# 

# GENERAL RECORDS SCHEDULE 3

# Procurement, Supply, and Grant Records

Agency procurement and supply records document the acquisition of goods
and non-personal services, controlling the volume of stock on hand,
reporting procurement needs, and related supply matters which are part
of daily procurement operations. The basic procurement files reflect a
considerable range of procedure, from simple, small purchases to
complicated prime contractor and subcontractor operations.

Any records created prior to 1895 must first be offered to the National
Archives and Records Administration (NARA) for appraisal before applying
the disposal instructions. Frequently copies of pro­curement papers
become integral parts of the other files in the agency, such as project
files of various types or general subject files pertaining to program
operations; such copies are not covered by this schedule because they
cannot be considered and evaluated separately from the files of which
they are a part.

The General Accounting Office (GAO) no longer requires agencies to
maintain a separate file of contracts for site audit. The agency
contract files maintained in the contracting officer\'s office are
accessible to GAO auditors and have generally been used by them in the
past.

When a claim is filed by or against the Government, records relating to
the claim should be retained without regard to the otherwise applicable
records retention schedules which would have authorized destruction of
the records prior to the time when the claim is finally resolved unless
the agency has received written approval from the GAO (44 U.S.C. Section
3309 and 62 Comp. Gen. 42 (1982)). A claim is finally resolved: (1) when
it is disallowed and the time for appealing the denial or instituting
suit on the claim has expired; or (2) when it is allowed and paid or the
amount offered in compromise is accepted and paid; or (3) when the
amount found due and owing proves uncollectible because time limits for
collecting the indebtedness through legal proceedings or by way of
setoff have expired.

Records documenting procurement and supply in the agencies are largely
standardized by various regulations of the Comptroller General and the
Administrator of General Services. The physical arrangement of the
transaction files themselves differs in the various agencies, however.
In all agencies the official contract files, for example, contain a
minimum core of specified documents, but there are also other documents
that vary in accordance with what the individual agency deems to be best
for its own operating purposes.

The key procurement file is the transaction case file containing the
formal contract or informal purchase order or lease instruments and all
related papers. The documents flowing into the transaction file differ
in detail, but they include, in addition to the purchase document,
specifications, bids, schedules of delivery, the initiating requisition,
invoices, and correspondence. Other copies of these documents, made for
expediting and other administrative

purposes, are scattered throughout the inspection, shipping, expediting,
and other units of the agency procurement organization.

Other files related to the procurement and supply function include
reports used for supply management purposes by the agency creating the
records as well as the staff agency involved with Government-wide
programs. They also include local requisition and stock inventory files
and other minor supply papers. Of a specialized character in the
procurement field are the title papers documenting the acquisition of
real property (by purchase, condemnation, donation, exchange, or
otherwise). These papers are required by the Government as long as the
property remains in Government hands or if it has been sold or released
\-- conditionally or with recapture clauses. When properties are
disposed of by quitclaim deeds, this fact should be confirmed prior to
the disposal of title papers, since the title evidence might be needed
by the Government to defend the title in the event the properties were
disposed of by deeds containing general or special warranties.

It should also be ascertained that the title evidence relates only to
the properties which were sold by the Government. In many instances,
lands acquired by the Government are disposed of in different size
parcels, and if the Government retains the title to any portion the
title evidence should be retained.

This schedule does not apply to Interior Department records relating to
the public domain or to the title opinion files of the Department of
Justice.

This schedule includes some of the common agency records relating to
grant programs. Since many Federal agencies conduct grant programs which
document projects contracted between the agency and an outside party,
these records are included as an adjunct to the procurement and supply
records.

A new item has been added to this schedule to authorize the destruction
of electronic mail and word processing records maintained by agencies in
addition to the copy in the recordkeeping system. This item covers
electronic copies of electronic mail and word processing records created
and used solely to produce the recordkeeping copy, and electronic copies
of electronic mail and word processing records that are needed in
addition to the recordkeeping copy for dissemination, revision, or
updating.

# 1. [Real Property Files]{.underline}. \[See note after item 1b.\]

Title papers documenting the acquisition of real property (by pur­cha­se,
condemnation, donation, excha­nge, or otherwise), excluding records
relating to property acquired prior to January 1, 1921.

a\. Records relating to property acquired after December 31, 1920, other
than abstract or certificate of title.

Dispose 10 years after unconditional sale or release by the Government
of conditions, restrictions, mortgages or other liens.

b\. Abstract or certificate of title.

Transfer to purchaser after unconditional sale or release by the
Government of conditions, restrictions, mortgages, or other liens.

\[**NOTE**: Records relating to property acquired prior to January 1,
1921, are not covered by the GRS and must be scheduled by submission of
a Standard Form (SF) 115 to NARA.\]

# 2. [General Correspondence Files.]{.underline}

Correspondence files of operating procurement units concerning internal
operation and administration matters not covered elsewhere in this
schedule.

# Destroy when 2 years old.

# 3. [Routine Procurement Files]{.underline}. \[See note after item 3d.\]

Contract, requisition, purchase order, lease, and bond and surety
records, including correspondence and related papers pertaining to
award, administration, receipt, inspection and payment (other than those
covered in items 1 and 12). \[See note after item 3a(2)(b).\]

a\. Procurement or purchase organization copy, and related papers.

\(1\) Transaction dated on or after July 3, 1995 (the effective date of
the Federal Acquisition Regulations (FAR) rule defining simplified
acquisition threshold).

\(a\) Transactions that exceed the simplified acquisition threshold and
all construction contracts exceeding \$2,000.

Destroy 6 years and 3 months after final payment.

\(b\) Transactions at or below the simplified acquisition threshold and
all construction contracts at or below \$2,000.

# Destroy 3 years after final payment.

\(2\) Transactions dated earlier than July 3, 1995.

\(a\) Transactions that utilize other than small purchase procedures and
all construction contracts exceeding \$2,000.

# Destroy 6 years and 3 months after final payment.

\(b\) Transactions that utilize small purchase procedures and all
construction contracts under \$2,000.

# Destroy 3 years after final payment.

\[**NOTE:** Given the complexities of the rules on procurement, agencies
should involve procurement officials when deciding which of the subitems
to apply to a particular series of records.\]

b\. Obligation copy.

# Destroy when funds are obligated.

c\. Other copies of records described above used by component elements
of a procurement office for administrative purposes.

# Destroy upon termination or completion.

d\. Data Submitted to the Federal Procurement Data System (FPDS).
Electronic data file maintained by fiscal year, containing unclassified
records of all procurements, other than small purchases, and consisting
of information required under 48 CFR 4.601 for transfer to the FPDS.

# Destroy or delete when 5 years old.

\[**NOTE**: Unique procurement files are not covered by this schedule.
With the standardization of the Government-wide procurement process
under the FAR, such files are unlikely to exist. However, if an agency
believes that a procurement file that has long‑term research value, the
records officer should submit an SF 115.\]

# 4. [Supply Management Files]{.underline}.

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), exclusive of
Department of Defense Reports reflecting procurement under exemptions
authorized under Section 201(a) of the Federal Property and
Administrative Services Act of 1949 (40 U.S.C. 481).

a\. Copies received from other units for internal purposes or for
transmission to staff agencies.

# Destroy when 2 years old.

b\. Copies in other reporting units and related working documents.

# Destroy when 1 year old.

# 5. [Solicited and Unsolicited Bids and Proposals Files]{.underline}.

a\. Successful bids and proposals.

# Destroy with related contract case files (see item 3 of this schedule).

b\. Solicited and unsolicited unsuccessful bids and proposals.

\(1\) Relating to small purchases as defined in the Federal Acquisition
Regulation, 48 CFR Part 13.

# Destroy 1 year after date of award or final payment, whichever is later.

\(2\) Relating to transactions above the small purchase limitations in
48 CFR Part 13.

\(a\) When filed separately from contract case files.

# Destroy when related contract is completed.

\(b\) When filed with contract case files.

Destroy with related contract case file (see item 3 of this schedule).

c\. Canceled solicitations files.

\(1\) Formal solicitations of offers to provide products or services
(e.g., Invitations for Bids, Requests for Proposals, Requests for
Quotations) which were canceled prior to award of a contract. The files
include presolicitation documentation on the requirement, any offers
that were opened prior to the cancellation, documentation on any
Government action up to the time of cancellation, and evidence of the
cancellation.

# Destroy 5 years after date of cancellation.

2\) Unopened bids.

# Return to bidder.

d\. Lists or card files of acceptable bidders.

# Destroy when superseded or obsolete.

# 6. [Public Printer Files]{.underline}.

# Records relating to requisitions on the Printer, and all supporting papers.

a\. Printing procurement unit copy of requisition, invoice,
specifications, and related papers.

# Destroy 3 years after completion or cancellation of requisition.

b\. Accounting copy of requisition.

# Destroy 3 years after period covered by related account.

# 7. [Nonpersonal Requisition File]{.underline}.

Requisitions for nonpersonal services, such as duplicating, laundry,
binding, and other services (excluding records associated with
accountable officers\' accounts (Schedule 6)).

Destroy when 1 year old.

# 8. [Inventory Requisition File]{.underline}.

# Requisitions for supplies and equipment for current inventory.

a\. Stockroom copy.

# Destroy 2 years after completion or cancellation of requisition.

b\. All other copies.

# Destroy when 6 months old.

# 9. [Inventory Files]{.underline}.

a\. Inventory lists.

# Destroy 2 years from date of list.

b\. Inventory cards.

Destroy 2 years after discontinuance of item, 2 years after stock
balance is transferred to new card or recorded under a new
classification, or 2 years after equipment is removed from agency
control.

c\. Report of survey files and other papers used as evidence for
adjustment of inventory records, not otherwise covered in the GRS.

# Destroy 2 years after date of survey action or date of posting medium.

# 10. [Telephone Records]{.underline}.

# Telephone statements and toll slips.

# Destroy 3 years after period covered by related account.

# 11. [Contractors\' Payroll Files]{.underline}.

Contractors\' payrolls (construction contracts) submitted in accordance
with Department of Labor regulations, with related certifications,
antikickback affidavits, and other related papers.

Destroy 3 years after date of completion of contract unless contract
performance is subject of enforcement action on such date.

# 12. [Tax Exemption Files]{.underline}.

# Tax exemption certificates and related papers.

# Destroy 3 years after period covered by related account.

# 13. [Unsuccessful Grant Application Files]{.underline}.

Applications, correspondence, and other records relating to unsuccessful
(rejected or withdrawn) applications.

# Destroy 3 years after rejection or withdrawal.

# 14. [Grant Administrative Files]{.underline}. \[See note after this item.\]

Correspondence and/or subject files relating to routine operations and
daily activities in administration of the grant program.

# Destroy when 2 years old.

\[**NOTE**: Grant case files, which include accepted applications among
many other documents, substantive correspondence and subject files
relating to grant programs, and final product files, cannot be scheduled
in the GRS. The types and significance of grant programs and the
contents of the files vary, so no single disposition can be applied to
the files on a Government-wide basis. To schedule these records,
agencies must submit an SF 115 to NARA.\]

# 15. [Contract Appeals Case Files]{.underline}.

Contract appeals case files arising under the Contracts Dispute Act,
consisting of notices of appeal and acknowledgments thereof;
correspondence between parties; copies of contracts, plans,
specifications, exhibits, change orders, and amendments; transcripts of
hearings; documents received from parties concerned; final decisions;
and all other related papers.

a\. Records created prior to October 1, 1979.

Destroy 6 years, 3 months after final action on decision.

b\. Records created after September 30, 1979.

# Destroy 1 year after final action on decision.

# 16. [Contractor\'s Statement of Contingent or Other Fees]{.underline}.

SF 119, Statement of Contingent or Other Fees, or statement in lieu of
the form, filed separately from the contract case file and maintained
for enforcement or report purposes.

# Destroy when superseded or obsolete.

# 17. [Small and Disadvantaged Business Utilization Files]{.underline}.

Correspondence, reports, studies, goal statements, and other records
relating to the small and disadvantaged business utilization program, as
required by Pub.L. 95‑507.

# Destroy when 3 years old.

18\. [Federal Activities Inventory Reform (FAIR) Act
Records]{.underline} (created under OMB Circular A-76, Performance of
Commercial Activities)

Records documenting implementation of OMB Circular No. A-76, Performance
of Commercial Activities. These records are created and maintained in
paper and electronic formats and include but are not limited to
inventories, reviews, consultations, summary reports, commercial
activity codes, challenges, appeals, decisions, planning documents,
public announcements, Federal Register notices, standard and streamlined
competition documents, accountability statements, cost calculations, and
performance measures.

\[**NOTE:** Procurement files related to Circular No. A-76 solicitations
are scheduled under GRS 3, Item 3a, Routine Procurement Files.\]

a\. Circular No. A-76 case files/studies maintained by office having
primary responsibility.

Cut off when action is completed, hold 3 years, and retire to records
center. Destroy 6 -- 10 years after cut off.

\[**NOTE: **To implement this authority, each agency must select one
fixed retention period, between 6 and 10 years, for the entire series of
Circular No. A-76 case files or studies. Agencies are not authorized to
use different retention periods for individual case files or studies.
The agency should publish the chosen retention period in the agency's
disposition manual, by directive, or any other issuance dealing with the
disposition of these records.\]

b\. Circular No. A-76 records maintained by other offices, including
information copies and background material.

Cut off upon completion of study. Destroy 2 years after cut off.

# 19. [Electronic Mail and Word Processing System Copies]{.underline}.

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 schedule. Also includes electronic copies of records created on
electronic mail and word processing systems that are maintained for
updating, revision, or dissemination.

a\. 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.

b\. 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