U.S. Geological Survey Manual

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 USGS Acquisition, Supply, and Grant records:
	801.	Acquisition Files.
	802.	Supply Management Files.
	803.	Grant Files.
	804.	Contracting Files.
	805.	Electronic Mail (E-mail) and Word Processing System copies of acquisition, supply, and grant records.

801. Acquisition files include the following records:

801-01	Acquisition Files.
801-02	Contracts Appeals Case Files.
801-03	Contingent Fee Violations Files.
801-04	Contractor's Payroll Files.
801-05	Performance of Commercial Activities Files.
801-06	Unsolicited Proposals.

802. Supply Management files include the following records:

802-01	Supply Management Files.

803. Grant files include the following records:

803-01	Grant and Cooperative Agreement Case Files.
803-02	Grant Administrative Files.

804. Acquisition Management and Administration files include the following records:

804-01	General Acquisition Management Files.
804-02	General Acquisition Correspondence Files.
804-03	Contracting Officer Files.
804-04	Small and Disadvantaged Business Utilization Files.

805. E-mail and Word Processing System Copy records for Acquisition, Supply, and Grant records include the following records:

805-01	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?

•   None of the records in this chapter are considered permanent files. Official contract files should be maintained in accordance with the retention periods set forth in the FAR, 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 files 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.

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800. Acquisition, Supply, and Grant Records.

Item No.	Description of Records	Disposition Instructions
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).
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.
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.
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.
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 304-01a. If charge card purchase records include or are filed together with payment or transportation records, apply the longest retention period.	When filed separately from payment or transportation records, destroy 3 years from final payment or when no longer of any value to the Government, whichever is later.
801-02	Contracts Appeals Case Files. Contract appeals case files arising under the Contracts Dispute Act.	Destroy 1 year after final action on decision.
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.
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.
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.	Cut-off at the end of the fiscal year. Retire to the Federal Records Center (FRC) 5 years after cut-off. Destroy 10 years after cut-off.
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.

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Item No.	Description of Records	Disposition Instructions
802	Supply Management Files.
802-01	Supply Management Files. Files of 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).
802-01a	Copies received from other units for internal purposes or for transmission to staff agencies.	Destroy when 2 years old.
802-01b	Copies in other reporting units and related working documents.	Destroy when 1 year old.

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Item No.	Description of Records	Disposition Instructions
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.	Cut-off at the end of the fiscal year when grant or agreement is completed or closed. Destroy 6 years after case is closed.
803-01b	Unsuccessful Grant Applications. Applications, correspondence, and other records relating to unsuccessful (rejected or withdrawn) applications.	Destroy 3 years after rejected or withdrawn.
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.
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.

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Item No.	Description of Records	Disposition Instructions
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.
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.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
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.
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.

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Item No.	Description of Records	Disposition Instructions
805	Electronic Mail and Word Processing System Copies
805-01	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. (This excludes electronic data and document copies retained in the PD automated procurement system (see 801-01d).
805-01a	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.
805-01b	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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