and Programs. Documents pertaining to safety programs and procedures for such things as the protection of individuals, elimination of hazardous working conditions, public safety awareness programs, and inspections of safety measures.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
904-04	Safety Policies. Material that serves to establish policy or precedents pertinent to future and continuing actions for safety activities. These may not be included in the USGS master set of directives.	Cut-off at the end of the fiscal year. Place in inactive file when canceled, superseded, or revoked. Destroy when no longer needed for reference purposes.
904-05	Accident Files.
904-05a	Motor Vehicle Accident Files. Records relating to motor vehicle accidents, maintained by transportation offices, including SF-91, Operator's Report of Motor Vehicle Accident, SF-91A, Investigation Report of Motor Vehicle Accident, and SF-94, Statement of Witness.	Destroy 6 years after case is closed.
904-05b	Aircraft Accident Files. Office of Aircraft Services accident forms and related documents.
904-05b(1)	Aircraft accident alerts, safety alerts, and initial and preliminary reports.	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
904-05b(2)	Aircraft hazard and incident-malfunction reports and related documents.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
904-05b(3)	Aircraft final accident reports and forms.	Cut-off at the end of the fiscal year. Destroy 7 years after cut-off.
904-05c	Watercraft Accident Files.
904-05c(1)	Watercraft accident alerts, safety alerts, and initial and preliminary reports.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
904-05c(2)	Watercraft hazard and incident-malfunction reports and related documents.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
904-05c(3)	Watercraft Final Accident Reports and Forms.	Cut-off at the end of the fiscal year. Destroy 7 years after cut-off.
904-05d	Statistical Reports. Reports such as trend or accident analysis reports relating to motor vehicles, aircraft, or watercrafts.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off or when superseded, obsolete, or no longer needed.
904-05e	Contractor Employee Accidents. Material pertaining to accidents, injuries, and fatalities of contractor employees.	Cut-off at the end of the fiscal year. Destroy 6 years after date of incident or 3 years after the Release of Settlement of any claim, whichever is earlier.
904-05f	Public Accidents. Accidents, injuries, fatalities, and disabilities involving the public.	Cut-off at the end of the fiscal year. Destroy 6 years after date of incident or 3 years after the Release of Settlement of any claim, whichever is earlier.
904-05g	Other Accidents. Accidents, injuries, fatalities, and disabilities not covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 6 years after date of incident or 3 years after the Release of Settlement of any claim, whichever is earlier.
904-06	Records that Demonstrate the Capability for Safe Operations. Records include the activities involved in the planning, design, manufacture, construction, installation, test, and operation of equipment, structures, plants, and systems, any of which are or will be engaged in, or part of, operations. Included are records of initial siting and geological aspects.
904-06a	Records of Individuals. Authorizing documents, training certificates, procedures, and other records of a similar or a related nature that demonstrate that individuals have the capability for engaging in, performing in, or otherwise conducting safe operations. Operations may involve the design, construction, installation, test, handling, manufacture, use, packaging, shipping, control, operation, and disposition of items. Items may either be used, or planned for use, in relation to, or with, other items. Items include machinery, equipment, structures, plants, materials, spent fuel, waste, and systems.	Cut-off at the end of the fiscal year. Destroy when 10 years old.
904-06b	Records of Items. Authorizing documents, procedures, and other records that demonstrate that control systems, materials control systems, and items that will be used in operations have the capability for safe use. Items as used here include sites, facilities, structures, plants, materials, spent fuel, waste, machinery, equipment, and systems, or discrete parts thereof.	Cut-off at the end of the fiscal year. Destroy when 10 years old.
904-07	Records that Verify the Performance of Safe Operations. Records that verify that an activity was performed in accordance with applicable requirements for safe operations, but need not be retained for the working life of the individual or for the life of the item, or discrete part thereof. Items as used here include sites, facilities, structures, plants, materials, machinery, equipment, and systems.	Comply with the requirements for recording in Department of the Interior orders and schedules and their items. In the absence of these requirements, apply the following: Cut-off at the end of the fiscal year. Destroy 5 years after the date of completion of the task.
904-08	Safe Work Permits. Safe work permits are used to designate the approval for employees to work on a potentially hazardous job or in a potentially hazardous area. They contain the job description, job hazard analyses, instructions to workers, the protective clothing and equipment, if required. They include the name of the workers, approval signatures of responsible supervision, and the date(s) the work is done.	Cut-off at the end of the fiscal year. Destroy 75 years after the date of the permit.
904-09	Safety Training Files. Correspondence, records, and documents pertaining to participation and information relating to bureau safety training and specialized program training, (i.e., watercraft, firearms, diving, radiation, aviation) excluding hazardous waste training (see Item 904-10c).
904-09a	Safety Training Reference Files. Correspondence of a general nature relating to safety training.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when no longer needed, whichever is later.
904-09b	Security Personnel Training Records. Records of Federal and contractor security personnel pertaining to firearms training, qualification, and requalification. See Section 413, for other security personnel training records.	For Federal employees, cut-off at the end of the fiscal year. Destroy one year after termination of the individual as a Federal employee. For contractor employees, cut-off annually. Destroy one year after termination of the individual as a member of the protective force.
904-10	Hazardous Waste Management Files.
904-10a	Documentation related to the treatment, storage, or disposal of hazardous material. Also, include materials that deal with superfund sites, regulating disposal sites, underground storage tanks, waste oil, requests for waivers and deviations, or preparation of hazardous materials for disposal and manifest tracking of hazardous waste. Includes, but not limited to, documents relating to toxic materials regulated by the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA) or the Toxic Substances Control Act (TOSCA). Toxic materials include polychlorinated bipheny (PCB's), asbestos, and other substances identified as toxic and not regulated by the Resource Conservation and Recovery Act (RCAA) or the Comprehensive Environmental Response Compensation and Liability Act (CERCLA). Include Hazardous Waste Manifest Site Assessment reports.	Cut-off at the end of the fiscal year or when volume warrants. Transfer to FRC 25 years after cut-off. FRC destroy 75 years after cut-off.
904-10b	Chemical Files. Documentation related to chemical inventories and reports.	Cut-off at the end of the fiscal year. Destroy when 10 years old.
904-10c	Hazardous Waste Management Training. Correspondence, files, records, and any other materials relating to bureau hazardous waste management training.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when no longer needed, whichever is later.

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Item No.	Description of Records	Disposition Instructions
905	Emergency Planning Files. Records accumulating from the formulation and implementation of plans, such as evacuation plans, for protection of life and property during emergency conditions. Records are vital if they are essential to the continued functioning of an organization during and after an emergency. Vital records and information can be protected at any point in the life cycle - from creation to destruction. Four methods for protecting vital records are: 1) routine distribution of vital information to various locations for use and reference; 2) reproducing records and information specifically for vital records protection; 3) store in fire-resistant media; and 4) store or safeguard vital records at an off-site facility (far enough away to not be affected by a disaster in the immediate area of the office concerned). Records should be updated annually and reviewed for practicality and effectiveness without imposing severe financial burdens.
905-01	Emergency Planning Files.
905-01a	Emergency Planning Administrative Correspondence Files. Correspondence files relating to administration and operation of the emergency planning program, not covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
905-01b	Emergency Planning Program Correspondence Files. Records that document the policy, program, standards, and procedures pertaining to the administration of the emergency planning program.
905-01b(1)	Program and policy guides, information papers, operational manuals, and documents used as guides for determining appropriate agency action. Unless issued as a USGS directive, a record copy of Departmental emergency plans.	Cut-off at the end of the fiscal year. Place in inactive file when canceled, superseded, or revoked. Destroy when no longer needed for reference purposes.
905-01b(2)	Emergency planning reports of operations tests, consisting of consolidated or comprehensive reports reflecting bureauwide results of tests conducted under emergency plans.	Cut-off at the end of the fiscal year. Destroy 25 years after cut-off or when superseded, canceled, or obsolete, whichever is soonest.
905-01b(3)	Files documenting the development of policy, including policy studies.	Cut-off when superseded. Destroy 10 years after cut-off.
905-01b(4)	Procedures and activities implementing USGS policy and guides.	Cut-off at end of the fiscal year. Destroy 6 years after cut-off.
905-01c	Emergency Planning Case Files. Case files accumulated by offices responsible for the preparation and issuance of plans and directives, consisting of a copy of each plan or directive issued, with related background documents. Exclude bureauwide policies and directives filed in Item 905-01b(1) above. Examples include, but not limited to, USGS evacuation or disaster recovery plans.	Cut-off at the end of the fiscal year. Destroy 3 years after issuance of a new plan or directive.
905-01d	Emergency Operations Test Files. Files accumulating from tests conducted under USGS emergency plans, such as instructions to members participating in test, staffing assignments, messages, tests of communications and facilities, and reports excluding consolidated and comprehensive reports. See Item 905-01b(2) above.	Cut-off at the end of the fiscal year. Destroy when 3 years old.

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Item No.	Description of Records	Disposition Instructions
906	Environmental Compliance and Management Records.
906-01	Environmental Compliance and Management Policies. Material that serves to establish policy or precedents pertinent to future and continuing actions for environmental compliance and management activities.	Place in inactive file when canceled, superseded, or revoked. Destroy when no longer needed for reference purposes.
906-02	Environmental Compliance and Management Subject Files. Correspondence of a general nature pertaining to environmental compliance and management topics not covered elsewhere in this schedule.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
906-03	Environmental Compliance and Management Reports. Correspondence and related documents pertaining to environmental compliance and management reports. Includes, but is not limited to, reports created by USGS as a joint venture or in cooperation with other government agencies and reports created by outside agencies regarding USGS. Includes preliminary, final, or summary reports.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off or when no longer needed for reference.
906-04	Environmental Analysis, Management Studies, and Endangered Species Act. Records relating to habitat management and preservation; the creation, restoration, and protection of wetlands; biological surveys; vegetation and plants; pollution efforts; natural resources; food plot development; controlled burns (other than for weed control); and Endangered Species Act documentation. Include documentation relating to the application of specific management techniques; studies related to USGS environmental activities; reports, either internal or under contract with other government agencies or private contractors, regarding USGS's environmental management, compliance, and program planning activities; and documents relating to the Endangered Species Act including consultation, studies, and activities with other government agencies.	Cut-off when study, report, activity is completed. Transfer to FRC 20 years after cut-off. Destroy 75 years after cut-off. NOTE: A review of the files by the USGS Environmental Program Manager must be conducted, and prior to destruction, concurrence obtained by the USGS Safety, Health, and Environmental Program Manager to ensure there exists no outstanding liability issues.
906-05	Environmental Assessment and Evaluation Methodology. Assessment and evaluation techniques for fish and wildlife, wetland, range, cultural resources, and other environmental resources. Include documentation regarding methodologies but not for applications of those techniques to particular studies or projects, including habitat evaluation procedures, instream flow methodologies, wetland evaluation techniques, animal and plant census techniques, and methods to quantify, assess, and evaluate environmental resources.	Cut-off at the end of the fiscal year or when volume warrants. Destroy 10 years after cut-off.

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Item No.	Description of Records	Disposition Instructions
907	National Environmental Policy Act (NEPA) Records. Documenting USGS compliance activities that are required by the NEPA of 1969.
907-01	Environmental Impact Statement (EIS) Files. Records relating to the creation and/or review of Federal EIS's (or Environmental Assessments), including data collection, analysis, manuscripts, comments, and other related material used to compose EIS's or to review EIS's. Arranged by agency and/or project.
907-01a	Draft EIS's, created in the bureau, with documentation and back-up materials.	Move to 907-01b when final EIS is created. If final EIS is not completed within 10 years of the date of the draft EIS, then cut-off at the end of the calendar year following the 10 year deadline. Destroy 5 years after cut-off.
907-01b	Final EIS's, created in the bureau, with documentation and back-up materials.	Cut-off at the end of the calendar year after EIS completed. If volume warrants, transfer to FRC 5 years after cut-off. Destroy 10 years after cut-off.
907-01c	Bureau comments of EIS's created by other agencies. If space is limited, then retention of the documentation, with the bureau comments, is not required. All EIS's, usually draft as well as final form and related documents, issued by Federal agencies since 1969, are held at the Transportation Library, Northwestern University Library, 1935 Sheridan Road, Evanston, Illinois 60208-2300, phone (847) 491-8600. EIS's can be searched online at (http://www.library.northwestern.edu./transportation/) or copies can be obtained through their loan service.	Cut-off at the end of the calendar year after EIS final comments are completed. Transfer to FRC 2 years after cut-off or if volume warrants, transfer to FRC earlier, with approval of FRC. Destroy 10 years after cut-off.
907-01d	EIS's created in other agencies and no bureau review is required.	Destroy when reference need expires.
907-01e	Environmental Statement Policy Memorandums. Copies of Office of Environmental Policy and Compliance policy memorandums.	Destroy when canceled, superseded, or obsolete.
907-01f	EIS Related Reports. Miscellaneous reports pertaining to EIS's and the data collected in the EIS database.	Cut-off at the end of the calendar year. Destroy when 3 years old or when no longer needed, whichever is sooner.
907-01g	General EIS Files. General correspondence and other records relating to EIS's, not otherwise covered in this schedule.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.

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Item No.	Description of Records	Disposition Instructions
908	Resources and Compliance Records.
908-01	Cultural Resources. Material pertaining to USGS history, cultural resources, artifacts, historical archaeology, and archaeological activities. Studies, inventories, reports, evaluations, and surveys that identify and analyze the protection and maintenance of cultural sites and structures. Cultural resource management plans, program reviews, and curation documentation. Permits for archaeological and paleontological site investigations and excavations.	Permanent. Cut-off at the end of the fiscal year or when volume warrants. Transfer to FRC 10 years after cut-off. Transfer to NARA 30 years after cut-off.
908-02	Wildlife Resources. Materials relating to wildlife resources including documentation for general programs and objectives, resource status and detailed project designs, surveys, investigations, and studies, including construction of special facilities and animal escape devices.	Cut-off at the end of the fiscal year or when volume warrants. Destroy when incorporated in a final report or 10 years after cut-off, whichever is later.
908-03	Fish Resources. Materials relating to the planning, design, construction, operation, and maintenance of special facilities to protect or enhance fisheries and to accommodate fish migration, including fish screen, fish ladders, and hatcheries. Includes studies, surveys, and investigations.	Cut-off at the end of the fiscal year or when volume warrants. Destroy when incorporated in a final report or 10 years after cut-off, whichever is later.
908-04	Mineral Resources. Material pertaining to conservation, development, or exploitation of coal, gas, and other mineral resources. Include the use of water in exploiting and extending use and the environmental effects of that use. Includes strip mining and pollution effects by mineral exploitation on air and water and oil spills. Include oil spill prevention, control, and countermeasures (SPCC). Also, include any studies of affected USGS lands and any documentation and related material regarding such activates.	Permanent. Cut-off at the end of the fiscal year or when volume warrants. Transfer to FRC 10 years after cut-off. Transfer to NARA 30 years after cut-off.
908-05	Clean Water Act. State permits and related documentation that defines the requirements imposed on the USGS programs for compliance with the Clean Water Act.	Cut-off when permit expires. Destroy 5 years after permit expires.
908-06	Clean Air Act. Reports and documentation, such as permits and compliance orders, relating to requirements imposed on USGS programs for compliance with the Clean Air Act.	Cut-off at the end of the fiscal year or when volume warrants. Destroy 10 years after cut-off.
908-07	Pest Management Program. Material pertaining to the development, planning, and implementation of pest management and pesticide use programs. Includes, but not limited to, inventories, studies, investigations, integrated pest management plans, program reviews, program technical correspondence, guidelines, procedures, monitoring activities, and pesticide use.	Permanent. Cut-off at the end of the fiscal year or when volume warrants. Transfer to FRC 10 years after cut-off. Transfer to NARA 30 years after cut-off.
908-08	Environmental Commitment. Materials pertaining to agency compliance with National, State, and local statutes and regulations which require Federal action concerning soil and moisture conservation, erosion control and revegetation, range rehabilitation, seeding techniques, brush control, terracing, cover crops, construction site rehabilitation, and operational methods of irrigation which are compatible with local conditions. Includes, but not limited to, studies, plans, proposals, designs, copies of agreements and contracts, compliance reviews, technical correspondence, guidelines, procedures, and monitoring activities.	Cut-off at the end of the fiscal year or when volume warrants. Destroy when no longer needed.
908-09	Protective Clothing Reviews and Approvals. Correspondence and files relating to protective clothing, gloves, boots, suits, and other related components to be used to prevent employee exposure.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
908-10	Fire Management Files.
908-10a	Fire Report Masters. Record copies of fire reports and related information documenting the history of individual fires. Includes report forms, project fire packages, photos, maps, monitoring data, fiscal documents, daily logs, situation analyses, and other information showing fire location, causes, methods of suppression, costs, weather conditions, etc.	Permanent. Cut-off at the end of each fiscal year. Transfer to FRC 10 years after cut-off. Transfer to NARA in 10-year blocks when most recent records are 10 years old.
908-10b	Fire Report Reference Copies. Fire report duplicates maintained by field offices for administrative and reference purposes.	Cut-off at the end of the fiscal year. Destroy 10 years after cut-off.
908-10c	Fire Logs. Maintained at fire control panels and checked at least daily.	Cut-off at the end of each fiscal year. Destroy 3 years after cut-off.
908-10d	Fire Board of Review Reports and Supporting Documentation. Files that document investigations by the USGS or another agency of how a fire was managed. If the review is of a USGS fire, a copy of the report may be filed with the official USGS fire report (Item 908-10a).	Cut-off at the end of the fiscal year. If litigation involved, cut-off at the end of the fiscal year in which the final decision is reached and all appeal rights are exhausted. Destroy 7 years after cut-off.
908-10e	Fire Alarms. Files and relating documentation that document fire alarms, of which there was no fire or major investigation, such as accidental alarms and testing of the alarm system.	Cut-off at the end of the year. Destroy when 5 years old or when no longer needed, whichever is later.
908-10f	Fire Experience and Qualifications Files. Files that document the qualifications of USGS personnel to perform jobs, associated with the fire management program.	Destroy when superseded, obsolete, or no longer needed for administrative or reference purposes.

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Item No.	Description of Records	Disposition Instructions
909	Electronic Mail and Word Processing System Copies
909-01	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.
909-01a	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.
909-01b	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.

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