U.S. Geological Survey Manual

How to use this Records Disposition Schedule

Follow these rules for applying this records schedule to bureau records:

1. Use the table of contents to find a particular category of records.
2. Use the subject index in Appendix 3 to match records with records schedule items.
3. Remember that items in the U.S. Geological Survey (USGS) General Records Disposition Schedule are general because they apply in large part to records common to most USGS offices.
4. If you have records that are not covered by this schedule or by the program mission-specific schedule for your discipline, contact your discipline or regional Records Liaison Officer, or the USGS Records Management Officer. (For names, addresses, and telephone numbers see http://internal.usgs.gov/ops/IRM/fmassis2.html).

Three important objectives of a records disposition program are to:

• Preserve records that have permanent value.
• Destroy records of temporary value as soon as they have served the purpose for which they were created.
• Remove non-current records from office space and filing equipment to storage facilities, thereby improving use of files and reducing maintenance costs.

To accomplish these objectives the USGS developed this records disposition schedule and the mission-specific records schedules for the *Geology (137K PDF file), *Geography (2.3MB PDF file), and *Water (2.4MB PDF file) disciplines. (A schedule will be developed to cover Biology program records). These schedules were approved by the Archivist of the United States and are the legal authority for disposition of bureau records. A records disposition schedule provides (1) mandatory instructions on what to do with records (and non-record materials) no longer needed for current business and (2) the authority to dispose of recurring or non-recurring records.

The schedule contains a description of each series of records together with instructions for disposition of the records when they are not needed for current business. Records disposition is the action you must take as shown under "disposition instructions" on the records schedule to either transfer your records to a National Archives and Records Administration (NARA) Federal Records Center (FRC) for temporary storage or directly to NARA's National Archives for permanent retention or to destroy them after a designated time period.

It is important to remember that an FRC keeps records temporarily and provides the USGS with 3-months notice when it is time to destroy them or in the case of "permanent records" transfer them to NARA. The FRC will prepare the documents to offer the records to the NARA and after approval is received from NARA will carry out the transfer. Some permanent records are transferred directly from the USGS to NARA. In such cases the USGS Records Management Officer prepares the documents to obtain NARA approval for the transfer. All records sent to NARA are preserved forever for historical purposes.

To apply the records disposition instructions, you must first develop a USGS Files Maintenance and Disposition Plan (a "files plan") covering the records of your office (see Figure 1 below). The purpose of the files plan is to make filing and reference easier, to have all USGS offices using the same official filing system set up in accordance with the records disposition schedules, and to facilitate the timely disposition of records in accordance with NARA regulations.

Follow these steps to develop a files plan, to set up and maintain your office files, and to take appropriate and timely disposition actions:

1. Begin with a complete inventory or list of the current fiscal year's files.
2. Use a pencil to annotate by each file on your list the item number from the USGS General Records Disposition Schedule that best fits the file. (Use of the schedule's Table of Contents and/or the Subject Index will help you quickly locate the correct files title and page). Then read the full description following the item number to ensure that it is the best match for your file.
3. Also use the mission-specific records disposition schedules in the *Geology (137K PDF file), *Geography (2.3MB PDF file), and *Water (2.4MB PDF file) disciplines.
4. Remember that the schedule generally describes your records. You may need to read the entire description for each series to accurately determine the most appropriate series number for each item on your inventory.
5. Complete the files plan by arranging the item numbers for your files in numerical order and adding corresponding titles and dispositions from the records schedules. Use USGS Forms 9-1933, Files Maintenance and Disposition Plan, and 9-1933-A, Files Maintenance and Disposition Plan (Continuation), for this purpose.
6. When completing the files plan, always use the main heading(s) as shown in the records schedule for each series of records held in your office. Then choose the appropriate item numbers and titles under those heading(s) to list your files. For example, if you have files under the 100 Series, list the headings for that series (100, 101) and then the files under that series 101-04 and 101-06 as shown in Figure 1 below.
7. Use care in recording the exact item number, e.g., 101-04b, and corresponding disposal instructions as shown on the records schedule. (If you have unique records which definitely do not fit anywhere under the schedules' descriptions, contact your discipline or regional Records Liaison Officer.)

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   Figure 1.

   Form 9-1933 (May 1989) U.S. DEPARTMENT OF THE INTERIOR U.S. Geological Survey FILES MAINTENANCE AND DISPOSITION PLAN	1. DATE PREPARED August 15, 2002	2. PREPARED BY (Typed name of files custodian) John Smith
   	3. NAME OF ORGANIZATIONAL UNIT Geographic Information Office, MS 000, Reston, VA 20192
   	5. SIGNATURE OF RECORDS LIAISON OFFICER //signed// Appropriate Records Liaison Officer

   6. FILES PLAN

   SCHEDULE ITEM NO. (Insert number of applicable records disposition schedule item. If item cannot be found, enter NONE.) A.	TITLE OR DESCRIPTION OF RECORD SERIES B.	DISPOSAL INSTRUCTIONS (Insert complete disposition instructions for item including cut-off, retirement, and destruction actions.) C.
   100	PLANNING AND ADMINISTRATIVE MANAGEMENT RECORDS
   101	Executive Management Files
   101-04	Administrative Management Subject Files
   101-04b	USGS Reorganization Activities	Cut-off at the end of the fiscal year. Destroy when superseded, obsolete, or no longer needed.
   101-06	Committee and Conference Records
   101-06b(1)	Records Liaison Officers' meeting notes, handouts, and related materials.	Destroy 2 years after termination of the committee or 2 years after the end of the conference, or when no longer needed for reference.
   200	Information Resources Management (IRM) Records
   201	IRM
   201-01	General IRM and Records Management Files IRM correspondence, memoranda, e-mails, etc., sent out to USGS employees.	Cut-off at the end of the fiscal year. Destroy material of no further reference value.

8. Note that main headings (as shown under item 6, above) are descriptive only and do not have corresponding disposition instructions.
9. List all series and item numbers in numerical order on the files plan.
10. The files plan is a guide or map to your files. Be sure that it is well formatted and not cluttered so that it is easy to follow in retrieving and returning folders.
11. Use file dividers for the main headings and subheadings, 100, 101, 200, 201, 201-01, 300, 302, and 302-02, etc. Each divider should have the appropriate number and title, e.g., 100 Planning and Administrative Management Records, 101 Executive Management Files.
12. Use a separate folder for each separate item number.
13. Ensure that all folder labels include the item number, file title, and the fiscal year on the label. Abbreviations are allowed. Example of a label:

    102-04            Project Control Files      FY XX

14. Arrange your dividers and file folders in the filing cabinet in the same order as they appear on the files plan.
15. Maintain an up-to-date files plan to ensure that all files are accounted for and that cited disposition authorities are appropriate. Forward the original and two copies of the files plan to the appropriate discipline or regional Records Liaison Officer or Records Liaison Coordinator for review and approval. Prepare a new plan and forward for approval, when the old one is substantially changed or further correction or additions cannot be made. The plan must be readily available to facilitate proper filing and retrieval of documents.
16. Leave about 4 inches of working space in each file drawer.
17. Cross-reference when multiple subjects are involved and any subject may be useful in retrieving a document. The Optional Form 21, Cross-Reference, may be used to direct a user from one place in a file to another when a particular document is retrievable under more than one filing feature. Another option is to annotate the item being cross-filed. (For example, you have a committee file and you want to cross-file a document from the committee meeting with a subject file that the document falls under. In the upper right hand corner mark the document 101-06b(1) X-file 201-06. Place a copy in each place.
18. File bulky, oversized material separately in suitable storage equipment and place a cross-reference with the related file(s).
19. Use Form 9-357, File Charge-Out Cards, with your files.
20. Review your files plan at the end of each fiscal year and take appropriate action in accordance with the disposition instructions of each file series. Prepare a new files plan for each fiscal year's files. Ensure that all files are accounted for and that cited disposition authorities are appropriate.

DO NOT:

• Invent item numbers or dispositions for any files. (If you have a file that definitely does not fit under any item number in the records schedules, ask your discipline or regional Records Liaison Officer for assistance.)
• Mix series numbers on your files plan. Numbers must be in numerical order.
• Mix program mission and general administrative files.
• File duplicate copies of records.
• Dispose of any files without referring to the authorized disposition contained in the records schedules.
• Dispose of any files prior to the authorized disposition date.

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