![Human Resources Management Head Graphic](images/4000_head.gif)
Personnel records relating to the supervision over and management of
Federal civilian employees. This covers the disposition of Official Personnel
Folders of civilian employees and other records relating to civilian personnel.
The Office of Personnel Management publishes Governmentwide systems of
records for a number of human resource management functions. These records are
the Office of Personnel Managements records, although they are in the
physical custody of the Department of Agriculture. The Office of Personnel
Managements regulations implementing the Privacy Act are in
part 297 of title 5, Code of
Federal Regulations. The notices that describe the Office of Personnel
Management's systems of records, including the Governmentwide systems of
records, are published in the Federal Register. (Visit:
http://www.opm.gov/federal/
or http://www.opm.gov/feddata/Federalr.txt.)
Where any of these documents are needed in connection with
administrative or negotiated grievance procedures, or quasi-judicial or
judicial proceedings, they may be retained as needed beyond the identified
retention schedules.
4000.1 Electronic Mail and Word Processing
System Copies.
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 the 4000 file series. Also includes
electronic copies of records created on electronic mail and word processing
systems that are maintained for updating, revision, or dissemination.
4000.1(a) Production Copies
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.
RG 016 Disposition Authority: GRS 1, Item 43.a
Record
Type: Temporary
Disposition: Destroy/delete within 180 days
after the recordkeeping copy has been produced.
Records Currently
Stored in Federal Records Center(s):
4000.1(b) Copies for Dissemination, Revision, or Updating
Copies used for dissemination, revision, or updating that are
maintained in addition to the recordkeeping copy.
RG 016 Disposition Authority: GRS 1, Item 43.b
Record
Type: Temporary
Disposition: Destroy/delete when dissemination,
revision, or updating is completed.
Records Currently Stored in
Federal Records Center(s): 4000.2 General Administration - Personnel
Correspondence, reports, and other records relating to the general
administration and operation of personnel functions, but excluding records
specifically described elsewhere in the 4000 Human Resources Management
file series.
RG 016 Disposition Authority: GRS 1, Item 3
Record
Type: Temporary
Disposition: Destroy when 3 years old.
Records Currently Stored in Federal Records
Center(s):
4000.3 Correspondence - Individual Employees
Operating personnel office records relating to individual employees
not maintained in OPFs and not provided for elsewhere in the file plan.
4000.3.a. Correspondence and forms relating to pending personnel
actions.
RG 016 Disposition Authority: GRS 1, Item 17.a
Record Type: Temporary
Disposition: Destroy when action
is completed.
Records Currently Stored in Federal Records
Center(s):
4000.3.c All other correspondence and forms.
RG 016 Disposition Authority: GRS 1, Item 17.c
Record
Type: Temporary
Disposition: Destroy when 6 months old
Records Currently Stored in Federal Records
Center(s): 4000.4 Personnel Operations Statistical
Reports
Statistical reports in the operating personnel office and
subordinate units relating to personnel.
RG 016 Disposition Authority: GRS 1, Item 16
Record
Type: Temporary
Disposition: Destroy when 2 years old.
Records Currently Stored in Federal Records Center(s):
4010 Issuance System and HR Delegations
4010-001 Delegations of Authority
See Delegations of Authority :
1030
4010-171 OHRM Directives System
See Directives
- Departmental:
3010-1
- Management:
3010
4020 General Personnel Provisions, Personnel
Records, and Actions
The Official Personnel File (OPF) and other general personnel records
files are the official repository of the records, reports of personnel actions,
and the documents and papers required in connection with these actions effected
during an employee's Federal service. The personnel action reports and other
documents, some of which are filed as long-term records in the OPF, give legal
force and effect to personnel transactions and establish employee rights and
benefits under pertinent laws and regulations governing Federal employment.
These files and records are maintained by the Office of Personnel
Management (OPM) and the agencies for the Office in accordance with Office
regulations and instructions. They provide the basic source of factual data
about a person's Federal employment while in the service and after his or her
separation. Records in this system have various uses by agency personnel
offices, including screening qualifications of employees; determining status,
eligibility, and employee's rights and benefits under pertinent laws and
regulations governing Federal employment; computing length of service; and
other information needed to provide personnel services. These records and their
automated or microform equivalents may also be used to locate individuals for
personnel research.
The use of the phrase "long-term" to describe those records filed on
the right-hand-side of OPFs is used because these records are not actually
permanently retained. The term "temporary" is used when referencing short-term
records filed on the left-hand-side of OPFs and all other records not filed in
the OPF, but covered by this notice.
The records in this system are "owned" by the Office of Personnel
Management (Office) and should be provided to those Office employees who have
an official need or use for those records. Therefore, if an employing agency is
asked by an Office employee to access the records within this system, such a
request should be honored. 4020-211 Veteran Preference
Veterans' preference in its present form comes from the Veterans'
Preference Act of 1944, as amended, and is now codified in various
provisions of title 5, United States Code. By law, veterans who are disabled or
who served on active duty in the Armed Forces during certain specified time
periods or in military campaigns are entitled to preference over others in
hiring from competitive lists of eligibles and also in retention during
reductions in force. In addition to receiving preference in competitive
appointments, veterans may be considered for special noncompetitive
appointments for which only they are eligible.
Merit promotion vacancy announcements not only indicate an area of
consideration (AOC) but also list others "Who May Apply." In addition to
considering applicants who are within the AOC, selecting officials may consider
candidates from groups such as reemployment priority list, reinstatement,
disabled, Veteran Readjustment Act or Veterans Employment Opportunities Act of
1998, and 30% Disabled Veteran eligibles. A promotion/selection certificate and
supplemental lists of candidates from these groups are developed from the merit
promotion vacancy announcement and forwarded to the selecting official.
Veterans' Readjustment Appointment (VRA) - See 4030-307.
30% or More Disabled Veteran Program - Agencies have the authority to
give noncompetitive appointments to any veteran who has a service-connected
disability of 30% or more.
Storage: Records are maintained on magnetic tapes, disk,
punched cards, microfiche, cards, lists, and forms.
Retrievability: Records are retrieved by the name, date of
birth, social security number, and/or identification number assigned to the
individual on whom they are maintained.
Safeguards: Records are maintained in a secured area or
automated media with access limited to authorized personnel whose duties
require access.
RG 016 Disposition Authority: OPM/GOVT-5 Recruiting, Examining
and Placement Records
Record Type: Temporary
Disposition:
Records in this system are retained for varying lengths of time, ranging from a
few months to 5 years, e.g., applicant records that are part of medical
determination case files or medical suitability appeal files are retained for 3
years from completion of action on the case. Most records are retained for a
period of 1 to 2 years. Some records, such as individual applications, become
part of the person's permanent official records when hired, while some records
(e.g., non-competitive action case files), are retained for 5 years. Some
records are destroyed by shredding or burning while magnetic tapes or disks are
erased.
Records Currently Stored in Federal Records Center(s):
4020-212 Competitive Service & Competitive
Status
Competitive status means an individual's basic eligibility for
noncompetitive assignment to a competitive position. Competitive status is
acquired by completion of a probationary period under a career-conditional or
career appointment, or under a career executive assignment in the former
executive assignment system, following open competitive examination, or by
statute, Executive order, or the Civil Service rules, without open competitive
examination. An individual with competitive status may be, without open
competitive examination, reinstated, transferred, promoted, reassigned, or
demoted, subject to conditions prescribed by the Civil Service rules and
regulations. OPM determines finally whether a position is in the competitive
service.
Effect of competitive status on position.
(a) An employee is in the competitive service when he has competitive
status and is in a competitive position under a nontemporary appointment.
(b) An employee in the competitive service at the time his position is
first listed under Schedule A, B, or C remains in the competitive service while
he occupies that position.
Storage: Records are maintained on magnetic tapes, disk,
punched cards, microfiche, cards, lists, and forms.
Retrievability: Records are retrieved by the name, date of
birth, social security number, and/or identification number assigned to the
individual on whom they are maintained.
Safeguards: Records are maintained in a secured area or
automated media with access limited to authorized personnel whose duties
require access.
RG 016 Disposition Authority: OPM/GOVT-5
Record Type:
Temporary
Disposition: Records in this system are retained for
varying lengths of time, ranging from a few months to 5 years, e.g., applicant
records that are part of medical determination case files or medical
suitability appeal files are retained for 3 years from completion of action on
the case. Most records are retained for a period of 1 to 2 years. Some records,
such as individual applications, become part of the person's permanent official
records when hired, while some records (e.g., non-competitive action case
files), are retained for 5 years. Some records are destroyed by shredding or
burning while magnetic tapes or disks are erased. 4020-213 Excepted Service
Appointments, conversions to appointments, and extensions of temporary
appointments that are made without regard to the competitive requirements of
the civil service rules and regulations and that are not covered by the Panama
Canal Employment System (PCES) and the Senior Executive Service (SES).
Special Conditions
When making appointments in the excepted service, certain special
conditions may impact the documentation of the personnel actions and require
additional instructions.
a. Retired persons. When the person being appointed is retired
from Federal civilian service, follow the instructions in Chapter 3 of the
Guide to Processing
Personnel Actions as well as those instructions appropriate for excepted
service appointments.
b. Separations by RIF. If an employee who is to be separated by
reduction in force (RIF) procedures accepts a nonpermanent appointment in the
same agency, each action must be documented separately, regardless of when the
new appointment begins: the losing office processes a 356/Separation-RIF and
the gaining offices processes the new appointment. If an employee accepts an
offer of assignment under the RIF regulations to a specifically temporary
position (e.g., if a career employee accepts an offer of assignment to a
position that is scheduled to be abolished in a year) the action is processed
as a Reassignment, Position Change, etc., following the instructions in Chapter
14 of the Guide to
Processing Personnel Actions.
c. Concurrent Employment. If employee will be employed
concurrently in two (or more) agencies, either follow instructions in the
"Federal Employees' Group Life Insurance: A Handbook for Employees, Annuitants,
Compensationers and Employing Offices" and the "Federal Employees' Health
Benefit Program: A Handbook for Enrollees and Employing Offices" to determine
how health benefits and FEGLI will be handled, and to document those
determinations on the Standard Form (SF) 52 (and SF 50).
Storage: Records are maintained on magnetic tapes, disk,
punched cards, microfiche, cards, lists, and forms.
Retrievability: Records are retrieved by the name, date of
birth, social security number, and/or identification number assigned to the
individual on whom they are maintained.
Safeguards: Records are maintained in a secured area or
automated media with access limited to authorized personnel whose duties
require access.
RG 016 Disposition Authority: OPM/GOVT-5
Record Type:
Temporary
Disposition: Records in this system are retained for
varying lengths of time, ranging from a few months to 5 years, e.g., applicant
records that are part of medical determination case files or medical
suitability appeal files are retained for 3 years from completion of action on
the case. Most records are retained for a period of 1 to 2 years. Some records,
such as individual applications, become part of the person's permanent official
records when hired, while some records (e.g., non-competitive action case
files), are retained for 5 years. Some records are destroyed by shredding or
burning while magnetic tapes or disks are erased. 4020-250 Oversight and Evaluation
4020-250.a Request for Prior Approval of
Personnel Actions
Request for prior approval of personnel actions taken by agencies on
such matters as promotion, transfer, reinstatement, or change in status,
submitted by SF 59, OPM 648, or equivalent form.
RG 016 Disposition Authority: GRS 1, Item 33.o
Record
Type: Temporary
Disposition: Cut off annually. Destroy 1 year
after cutoff.
Records Currently Stored in Federal Records
Center(s):
4020-250.b Supervisors' Personnel Files
Correspondence, forms, and other records relating to positions,
authorizations, pending actions, position descriptions, requests for personnel
action, and records on individual employees duplicated in or not appropriate
for the OPF.
RG 016 Disposition Authority: GRS 1, Item 18.a
Record
Type: Temporary
Disposition: Review annually and destroy
superseded or obsolete documents, or destroy file relating to an employee
within 1 year after separation or transfer.
Records Currently Stored
in Federal Records Center(s): . 4020-251 Employee Organizations
Records pertaining to consulting and communicating with non-labor
organizations representing Federal employees and with other organizations on
matters related to agency operations and personnel management. The purposes of
consultation and communication are: the improvement of agency operations,
personnel management, and employee effectiveness; the exchange of information
(e.g., ideas, opinions, and proposals); and the establishment of policies that
best serve the public interest in accomplishing the mission of the agency. This
includes records of consulting or dealing with a veterans organization, or with
a religious, social, fraternal, professional, or other lawful association, not
qualified as a labor organization, with respect to matters or policies which
involve individual members of the organization or association or are of
particular applicability to it or its members.
This does not cover records of negotiations or consultations regarding
conditions of employment of bargaining unit employees, which is reserved
exclusively to labor organizations as provided for in Chapter 71 of title 5 of
the U.S. Code or comparable provisions of other laws.
Storage: These records are maintained in file folders, disks,
magnetic tape, CD Rom, and optical disks.
Retrievability: Records are generally maintained by project.
Personal information can be retrieved by name or personal identifier only for
certain research projects such as those involving longitudinal studies.
Safeguards: Records are kept in locked files in a locked room
with access limited to authorized staff. Access to tape, disk, and other files
used in data processing will be only by authorized staff.
RG 016 Disposition Authority: OPM/GOVT-6
Record Type:
Temporary
Disposition: Records are retained for 2 years after
completion of the project unless needed in the course of litigation or other
administrative actions involving a research or test validation survey. Records
collected for longitudinal studies will be maintained indefinitely. Manual
records are destroyed by shredding or burning and magnetic tapes and disks are
erased. 4020-293 Personnel Records
Personnel records relating to the supervision over and management of
Federal civilian employees. This covers the disposition of Official Personnel
Folders of civilian employees and other records relating to civilian personnel.
The Office of Personnel Management publishes Governmentwide systems of
records for a number of human resource management functions. These records are
the Office of Personnel Managements records, although they are in the
physical custody of the Department of Agriculture. The Office of Personnel
Managements regulations implementing the Privacy Act are in
part 297 of title 5, Code of
Federal Regulations. The notices that describe the Office of Personnel
Management's systems of records, including the Governmentwide systems of
records, are published in the Federal Register. (Visit:
http://www.opm.gov/feddata/recguide.pdf
or http://www.opm.gov/feddata/Federalr.txt.)
Where any of these documents are needed in connection with
administrative or negotiated grievance procedures, or quasi-judicial or
judicial proceedings, they may be retained as needed beyond the identified
retention schedules.
Storage: These records are maintained in file folders, on lists
and forms, microfilm or microfiche, and in computer processable storage media.
Retrievability: These records are retrieved by various
combinations of name, birth date, social security number, or identification
number of the individual on whom they are maintained.
Safeguards: Paper or microfiche/microfilmed records are located
in locked metal file cabinets or in secured rooms with access limited to those
personnel whose official duties require access. Access to computerized records
is limited, through use of access codes and entry logs, to those whose official
duties require access.
RG 016 Disposition Authority: OPM/GOVT-1
Record
Type: Temporary
Disposition: The Official Personnel Folder (OPF)
is maintained for the period of the employee's service in the agency and is
then transferred to the National Personnel Records Center for storage or, as
appropriate, to the next employing Federal agency. When an employee leaves
(transfers to another agency or separates from Government), some information
from the employee performance records must be put in the Official Personnel
Folder. Chapter 7 of the Office of Personnel Management's Guide to Personnel
Recordkeeping has instructions on transferring employee performance
information. (Visit: http://www.opm.gov/feddata/recguide.pdf.)
4020-293.1 Long-term Official Personnel
Folder (OPF) records
The Official Personnel Folder (Standard Form 66) is a file
containing records that cover an individuals employment history. It
covers Executive Branch service under title 5, United States Code. The
long-term records included in the file are chosen to protect the legal and
financial rights of the Government and the employee. The Official Personnel
Folder is part of the Governmentwide system of records, OPM/GOVT-1. The Office
of Personnel Management owns the personnel folder and its contents. The Office
of Personnel Management's Guide to Personnel Recordkeeping contains the
Office of Personnel Managements rules for creating, maintaining, using,
and disposing of the Official Personnel Folder. (Visit:
http://www.opm.gov/feddata/recguide.pdf.)
The OPF is maintained by the employing agency as long as the
individual is employed with that agency. Within 90 days after the individual
separates from the Federal service, the OPF is sent to the National Personnel
Records Center for long-term storage. In the case of administrative need, a
retired employee, or an employee who dies in service, the OPF is sent to the
Records Center within 120 days.
RG 016 Disposition Authority: GRS 1, Item 1.b
Record
Type: Temporary
Disposition: Destroy copies 30 days after latest
separation. (NPRC will destroy the OPF 65 years after separation from Federal
Service.)
Records Currently Stored in Federal Records Center(s):
Destruction of the OPF is in accordance with General Records Schedule-1
(GRS-1). 4020-293.2 Temporary Individual Employee
Records
4020-293.2(a) Correspondence and Forms
- Left Side of the OPF
All copies of correspondence and forms maintained on the left side
of the Official Personnel Folder in accordance with Chapter 3 of The Guide
to Personnel Recordkeeping, EXCLUDING the Immigration and Naturalization
Service Form I-9 and performance-related records. Examples of documents to
include: SF 1152, Designation of Benefiicary for Unpaid Compensation; letters
of reprimand or caution. Examples of documents not to include: time and
attendance reports (see 4070 Attendance and Leave Records), claims under the
Federal Employees' Compensation Act, or Equal Employment Opportunity records
(see 4300 Equal Opportunity).
Generally, agencies retain records on former employees for no
longer than 1 year after the employee leaves.
RG 016 Disposition Authority: GRS 1, Item 10.a
Record Type: Temporary
Disposition: Destroy when
superseded or obsolete, or upon separation or transfer of employee, unless
specifically required to be transferred with the OPF. See
4020-293.2(b) for disposition of I-9 Forms and GRS
1, item 23 for disposition of temporary performance-related records.
Records Currently Stored in Federal Records Center(s):
4020-293.2(b) Immigration and
Naturalization Service Form I-9.
RG 016 Disposition Authority: GRS 1, Item 10.b
Record Type: Temporary
Disposition: Destroy 3 years after
employee separates from service or transfers to another agency.
Records Currently Stored in Federal Records Center(s):
4020-293.3 Duplicate OPF Documentation
Other copies of documents duplicated in OPFs not provided for
elsewhere in this file plan.
RG 016 Disposition Authority: GRS 1, Item 18.a
Record
Type: Temporary
Disposition: Destroy when 6 months old.
Records Currently Stored in Federal Records Center(s): .
4020-293.4 Automated Personnel Records
Electronic records are information recorded in a form that only a
computer can process. Electronic formats include any media that can be read by
a computer. Electronic Official Personnel Folders must meet the National
Archives and Records Administration's standards for electronic records. These
standards are in Part 1234 of Title 36 Code of Federal Regulations. The
electronic Official Personnel Folder system must meet the security requirements
established under Office of Management and Budget Circular A-130. Currently for
interagency transfer or transfer to the National Personnel Records Center, the
electronic Official Personnel Folder must be reproduced on paper.
Records contained on computer processable media within the Central
Personnel Data File (and in agency's automated personnel records) may be
retained indefinitely as a basis for longitudinal work history statistical
studies. After the disposition date in GRS-1, such records should not be used
in making decisions concerning employees.
RG 016 Disposition Authority: OPM/GOVT-1
Record
Type: Temporary
Disposition: Destroy when 6 months old.
Records Currently Stored in Federal Records Center(s): .
4020-293.5 Service Record
Cards
4020-293.5(a) Service Record Card (Standard Form (SF) 7 or
equivalent).
4020-293.5(a)(1) Cards for employees separated or transferred on
or before December 31, 1947.
RG 016 Disposition Authority: GRS 1, Item 2.a
Record Type: Temporary
Disposition: Transfer to NPRC
(CPR), St. Louis, MO. Destroy 60 years after earliest personnel action.
Records Currently Stored in Federal Records Center(s):
4020-293.5(a)(2) Cards for employees separated or transferred on
or after January 1, 1948.
RG 016 Disposition Authority: GRS 1, Item
2.b
Record Type: Temporary
Disposition: Destroy 3 years
after separation or transfer of employee.
Records Currently Stored
in Federal Records Center(s): 4020-293.5(b) Employee record cards used for informational purposes
outside personnel offices (such as SF 7B).
[NOTE: Effective December 31, 1994, the SF 7 card became
obsolete. Agencies may use an internal agency form.]
RG 016 Disposition Authority: GRS 1, Item 6
Record
Type: Temporary
Disposition: Destroy on separation or transfer
of employee.
Records Currently Stored in Federal Records
Center(s):
4020-293.5(c) Position Identification Strips.
Strips, such as the former SF 7D, containing summary data on each
position occupied. [NOTE: Effective December 31, 1994, the SF 7D became
obsolete.]
RG 016 Disposition Authority: GRS 1, Item 11
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records Center(s):
4020-293.6 Notifications of Personnel
Actions.
Standard Form 50, documenting all individual personnel actions such
as employment, promotions, transfers, separation, exclusive of the copy in the
OPF.
4020-293.6.a. Chronological file copies, including fact sheets,
maintained in personnel offices.
RG 016 Disposition Authority: GRS 1, Item 14.a
Record Type: Temporary
Disposition: Destroy when 2 years
old.
Records Currently Stored in Federal Records Center(s):
4020-293.6.b. All other copies maintained in personnel offices.
RG 016 Disposition Authority: GRS 1, Item 14.b
Record Type: Temporary
Disposition: Destroy when 1 year
old.
Records Currently Stored in Federal Records Center(s):
4020-294 Freedom of Information
See Freedom of Information Act Files:
3050 4020-297 Privacy
See Privacy Act Files:
3060 4030 Employment
The 4030 files series includes records pertaining to the employment
practices of the Federal Government generally, and of individual agencies, that
affect the recruitment, measurement, ranking, and selection of individuals for
initial appointment and competitive promotion in the competitive service are
filled. For the purpose of this file series, the term "employment practices"
includes the development and use of examinations, qualification standards,
tests, and other measurement instruments. 4030-300 Employment
Records pertaining to competitive employment practices.
Storage: Records are maintained on magnetic tapes, disk,
punched cards, microfiche, cards, lists, and forms.
Retrievability: Records are retrieved by the name, date of
birth, social security number, and/or identification number assigned to the
individual on whom they are maintained.
Safeguards: Records are maintained in a secured area or
automated media with access limited to authorized personnel whose duties
require access.
RG 016 Disposition Authority: OPM/GOVT-5 Recruiting, Examining
and Placement Records
Record Type: Temporary
Disposition:
Records in this system are retained for varying lengths of time, ranging from a
few months to 5 years, e.g., applicant records that are part of medical
determination case files or medical suitability appeal files are retained for 3
years from completion of action on the case. Most records are retained for a
period of 1 to 2 years. Some records, such as individual applications, become
part of the person's permanent official records when hired, while some records
(e.g., non-competitive action case files), are retained for 5 years. Some
records are destroyed by shredding or burning while magnetic tapes or disks are
erased.
Records Currently Stored in Federal Records Center(s):
4030-307 Veteran Readjustment Act
Veterans' Readjustment Appointment (VRA) - A veterans' readjustment
appointment is a special authority that allows agencies to appoint certain
veterans of the Armed Forces, without open competition, to positions in the
Federal Government. Agencies may fill jobs up through GS-11 or its equivalent
in other pay systems. (Also, see 4020-211 Veteran
Preference.)
Storage: Records are maintained on magnetic tapes, disk,
punched cards, microfiche, cards, lists, and forms.
Retrievability: Records are retrieved by the name, date of
birth, social security number, and/or identification number assigned to the
individual on whom they are maintained.
Safeguards: Records are maintained in a secured area or
automated media with access limited to authorized personnel whose duties
require access.
RG 016 Disposition Authority: OPM/GOVT-5 Recruiting, Examining
and Placement Records
Record Type: Temporary
Disposition:
Records in this system are retained for varying lengths of time, ranging from a
few months to 5 years, e.g., applicant records that are part of medical
determination case files or medical suitability appeal files are retained for 3
years from completion of action on the case. Most records are retained for a
period of 1 to 2 years. Some records, such as individual applications, become
part of the person's permanent official records when hired, while some records
(e.g., non-competitive action case files), are retained for 5 years. Some
records are destroyed by shredding or burning while magnetic tapes or disks are
erased.
Records Currently Stored in Federal Records Center(s):
4030-308 Volunteer Service
Student volunteer service is service performed under 5 U.S.C. 3111,
with the permission of the institution at which the student is enrolled, as
part of an agency program established for providing educational experience for
the student. Other volunteer service under programs for persons other than
students is defined in the individual laws and regulations authorizing those
programs.
Documentation of Volunteer Service. Volunteers do not receive
Federal appointments, so their service is not reported to the Central Personnel
Data File (CPDF). An SF-50 can not be used to document volunteer appointments;
however, agencies must clearly inform volunteers of the nature of their
appointment with respect to service credit for leave or other employee
benefits.
Responsibility for Responding to Requests for Service
Documentation. Agencies, not the Office of Personnel Management nor the
National Personnel Records Center, are responsible for responding to requests
from former volunteers for documentation of volunteer service.
Storage: These records are maintained in file folders, on
lists and forms, microfilm or microfiche, and in computer processable storage
media.
Retrievability: These records are retrieved by various
combinations of name, birth date, social security number, or identification
number of the individual on whom they are maintained.
Safeguards: Paper or microfiche/microfilmed records are
located in locked metal file cabinets or in secured rooms with access limited
to those personnel whose official duties require access. Access to computerized
records is limited, through use of access codes and entry logs, to those whose
official duties require access.
RG 016 Disposition Authority: GRS 1, Item 23.a
Record
Type: Temporary
Disposition: Destroy when 4 years old.
4030-310 Employment of Relatives
A public official may not advocate a relative for appointment,
employment, promotion, or advancement, or appoint, employ, promote, or advance
a relative, to a position in an agency in which the public official is employed
or over which he or she exercises jurisdiction or control. This restriction
does not, however, prohibit the appointment of a preference eligible whose name
is within reach for selection on an appropriate certificate of eligibles when
an alternative selection cannot be made from the certificate without passing
over the preference eligible and selecting an individual who is not a
preference eligible. (5 U.S.C. 3110(e) and 5 CFR Part 310, Subpart A)
See Certificates Files 4030-330.b
4030-311 Workforce Planning
Records pertaining to agency determination of the categories within
which positions are required, where they are to be located, and when they are
to be filled, abolished, or vacated. This includes records of determination of
surplus of employees at a particular location in a particular line of work. (5
CFR Sec. 351.201)
See Program Planning & Evaluation
1200 4030-315 Career & Career Conditional
Employment
A person employed in the competitive service for other than temporary,
term, or indefinite employment is appointed as a career or career-conditional
employee subject to the probationary period required by subpart H of 5 CFR 315.
An employee must serve 3 years of substantially continuous creditable service
to become a career employee.
Storage: Records are maintained in file folders, envelopes, and
on magnetic tapes, disks, microfilm, or microfiche.
Retrievability: Records are retrieved by the name and social
security number of the individual on whom they are maintained.
Safeguards: Records are maintained in file folders or
envelopes, on electronic media, magnetic tape, disks, or microforms and are
stored in locked desks, metal filing cabinets, or in a secured room with access
limited to those whose official duties require access. Additional safeguarding
procedures include the use of sign-out sheets and restrictions on the number of
employees able to access electronic records through use of access codes and
logs.
RG 016 Disposition Authority: OPM/GOVT-2
Record Type:
Temporary
Disposition: Records on former non-SES employees will
generally be retained no longer than 1 year after the employee leaves his or
her employing agency. Records on former SES employees may be retained up to 5
years under 5 U.S.C. Sec. 4314.
a. Summary performance appraisals (and related records as the
agency prescribes) on SES appointees are retained for 5 years and ratings
of record on other employees for 4 years, except as shown in paragraph b below,
and are disposed of by shredding, burning, erasing of disks, or in accordance
with agency procedures regarding destruction of personnel records, including
giving them to the individual. When a non-SES employee transfers to another
agency or leaves Federal employment, ratings of record and subsequent ratings
(4 years old or less) are to be filed on the temporary side of the OPF and
forwarded with the OPF.
b. Ratings of unacceptable performance and related documents,
pursuant to 5 U.S.C. 4303(d), are destroyed after the employee completes 1 year
of acceptable performance from the date of the proposed removal or
reduction-in-grade notice. (Destruction to be no later than 30 days after the
year is up.)
c. When a career appointee in the SES accepts a
Presidential appointment pursuant to 5 U.S.C. 3392(c), the employee's
performance folder remains active so long as the employee remains employed
under the Presidential appointment and elects to have certain provisions of 5
U.S.C. relating to the Service apply.
d. When an incumbent of the SES transfers to another position
in the Service, ratings and plans 5 years old or less shall be forwarded to the
gaining agency with the individual's OPF.
e. Some performance-related records (e.g., documents maintained to
assist rating officials in appraising performance or recommending remedial
actions or to show that the employee is currently licensed or certified) may be
destroyed after 1 year.
f. Where any of these documents are needed in connection with
administrative or negotiated grievance procedures, or quasi-judicial or
judicial proceedings, they may be retained as needed beyond the retention
schedules identified above.
g. Generally, agencies retain records on former employees for no
longer than 1 year after the employee leaves. NOTE -When an agency retains an electronic or microform version
of any of the above documents, retention of such records longer than shown is
permitted (except for those records subject to 5 U.S.C. 4303(d)) for agency use
or for historical or statistical analysis, but only so long as the record is
not used in a determination directly affecting the individual about whom the
record pertains (after the manual record has been or should have been
destroyed).
4030-316 Temporary and Term Employment
(a) An agency may make a term appointment for a period of more than 1
year but not more than 4 years to positions where the need for an employee's
services is not permanent. Reasons for making a term appointment include, but
are not limited to: project work, extraordinary workload, scheduled
abolishment, reorganization, contracting out of the function, uncertainty of
future funding, or the need to maintain permanent positions for placement of
employees who would otherwise be displaced from other parts of the
organization. Agencies may extend appointments made for more than 1 year but
less than 4 years up to the 4-year limit in increments determined by the
agency. The vacancy announcement should state that the agency has the option of
extending a term appointment up to the 4-year limit.
(b) OPM may authorize exceptions beyond the 4-year limit when the
extension is clearly justified and is consistent with applicable statutory
provisions. Requests to make and/or extend appointments beyond the 4-year limit
must be initiated by the employing office and sent to the appropriate OPM
service center.
See Temporary Individual Employee Records
4020-293.2 4030-317 Senior Executive Service (SES)
Employment
The head of each agency is responsible for establishing qualifications
standards for Senior Executive Service (SES) positions in accordance with the
procedures described in this subpart. A written qualification standard must be
established for a position before any appointment is made to the position. If a
position is being filled competitively, the standard must be established before
the position is announced.
RG 016 Disposition Authority: OPM/GOVT-2
Record
Type: Temporary
Disposition: Records on former SES employees may
be retained up to 5 years under 5 U.S.C. Sec. 4314.
a. Summary performance appraisals (and related records as the
agency prescribes) on SES appointees are retained for 5 years and ratings
of record on other employees for 4 years, except as shown in paragraph b below,
and are disposed of by shredding, burning, erasing of disks, or in accordance
with agency procedures regarding destruction of personnel records, including
giving them to the individual.
b. Ratings of unacceptable performance and related
documents, pursuant to 5 U.S.C. 4303(d), are destroyed after the employee
completes 1 year of acceptable performance from the date of the proposed
removal or reduction-in-grade notice. (Destruction to be no later than 30 days
after the year is up.)
c. When a career appointee in the SES accepts a
Presidential appointment pursuant to 5 U.S.C. 3392(c), the employee's
performance folder remains active so long as the employee remains employed
under the Presidential appointment and elects to have certain provisions of 5
U.S.C. relating to the Service apply.
d. When an incumbent of the SES transfers to another
position in the Service, ratings and plans 5 years old or less shall be
forwarded to the gaining agency with the individual's OPF.
e. Some performance-related records (e.g., documents maintained to
assist rating officials in appraising performance or recommending remedial
actions or to show that the employee is currently licensed or certified) may be
destroyed after 1 year.
f. Where any of these documents are needed in connection with
administrative or negotiated grievance procedures, or quasi-judicial or
judicial proceedings, they may be retained as needed beyond the retention
schedules identified above.
g. Generally, agencies retain records on former employees for no
longer than 1 year after the employee leaves. NOTE -When an agency retains an electronic or microform version
of any of the above documents, retention of such records longer than shown is
permitted (except for those records subject to 5 U.S.C. 4303(d)) for agency use
or for historical or statistical analysis, but only so long as the record is
not used in a determination directly affecting the individual about whom the
record pertains (after the manual record has been or should have been
destroyed). 4030-319 Senior Level (SL) & Scientific
& Professional (ST) Positions
4030-319.102 Senior-level positions.
(a) SL positions are positions classified above GS-15 pursuant to 5
U.S.C. 5108 that are not covered by other pay systems (e.g. the SES and ST
systems).
(b) Positions in agencies that are excluded from 5 U.S.C. chapter 51
(Classification) under section 5102(a), or positions that meet one of the
exclusions in section 5102(c), are excluded from the SL system.
(c) SL positions in the executive branch are in the competitive
service unless the position is excepted by statute, Executive order, or the
Office of Personnel Management (OPM).
4030-319.103 Scientific and professional positions.
(a) ST positions are established under 5 U.S.C. 3104 to carry out
research and development functions that require the services of specially
qualified personnel.
(b) Research and development functions are defined in The Guide to
Personnel Data Standards under the data element "Functional Classification."
The guide is available for inspection at the Office of Personnel Management
library, 1900 E Street, NW., Washington DC 20415.
(c) An ST position must be engaged in research and development in
the physical, biological, medical, or engineering sciences, or a closely
related field.
(d) ST positions are in the competitive service.
RG 016 Disposition Authority: OPM/GOVT-5 Recruiting,
Examining and Placement Records
Record Type: Temporary
Disposition: Agencies must maintain records sufficient to allow
reconstruction of the merit staffing process. Records must be kept for 2 years
after an appointment, or, if no appointment is made, for 2 years after the
closing date of the vacancy announcement.
See Recruitment, Selection & Placement
4030-330 and Employee Performance and
Development 4040 for retention and disposition of
records. 4030-330 Recruitment, Selection & Placement
(OPM/GOVT-5)
In general, all records in this file series contain identifying
information including name, date of birth, social security number, and home
address. These records pertain to assembled and unassembled examining
procedures and contain information on both competitive examinations and on
certain noncompetitive actions, such as determinations of time-in-grade
restriction waivers, waiver of qualification requirement determinations, and
variations in regulatory requirements in individual cases.
4030-330.a Applications for Employment
Applications for employment that contain information on work and
education, military service, convictions for offenses against the law, military
service, and indications of specialized training or receipt of awards or
honors. These records may also include copies of correspondence between the
applicant and the Office of Personnel Management or the Department.
4030-330.a(1) Certificate of Eligibles
Files
Copies obtained from OPM of certificates of eligibles with related
requests, forms, correspondence, and statement of reasons for passing over a
preference eligible and selecting a nonpreference eligible.
RG 016 Disposition Authority: GRS 1, Item 5
Record
Type: Temporary
Disposition: Destroy when 2 years old.
Records Currently Stored in Federal Records Center(s):
4030-330.a(2) Cancelled and Ineligible
Applications
Cancelled and ineligible applications for positions filled from a
register or inventory. Such documents include Optional Form (OF) 612, resumes,
supplemental forms, and attachments, whether in hard copy or electronic format.
RG 016 Disposition Authority: GRS 1, Item 33.k
Record
Type: Temporary
Disposition: Cut off annually. Destroy 1 year
after cutoff.
Records Currently Stored in Federal Records
Center(s):
4030-330.a(3) Eligible
Applications
Eligible applications for positions filled from a register or
inventory, including OF 612, resumes, supplemental forms, and attachments,
whether in hard copy or electronic format.
4030-330.a(3)(a) On active register or
inventory.
RG 016 Disposition Authority: GRS 1, Item
33.l(1)
Record Type: Temporary
Disposition: Destroy 90
days after termination of the register or inventory, (except for those
applications that may be brought forward to a new register or inventory, if
any).
Records Currently Stored in Federal Records Center(s):
4030-330.a(3)(b) On inactive register or inventory.
RG 016 Disposition Authority: GRS 1, Item
33.l(2)
Record Type: Temporary
Disposition: Cut off
annually. Destroy 1 year after cut off.
Records Currently Stored in
Federal Records Center(s):
4030-330.a(4) Ineligible or Incomplete
Applications
Ineligible or incomplete applications for positions filled by case
examining. Such documents include OF 612, resumes, supplemental forms, whether
in hard copy or electronic format.
RG 016 Disposition Authority: GRS 1, Item 33.m
Record
Type: Temporary
Disposition: Cutoff annually. Destroy 2 years
after cutoff.
Records Currently Stored in Federal Records
Center(s):
4030-330.a(5) Eligible Applications -
Not Referred
Eligible applications for positions filled by case examining that
either are not referred to the hiring official or are returned to the examining
office by the hiring official. Such documents include OF 612, resumes,
supplemental forms, and attachments, whether in hard copy or electronic format.
RG 016 Disposition Authority: GRS 1, Item 33.n
Record
Type: Temporary
Disposition: Cutoff annually. Destroy 2 years
after cutoff.
Records Currently Stored in Federal Records
Center(s):
4030-330.a(6) Eligible Applications -
Changes
Correspondence or notices received from eligibles indicating a
change in name, address, or availability.
RG 016 Disposition Authority: GRS 1, Item 33.c
Record
Type: Temporary
Disposition: Destroy 90 days after updating the
appropriate record in the registry or inventory.
Records Currently
Stored in Federal Records Center(s): 4030-330.b Certificate Files (SF 39)
Certificate Files, including SF 39, SF 39A, or equivalent, and all
papers upon which the certification was based: the list of eligibles screened
for the vacancies, ratings assigned, availability statements, the certificate
of eligibles that was issued to the selecting official, the annotated
certificate of eligibles that was returned from the selecting official, and
other documentation material designated by the examiner for retention.
RG 016 Disposition Authority: GRS 1, Item 33.p
Record
Type: Temporary
Disposition: Cut off annually. Destroy 2 years
after cutoff.
Records Currently Stored in Federal Records
Center(s): 4030-330.c Certification request control
index.
Certificate control log system. Records of information (e.g. receipt
date, series, and grade of position, duty station, etc.) pertaining to requests
for lists of eligibles from a register or inventory.
RG 016 Disposition Authority: GRS 1, Item 33.q
Record
Type: Temporary
Disposition: Cut off annually. Destroy 2 years
after cutoff.
Records Currently Stored in Federal Records
Center(s):
4030-330.d Offers of Employment Files
Correspondence, including letters and telegrams, offering
appointments to potential employees.
4030-330.d(1) Accepted offers.
RG 016 Disposition Authority: GRS 1, Item 4.a
Record
Type: Temporary
Disposition: Destroy when appointment is
effective.
Records Currently Stored in Federal Records
Center(s): 4030-330.d(2) Declined offers:
4030-330.d(2)(a) Declined Certificate of Eligibles
When name is received from certificate of eligibles.
RG 016 Disposition Authority: GRS 1, Item 4.b(1)
Record Type: Temporary
Disposition: Return to OPM with
reply and application.
Records Currently Stored in Federal Records
Center(s): 4030-330.d(2)(b) Temporary or excepted appointment.
RG 016 Disposition Authority: GRS 1, Item 4.b(2)
Record Type: Temporary
Disposition: File with application
(see item 15 of this schedule).
Records Currently Stored in Federal
Records Center(s): 4030-330.d(2)(c) All others.
RG 016 Disposition Authority: GRS 1, Item 4.b(3)
Record Type: Temporary
Disposition: Destroy immediately.
Records Currently Stored in Federal Records Center(s):
4030-330.e Applicant Race, Sex, National
Origin, and Disability Status Records (OPM/GOVT-7)
The records include the individual's name; social security number;
date of birth; statement of major field of study; type of current or former
Federal employment status (e.g., career or temporary); applications showing
work and education experience; and race, sex, national origin, and disability
status data. Storage: These records are maintained in file folders
and on magnetic tape and disks.
Retrievability: Records are retrieved by the name and social
security number of the individuals on whom they are maintained.
Safeguards: Records are retained in locked metal filing
cabinets in a secured room or in a computerized system accessible by
confidential passwords issued only to specific personnel.
RG 016 Disposition Authority: OPM/GOVT-7
Record
Type: Temporary
Disposition: Records are generally retained for
2 years, except when needed to process applications or to prepare adverse
impact and related reports, or for as long as an application is still under
consideration for selection purposes. When records are needed in the course of
an administrative procedure or litigation, they may be maintained until the
administrative procedure or litigation is completed. Manual records are
shredded or burned and magnetic tapes and disks are erased.
4030-332 Recruitment & Selection Through
Competitive Exams
Examinations for entrance into the competitive service shall be open
competitive, except that OPM may authorize noncompetitive examinations when
sufficient competent persons do not compete. An examination for promotion,
demotion, reassignment, transfer, or reinstatement may be a noncompetitive
examination.
4030-332.a Examination Announcement Case
Documentation Files
Correspondence regarding examination requirements, final version of
announcement(s) issued, subsequent amendments to announcement(s), public notice
documentation, rating schedule, job analysis documentation, record of selective
and quality rating factors, rating procedures, transmutation tables, and other
documents associated with the job announcement(s) and the development of the
register/inventory or case examination.
RG 016 Disposition Authority: GRS 1, Item 33.f
Record
Type: Temporary
Disposition: Cut off after termination of
related register or inventory or after final action is taken on the certificate
generated by case examining procedures. Destroy 2 years after cut off.
Records Currently Stored in Federal Records Center(s):
. 4030-332.b Correspondence Regarding
Examinations
Correspondence concerning applications, certification of eligibles,
and all other examining and recruiting operations. Such correspondence,
includes, but is not limited to, correspondence from Congress, White House, and
the general public, and correspondence regarding accommodations for holding
examinations and shipment of test materials.
RG 016 Disposition Authority: GRS 1, Item 33.b
Record
Type: Temporary
Disposition: Cut off annually. Destroy 1 year
after cutoff.
Records Currently Stored in Federal Records
Center(s): . 4030-332.c Examination Application Record
Card
Application Record Card (OPM Form 5000A, or equivalent).
RG 016 Disposition Authority: GRS 1, Item 33.d
Record
Type: Temporary
Disposition: Cut off after examination. Destroy
no later than 90 days after cutoff.
Records Currently Stored in
Federal Records Center(s): . 4030-332.f Test Answer Sheets
Written test answer sheets for both eligibles and ineligibles.
RG 016 Disposition Authority: GRS 1, Item 33.i
Record
Type: Temporary
Disposition: Filed by date of processing.
Destroy when 6 months old.
Records Currently Stored in Federal
Records Center(s): . 4030-333 Recruitment & Selection for
Temporary & Term Appointments Outside Registers
See 4020-293.2 for handling of
Temporary Individual Employee Records. 4030-334 Temporary Assignments Between &
Outside Federal Agencies
See 4020-293.2 for handling of
Temporary Individual Employee Records. 4030-335 Promotion & Internal Placement
Records relating to the promotion of an individual that document
qualification standards, evaluation methods, selection procedures, and
evaluations of candidates.
RG 016 Disposition Authority: GRS 1, Item 32
Record
Type: Temporary
Disposition: Destroy after OPM audit or 2 years
after the personnel action is completed, whichever is sooner.
Records Currently Stored in Federal Records Center(s): .
4030-337 Applicant Examining System
Delegated agreements and related records created under the authority
of 5 U.S.C. 1104 between the OPM and agencies, allowing for the examination and
certification of applicants for employment.
4030-337.a Delegated Agreements
RG 016 Disposition Authority: GRS 1, Item 33.a
Record
Type: Temporary
Disposition: Destroy 3 years after termination
of agreement.
Records Currently Stored in Federal Records
Center(s): . 4030-337.b Test Material Stock Control
Stock control records of examination test material including running
inventory of test material in stock.
RG 016 Disposition Authority: GRS 1, Item 33.d
Record
Type: Temporary
Disposition: Destroy when test is superseded or
obsolete.
Records Currently Stored in Federal Records Center(s):
. 4030-337.c Lost or Exposed Test Material
Case Files
Records showing the circumstances of loss, nature of the recovery
action, and corrective action required.
RG 016 Disposition Authority: GRS 1, Item 33.j
Record
Type: Temporary
Disposition: Cut off files annually. Destroy 5
years after cutoff.
Records Currently Stored in Federal Records
Center(s): 4030-337.d Audits of Examining
Operations
Reports of audits of delegated examining operations.
RG 016 Disposition Authority: GRS 1, Item 33.s
Record
Type: Temporary
Disposition: Destroy 3 years after date of the
report.
Records Currently Stored in Federal Records Center(s):
4030-338 Qualifications Requirements
Agencies must ensure that employees who are given competitive service
appointments meet the requirements included in the Office of Personnel
Management's Operating Manual:
Qualification Standards
for General Schedule Positions. The Operating Manual is available to the
public for review at agency personnel offices and Federal depository libraries,
and for purchase from the Government Printing Office.
External or Non-Series Instructions. Use for material of a
directional nature which originates outside USDA or which originates within
USDA but is not part of a formal directive system. Includes comments and
other materials on proposed and existing instructions.
RG 016
Disposition Authority: GRS 16, Item 4.a.
Record Type: Temporary
Disposition: Destroy when superseded or obsolete.
4030-339 Medical Qualification
Determinations
Case files related to medical suitability determinations and appeals.
4030-339.a Drug Test Results -
Applicants
Records related to an applicant's examination for use of illegal
drugs under provisions of Executive Order 12564. Such records may be retained
by the agency (e.g., evidence of confirmed positive test results) or by a
contractor laboratory (e.g., the record of the testing of an applicant, whether
negative, or confirmed or unconfirmed positive test result). (See 4430-792-2
for drug testing program records created under Executive Order 12564 and Public
Law 100-71, Section 503 (101 Stat. 468), EXCLUDING consolidated statistical and
narrative reports concerning the operation of agency programs, including annual
reports to Congress, as required by Pub. L. 100-71, 503(f).) Applicants not
accepted for employment.
RG 016 Disposition Authority: GRS 1, Item
36.e(1)(a)
Record Type: Temporary
Disposition: Destroy
when 3 years old. [NOTE: Any records that are relevant to litigation or
disciplinary actions should be disposed of no earlier than the related
litigation or adverse action case file(s).]
Records Currently Stored
in Federal Records Center(s):
Retention and Disposal:
4030-339.b Federal Workplace Drug Testing
Program Files
Drug testing program records created under Executive Order 12564 and
Public Law 100-71, Section 503 (101 Stat. 468), EXCLUDING consolidated
statistical and narrative reports concerning the operation of agency programs,
including annual reports to Congress, as required by Pub. L. 100-71, 503(f).
4030-339.b(1) Drug Test Plans and Procedures
Drug test plans and procedures, EXCLUDING documents that are filed
in record sets of formal issuances (directives, procedures handbooks, operating
manuals, and the like.) Agency copies of plans and procedures, with related
drafts, correspondence, memoranda, and other records pertaining to the
development of procedures for drug testing programs, including the
determination of testing incumbents in designated positions.
RG 016 Disposition Authority: GRS 1, Item 36.a
Record
Type: Temporary
Disposition: Destroy when 3 years old or when
superseded or obsolete. [NOTE: Any records that are relevant to
litigation or disciplinary actions should be disposed of no earlier than the
related litigation or adverse action case file(s).]
Records Currently
Stored in Federal Records Center(s):
4030-339.b(2) Employee acknowledgment of notice forms.
Forms completed by employees whose positions are designated
sensitive for drug testing purposes acknowledging that they have received
notice that they may be tested.
RG 016 Disposition Authority: GRS 1, Item 36.b
Record
Type: Temporary
Disposition: Destroy when employee separates
from testing-designated position. [NOTE: Any records that are relevant
to litigation or disciplinary actions should be disposed of no earlier than the
related litigation or adverse action case file(s).]
Records Currently
Stored in Federal Records Center(s): 4030-339.b(3) Drug Test Selection/scheduling records.
Records relating to the selection of specific employees/applicants
for testing and the scheduling of tests. Included are lists of selectees,
notification letters, and testing schedules.
RG 016 Disposition Authority: GRS 1, Item 36.c
Record
Type: Temporary
Disposition: Destroy when 3 years old.
[NOTE: Any records that are relevant to litigation or disciplinary
actions should be disposed of no earlier than the related litigation or adverse
action case file(s).]
Records Currently Stored in Federal Records
Center(s): 4030-339.b(4) Records relating to the collection and handling of
specimens.
4030-339.b(4)(a) Record Books
Bound books containing identifying data on each specimen,
recorded at each collection site in the order in which the specimens were
collected.
RG 016 Disposition Authority: GRS 1, Item
36.d(1)
Record Type: Temporary
Disposition: Destroy 3
years after date of last entry. [NOTE: Any records that are relevant to
litigation or disciplinary actions should be disposed of no earlier than the
related litigation or adverse action case file(s).]
Records Currently
Stored in Federal Records Center(s): 4030-339.b(4)(b) Chain of custody records.
Forms and other records used to maintain control and
accountability of specimens from the point of collection to the final
disposition of the specimen.
RG 016 Disposition Authority: GRS 1, Item
36.d(2)
Record Type: Temporary
Disposition: Destroy when 3
years old. [NOTE: Any records that are relevant to litigation or
disciplinary actions should be disposed of no earlier than the related
litigation or adverse action case file(s).]
Records Currently Stored
in Federal Records Center(s): 4030-339.c Drug Test results.
Records documenting individual test results, including reports of
testing, notifications of employees/applicants and employing offices, and
documents relating to follow-up testing.
4030-339.c (1) Positive results.
Employees.
RG 016 Disposition Authority: GRS 1, Item
36.e(1)(a)
Record Type: Temporary
Disposition: Destroy
when employee leaves the agency or when 3 years old, whichever is later.
Records Currently Stored in Federal Records Center(s):
4030-339.c (2) Negative results.
RG 016 Disposition Authority: GRS 1, Item
36.e(1)(a)
Record Type: Temporary
Disposition: Destroy
when 3 years old.
Records Currently Stored in Federal Records
Center(s): 4030-339.d Appointment Case Files:
Handicapped Individuals
Case files containing position title and description; fully executed
SF 171; medical examiner's report; a brief statement explaining accommodation
of impairment; and other documents related to previous appointment,
certification, and/or acceptance or refusal, created in accordance with FPM
chapter 306-11, subchapter 4-2.
RG 016 Disposition Authority: GRS 1, Item 40
Record
Type: Temporary
Disposition: Destroy 5 years following the date
of approval or disapproval of each case.
Records Currently Stored in
Federal Records Center(s): 4030-340 Other Than Full Time Career
Employment
Records of agency reports to OPM regarding compliance with "Federal
Employees Part-Time Career Employment Act of 1978". (5 CFR 340)
RG 016 Disposition Authority: GRS 1, Item 16
Record
Type: Temporary
Disposition: Destroy when 2 years
old. 4030-351 Reduction In Force Records
An employee who receives a specific notice of separation must be given
information concerning the right to reemployment consideration and career
transition assistance under subparts B (Reemployment Priority List), F and G
(Career Transition Assistance Programs) of part 330 of Title 5, Code of Federal
Regulations, Part 351.803. The employee must also be given a release to
authorize, at his or her option, the release of his or her resume and other
relevant employment information for employment referral to State dislocated
worker unit(s) and potential public or private sector employers. The employee
must also be given information concerning how to apply both for unemployment
insurance through the appropriate State program and benefits available under
the State dislocated worker unit(s), as designated or created under title III
of the Job Training Partnership Act, and an estimate of severance pay (if
eligible).
4030-351.a Retention Registers - Used
Registers and related records used to effect reduction-in-force
actions.
RG 016 Disposition Authority: GRS 1, Item
17.b(1)
Record Type: Temporary
Disposition: Destroy when 2
years old.
Records Currently Stored in Federal Records
Center(s): 4030-351.b Retention Registers - Not Used
Registers from which no reduction-in-force actions have been taken
and related records.
RG 016 Disposition Authority: GRS 1, Item
17.b(2)
Record Type: Temporary
Disposition: Destroy when
superseded or obsolete.
Records Currently Stored in Federal Records
Center(s): 4030-352 Employment Rights
Subject to the conditions specified in 5 CFR §352.504, an
employee who is appointed to a position under authority of section 233(d) or
section 625(b) of the Foreign Assistance Act of 1961 is entitled, on
termination of that appointment for any reason other than his or her own
misconduct or delinquency, to be reinstated in his or her former position or in
one of like seniority, status, and pay in the same agency. When the employee's
right is to a position in the SES, reinstatement may be to any position in the
SES for which the employee is qualified. The employee shall be returned at not
less than the SES pay level at which the employee was being paid immediately
before his or her transfer. If the functions with which the employee's former
position was identified have been transferred to another agency, the employee's
right to reinstatement is in the gaining agency. An employee is entitled to be
reemployed by the reemploying agency as promptly as possible, and, in any
event, within 45 calendar days after agency receipt of application.
RG 016 Disposition Authority: GRS 1, Item 17.a
Record
Type: Temporary
Disposition: Destroy when action is
completed.
Records Currently Stored in Federal Records
Center(s): 4030-353 Restoration of Duty
Registration sheets, control cards, and related documents regarding
Federal employees requesting placement assistance in view of pending or
realized displacement because of reduction in force, transfer or discontinuance
of function, or reorganization.
RG 016 Disposition Authority: GRS 1, Item 17.b
Record
Type: Temporary
Disposition: Destroy when 2 years old.
Records Currently Stored in Federal Records Center(s):
4030-362 Presidential Management Intern
Program
The Presidential Management Intern (PMI) Program is designed to
attract to Federal service outstanding men and women from a wide variety of
academic disciplines who have a clear interest in, and commitment to, a career
in the analysis and management of public policies and programs. To move from
one agency to another during the internship, the intern must separate from the
current agency and be reappointed under PMI appointment by the new employing
agency without a break in service. The intern does not begin a new 2-year
internship period; the time previously served under the PMI Program counts
toward the completion of the 2-year period. The new employing agency must
notify the OPM PMI Program office of the action.
See 4020-293.2 Temporary Individual Employee
Records 4040 Employee Performance and Development
4040-410 Training
4040-410.a General Training Administration
Records
General file of agency-sponsored training, EXCLUDING record copy of
manuals, syllabuses, textbooks, and other training aids developed by the
agency. Correspondence, memoranda, agreements, authorizations, reports,
requirement reviews, plans, and objectives relating to the establishment and
operation of training courses and conferences. [NOTE: Records excluded
from this item must be scheduled by submission of an SF 115 to NARA.
(Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
RG 016 Disposition Authority: GRS 1, Item
29.a(1)
Record Type: Temporary
Disposition: Destroy when 5
years old or 5 years after completion of a specific training program.
Records Currently Stored in Federal Records Center(s):
4040-410.b Training Administration Working
Files
Background and working files.
RG 016 Disposition Authority: GRS 1, Item
29.a(2)
Record Type: Temporary
Disposition: Destroy when 3
years old.
Records Currently Stored in Federal Records
Center(s): 4040-410.c Employee Training - Other Sources
Correspondence, memoranda, reports, and other records relating to
the availability of training and employee participation in training programs
sponsored by other government agencies or non-Government institutions.
RG 016 Disposition Authority: GRS 1, Item 29.b
Record
Type: Temporary
Disposition: Destroy when 5 years old or when
superseded or obsolete, whichever is sooner.
Records Currently
Stored in Federal Records Center(s): 4040-412 Executive Management & Supervisory
Development
Agency records related to the criteria for programs of systematic
development of candidates for the SES and the continuing development of SES
members.
RG 016 Disposition Authority: GRS 1, Item 29.b
Record
Type: Temporary
Disposition: Destroy when 5 years old or when
superseded or obsolete, whichever is sooner.
Records Currently
Stored in Federal Records Center(s): 4040-430 Performance Management
Employee performance records include ratings of record, supporting
documentation for those ratings, and any other performance-related material
required by the agency performance appraisal system. The employee performance
records are covered by the Governmentwide system of records, OPM/GOVT-2.
4040-430.a Non-SES appointees (as defined in
5 USC 4301(2)).
4040-430 .a.(1) Appraisals of unacceptable performance, where a
notice of proposed demotion or removal is issued but not effected and all
related documents.
RG 016 Disposition Authority: GRS 1, Item 23.a(1)
Record Type: Temporary
Disposition: Destroy after the
employee completes 1 year of acceptable performance from the date of the
written advance notice of proposed removal or reduction-in-grade notice.
Records Currently Stored in Federal Records Center(s):
4040-430 .a.(2) Performance records superseded through an
administrative, judicial, or quasi-judicial procedure.
RG 016 Disposition Authority: GRS 1, Item 23.a(2)
Record Type: Temporary
Disposition: Destroy when
superseded.
Records Currently Stored in Federal Records
Center(s):
4040-430 .a.(3) Performance-related records pertaining to a former
employee.
4140.a.(3) (a) Latest rating of record 3 years old or less,
performance plan upon which it is based, and any summary rating.
RG 016 Disposition Authority: GRS 1, Item 23.a(3)(a)
Record Type: Temporary
Disposition: Place records on left
side of the Official Personnel File and forward to gaining Federal agency upon
transfer or to NPRC if employee separates (see item 1b of this schedule). An
agency retrieving an OPF from NPRC will dispose of these documents in
accordance with item 23a(3)(b) of this schedule.
Records Currently
Stored in Federal Records Center(s):
4040-430 .a.(3) (b) All other performance plans and ratings.
RG 016 Disposition Authority: GRS 1, Item 23.a(3)(b)
Record Type: Temporary
Disposition: Destroy when 4 years
old or when no longer needed, whichever is sooner.
Records Currently
Stored in Federal Records Center(s):
4040-430 .a.(4) All other summary performance appraisal records,
including performance appraisals and job elements and standards upon which they
are based.
RG 016 Disposition Authority: GRS 1, Item 23.a(4)
Record Type: Temporary
Disposition:Destroy 4 years after
date of appraisal.
Records Currently Stored in Federal Records
Center(s):
4040-430.a.(5) Supporting documents.
RG 016 Disposition Authority: GRS 1, Item 23.a(5)
Record Type: Temporary
Disposition: Destroy 4 years after
date of appraisal or when no longer needed, whichever is sooner.
Records Currently Stored in Federal Records Center(s):
4040-430.b SES appointees (as defined in 5
USC 3132a(2)).
4040-430.b.(1) Performance records superseded through an
administrative, judicial, or quasi-judicial procedure.
RG 016 Disposition Authority: GRS 1, Item 23.b(1)
Record Type: Temporary
Disposition: Destroy when
superseded.
Records Currently Stored in Federal Records
Center(s):
4040-430.b.(2) Performance-related records pertaining to a former
SES appointee.
4140.b.(2) (a) Latest rating of record that is less than 5 years
old, performance plan upon which it is based, and any summary rating.
RG 016 Disposition Authority: GRS 1, Item 23.b(2)(a)
Record Type: Temporary
Disposition: Place records on left
side of the OPF and forward to gaining Federal agency upon transfer or to NPRC
if employee leaves Federal service (see item 1b of this schedule). An agency
retrieving an OPF from NPRC will dispose of those documents in accordance with
item 4140.b(2)(b) of this schedule.
Records Currently Stored in
Federal Records Center(s):
4040-430.b.(2) (b) All other performance ratings and plans.
RG 016 Disposition Authority: GRS 1, Item 23.b(2)(b)
Record Type: Temporary
Disposition: Destroy when 5 years
old, or when no longer needed, whichever is sooner.
Records
Currently Stored in Federal Records Center(s):
4040-430.b.(3) All other performance appraisals
All other performance appraisals, along with job elements and
standards (job expectations) upon which they are based, EXCLUDING those for SES
appointees serving on a Presidential appointment (5 CFR 214).
RG 016 Disposition Authority: GRS 1, Item 23.b(3)
Record Type: Temporary
Disposition: Destroy 5 years after
date of appraisal.
Records Currently Stored in Federal Records
Center(s):
4040-430.b.(4) Supporting documents.
RG 016 Disposition Authority: GRS 1, Item 23.b(4)
Record Type: Temporary
Disposition: Destroy 5 years after
date of appraisal or when no longer needed, whichever is sooner.
Records Currently Stored in Federal Records Center(s):
4040-430.c Performance Rating Board Case
Files.
Copies of case files forwarded to OPM relating to performance rating
board reviews
RG 016 Disposition Authority: GRS 1, Item 9
Record
Type: Temporary
Disposition: Destroy 1 year after case is
closed.
Records Currently Stored in Federal Records Center(s):
4040-432 Performance Based Actions
Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR
432). Case files and records related to adverse actions and performance-based
actions (removal, suspension, reduction-in-grade, furlough) against employees.
The file includes a copy of the proposed adverse action with supporting
documents; statements of witnesses; employee's reply; hearing notices, reports,
and decisions; reversal of action; and appeal records, EXCLUDING letters of
reprimand which are filed in the OPF.
RG 016 Disposition Authority: GRS 1, Item 30.b
Record
Type: Temporary
Disposition: Destroy no sooner than 4 years but
no later than 7 years after case is closed.
Records Currently
Stored in Federal Records Center(s):
[NOTE: OPM has determined that agencies may decide how long,
within the range of 4 to 7 years, grievance and adverse action files need to be
retained. To implement this authority, each agency must select one fixed
retention period, between 4 and 7 years, for the entire series of its closed
cases. Agencies are not authorized to use different retention periods for
individual cases. The agency should publish the chosen retention period in the
Privacy Act notice for these records, the agency's records disposition manual,
and any other issuance dealing with the disposition of these records.]
4040-451 Awards
[NOTE: Records relating to Department-level awards must be
scheduled by submitting an SF 115, Request for Records Disposition Authority,
to NARA. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
4040-451.a General Awards Records
General awards records, EXCLUDING those relating to
Department-level awards. Case files including recommendations, approved
nominations, correspondence, reports, and related handbooks pertaining to
agency-sponsored cash and noncash awards such as incentive awards, within-grade
merit increases, suggestions, and outstanding performance. Correspondence
pertaining to awards from other Federal agencies or non-Federal
organizations.
RG 016 Disposition Authority: GRS 1, Item 12.a(1) and (2)
Record Type: Temporary
Disposition: Destroy 2 years after
approval or disapproval.
Records Currently Stored in Federal
Records Center(s): 4040-451.b Length of Service and Sick Leave
Awards Files
Records including correspondence, reports, computations of service
and sick leave, and lists of awardees.
RG 016 Disposition Authority: GRS 1, Item 12.b
Record
Type: Temporary
Disposition: Destroy when 1 year old.
Records Currently Stored in Federal Records Center(s):
4040-451.c Letters of Commendation and
Appreciation
Copies of letters recognizing length of service and retirement and
letters of appreciation and commendation for performance, EXCLUDING copies
filed in the OPF.
RG 016 Disposition Authority: GRS 1, Item 12.c
Record
Type: Temporary
Disposition: Destroy when 2 years old.
Records Currently Stored in Federal Records Center(s):
4040-451.d Lists of or Indexes to Agency
Award Nominations
Lists of nominees and winners and indexes of nominations.
RG 016 Disposition Authority: GRS 1, Item 12.d
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records
Center(s):
4040-451.e Incentive Awards Program
Reports
Reports pertaining to the operation of the Incentive Awards Program.
RG 016 Disposition Authority: GRS 1, Item 13
Record
Type: Temporary
Disposition: Destroy when 3 years old.
Records Currently Stored in Federal Records Center(s):
4050 Position Classification, Pay and
Allowances
Federal executive branch agencies are responsible for applying the
appropriate standards in individual personnel actions and when examining for
positions under a delegated examining authority. Information provided in OPM
qualification standards generally is not sufficiently specific to be used
directly in examining for positions or quoted in vacancy announcements.
Therefore, agencies must include in their vacancy announcements the general or
specialized experience or education required for their positions. It is not
adequate to state, "See Qualification Standards Operating Manual for General
Schedule Positions for experience requirements." (See
http://www.opm.gov/qualifications/SEC-II/s2-e1.htm#e3
on describing experience in vacancy announcements.)
Agencies are also responsible for developing selective factors, when
needed, to supplement the standards in this Manual. (See
http://www.opm.gov/qualifications/SEC-II/s2-f-g.htm#g.)
Agencies are responsible for establishing medical standards without
OPM approval for occupations for which they are the predominant employer, i.e.,
have 50 percent or more of the positions in the occupation. (See
http://www.opm.gov/qualifications/SEC-II/s2-e8.htm#e9b.)
Agencies can also modify qualification requirements for certain
inservice placement actions. (See
http://www.opm.gov/qualifications/SEC-II/s2-e7.htm#e8c.)
When agencies define or modify particular requirements, they are responsible
for supporting their decisions. Agencies can also waive or modify qualification
requirements when assigning employees in reductions in force or in lieu of
reductions in force. (See OPM guidance on reduction-in-force procedures.)
In those rare instances where qualification standards supplemented by
selective factors will not meet agencies' needs, agencies are responsible for
proposing new standards for OPM's approval. (See
http://www.opm.gov/qualifications/SEC-II/s2-f-g.htm#g.)
When filling Schedule B positions, an agency's standards can include
more restrictive requirements, e.g., qualifying experience, but they cannot be
lower than or substantially different from the OPM standards. Agencies are
responsible for justifying, based on the work of the Schedule B positions
involved, any qualification requirements used in addition to those in OPM
qualification standards.
Agency appointing officials are responsible for verifying employees'
qualifications prior to appointment or assignment. 4050-511 Classification Under the General
Schedule
The Qualification Standards Operating Manual contains qualification
standards that have been established by the U.S. Office of Personnel Management
(OPM) for General Schedule (GS) positions in the Federal Government. Standards
and guidelines issued or reviewed by OPM and used to classify and evaluate
positions within the agency.
Agencies are required to classify positions consistent with the
criteria and guidance issued by OPM. Official titles published in
classification standards must be used for personnel, budget, and fiscal
purposes. Organizational or other titles may be constructed and used for
internal administration, public convenience, law enforcement, or similar
purposes.
Classification standards are public documents and should be available
for review by anyone interested in their content. Copies of current standards
must be maintained for use by those with responsibility for classifying
positions.
RG 016 Disposition Authority: GRS 1, Item 7.a(1)
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records
Center(s):
4050-511.a Correspondence Regarding Position Classifications
Correspondence and other records relating to the development of
standards for classification of positions peculiar to the agency, and OPM
approval or disapproval.
4050-511.a (1) Case file.
RG 016 Disposition Authority: GRS 1, Item 7.a(2)(a)
Record Type: Temporary
Disposition: Destroy 5 years after
position is abolished or description is superseded.
Records
Currently Stored in Federal Records Center(s): 4050-511.a(2) Review File.
RG 016 Disposition Authority: GRS 1, Item 7.a(2)(b)
Record Type: Temporary
Disposition: Destroy when 2 years
old.
Records Currently Stored in Federal Records
Center(s): 4050-511.b Position Descriptions
Record copy of position descriptions that include information on
title, series, grade, duties and responsibilities, and related documents.
RG 016 Disposition Authority: GRS 1, Item 7.b
Record
Type: Temporary
Disposition: Destroy 2 years after position is
abolished or description is superseded.
Records Currently Stored in
Federal Records Center(s): 4050-511.c Classification Survey Files
4050-511.c(1) Classification Survey Reports
Classification survey reports on various positions prepared by
classification specialists, including periodic reports.
RG 016 Disposition Authority: GRS 1, Item 7.c(1)
Record Type: Temporary
Disposition: Destroy when 3 years
old or 2 years after regular inspection, whichever is sooner.
Records Currently Stored in Federal Records
Center(s): 4050-511.c(2) Inspection, Audit, and
Survey Files
Inspection, audit, and survey files including correspondence,
reports, and other records relating to inspections, surveys, desk audits, and
evaluations.
RG 016 Disposition Authority: GRS 1, Item 7.c(2)
Record Type: Temporary
Disposition: Destroy when obsolete
or superseded
Records Currently Stored in Federal Records
Center(s): 4050-530 Pay Rates and Systems
All agencies that employ civilian employees who participate in the
Government-wide life insurance, health benefits, or retirement programs must
report and remit to OPM the amount of withholdings and contributions for these
programs either electronically or via SF 2812.
Organizations or agencies whose payroll is cross-serviced (for
example, by the National Finance Center) normally would not provide a
withholdings and contributions report to OPM; instead, the report is generally
prepared by the organization providing payroll services.
The payroll office must report the withholdings and contributions for
employee life and health insurance premiums, and retirement coverage to OPM no
later than the date the payroll is paid.
Also see Pay and Allowances :
2600 4050-531 Pay Under the General Schedule
The pay system is the first decision to make when classifying a
position. Most classifiers are concerned only with decisions regarding coverage
by the General Schedule (GS) and the Federal Wage System (FWS). The law exempts
from coverage by the General Schedule employees in positions having trade,
craft, or laboring experience and knowledge as the paramount requirements. The
Federal Wage System covers these positions.
See Pay and Allowances :
2600 4050-532 Prevailing Rate Systems
Position means the work, consisting of duties and responsibilities,
assignable to a prevailing rate employee. The term "prevailing rate employee"
is used interchangeably with the term "wage employee." Prevailing rate employee
means:
- A person employed in or under an agency in a recognized trade or
craft, or other skilled mechanical craft, or in an unskilled, semiskilled, or
skilled manual labor occupation, and any other person, including a foreman and
a supervisor, in a position having trade, craft, or labor experience and
knowledge as the paramount requirement;
- An employee of a nonappropriated fund instrumentality described by
section 2105(c) of title 5, United States Code, who is employed in a recognized
trade or craft, or other skilled mechanical craft, or in an unskilled,
semiskilled, or skilled manual labor occupation, and any other person,
including a foreman and a supervisor, in a position having trade, craft, or
laboring experience and knowledge as the paramount requirement; and
- An employee of the Veterans' Canteen Service, Department of
Veterans Affairs, excepted from chapter 51 of title 5, United States Code, by
section 5102(c)(14) of title 5 who is employed in a recognized trade or craft,
or other skilled mechanical craft or in an unskilled, semiskilled, or skilled
manual labor occupation, and any other person, including a foreman and a
supervisor, in a position having trade, craft, or labor experience and
knowledge as the paramount requirement.
4050-532.a Wage Survey Reports and
Data
Wage survey reports and data, background documents and
correspondence pertaining to area wages paid for each employee class;
background papers establishing need, authorization, direction, and analysis of
wage surveys; development and implementation of wage schedules; and request for
an authorization of specific rates (excluding authorized wage schedules and
wage survey recapitulation sheets).
RG 016 Disposition Authority: GRS 1, Item 38
Record
Type: Temporary
Disposition: Destroy after completion of second
succeeding wage survey.
Records Currently Stored in Federal Records
Center(s): 4050.532.b Pay Comparability Records
Records created under implementation of the Federal Employees Pay
Comparability Act including written narratives and computerized transaction
registers documenting use of retention, relocation and recruitment bonuses,
allowances, and supervisory differentials, and case files consisting of
requests for and approval of recruitment and relocation bonuses and retention
allowances.
RG 016 Disposition Authority: GRS 1, Item 41
Record
Type: Temporary
Disposition: Destroy 3 years following the date
of approval or upon completion of the relevant service agreement or allowance,
whichever is later.
Records Currently Stored in Federal Records
Center(s): 4050-534 Pay Under Other Systems
There are many special schedules now in use on which determinations
have not been made to either continue to pay the employees special schedule
rates or to bring them under the regular wage schedules of the wage system.
These schedules, described in appendix V of the FWS Appropriated Fund
Operating Manual (Office of Compensation Administration, Office of
Personnel Management), have been adjusted under policies and practices of the
establishing agency. As an interim measure they are continued as special
schedules under the Federal Wage System until they have been reviewed and
decisions have been made on the recommendations of the Federal Prevailing Rate
Advisory Committee. (See: Office of Compensation Administration FWS
Appropriated Fund Operating Manual http://www.opm.gov/oca/wage/APPFUND.HTM.)
Construction Schedules Construction type schedules generally
are established as needed by Federal agencies for new construction types of
projects. Rates for such schedules are generally job rates based on prevailing
rates for comparable construction work in the local area as determined under
the Davis-Bacon Act of 1931. In the absence of the Davis-Bacon rates for a
locality, rates for a construction schedule may be based on prevailing
construction industry rates for comparable jobs as determined by a survey in
the local area. (See Wage Survey Reports and Data
4050-532.a and Pay Comparability
Records 4050.532.b .) 4050-536 Grade and Pay Retention
Title VIII of Public Law 95-454 (The Civil Service Reform Act of 1978)
provides that an employee who is placed in a lower grade as a result of
reduction-in-force procedures, or whose position is reduced in grade as a
result of reclassification of the position, is entitled to retain for a period
of 2 years the grade held immediately before that placement or reduction. It
also provides the authority for granting an employee indefinite pay retention.
In addition to specifying criteria and conditions for the application of the
grade and pay retention provisions, the law authorizes the Office of Personnel
Management to extend the application of these provisions to other individuals
and situations to which they would not otherwise apply.
RG 016 Disposition Authority: OPM/GOVT-1
Record Type:
Temporary
Disposition: Within 90 days after the individual separates
from the Federal service, the OPF is sent to the National Personnel Records
Center for long-term storage. In the case of administrative need, a retired
employee, or an employee who dies in service, the OPF is sent to the Records
Center within 120 days. 4050-537 Repayment of Student Loans
The Federal student loan repayment program permits agencies to repay
Federally insured student loans as a recruitment or retention incentive for
candidates or current employees of the agency. The program implements 5 U.S.C.
5379, which authorizes agencies to set up their own student loan repayment
programs to attract or retain highly qualified employees.
Each agency must keep a record of each determination made under this
part and make such records available for review upon OPM's request.
RG 016 Disposition Authority: 5 CFR - CHAPTER I - PART
537
Record Type: Temporary
Disposition: These records may
be destroyed after 3 years or after OPM formally evaluates the program
(whichever comes first). 4050-550 Pay Administration
Also see 2600-2 Payroll
Administration 4050-551 Pay Administration Under Fair Labor
Standards Act (FLSA)
The Fair Labor Standards Act of 1938, as amended (referred to as "the
Act" or "FLSA"), is published in law in sections 201-219 of title 29, United
States Code. The Act provides for minimum standards for both wages and overtime
entitlement, and spells out administrative procedures by which covered worktime
must be compensated. Included in the Act are provisions related to child labor,
equal pay, and portal-to-portal activities. In addition, the Act exempts
specified employees or groups of employees from the application of certain of
its provisions.
The Fair Labor Standards Act began applying to employees of the United
States Federal Government in 1974. Section 3(e)(2) of the Act authorizes the
provisions of the Act to be applied any person employed by the Government of
the United States, as specified in that section.
The U.S. Office of Personnel Management works with Federal agencies to
apply the Fair Labor Standards Act to employees of the United States Federal
Government. Section 4(f) of the Act authorizes the U.S. Office of Personnel
Management to administer the provisions of the Act with respect to any person
employed by the U.S. Department of Agriculture.
An FLSA claim may not be filed electronically.
An FLSA pay claim filed on or after June 30, 1994, is subject to a
2-year statute of limitations, except in cases of a willful violation where the
statute of limitations is 3 years.
Storage: These records are maintained in file folders and
binders and on index cards, magnetic tape, disks, and microfiche.
Retrieval: These records are retrieved by the subject's name,
and the name of the employing agency of the individual on whom the record is
maintained.
Safeguards: These records are located in lockable metal filing
cabinets or automated media in a secured room, with access limited to those
persons whose official duties require and such access.
RG 016 Disposition Authority:OPM/GOVT-9
Record Type:
Temporary
Disposition: Records related to position classification
appeal, job grading appeal, retained grade or pay appeal files, and FLSA claims
or complaints are maintained for 7 years after closing action on the case.
Records are destroyed by shredding, burning, or erasing as appropriate.
Also see Claims against the United States:
2510 and Pay and Allowances
: 2600 4050-553 Reemployment of Military and Civilian
Retirees
An exception to the salary offset provisions of 5 U.S.C. 8344 or 8468
authorized by OPM or an agency under 5 CFR 553 applies only to the particular
individual for whom it was authorized and only while that individual continues
to serve in the same or a successor position. The exception terminates upon the
individual's assignment to a different position unless a new exception is
authorized under the provisions of this part.
See 4020-293.2 for handling of
Temporary Individual Employee Records. 4050-572 Travel & Transport Expenses -
Appointees & Interviews
Payment of travel expenses for any individual candidate or appointee
will be at the discretion of the employing agency. A decision by one agency
that payment is appropriate for a particular position does not require a like
determination by any other agency filling similar positions. A decision made in
connection with one specific vacancy does not require a like decision in
connection with future vacancies. In deciding to pay travel and transportation
or interview expenses in filling any position, the agency should consider such
factors as availability of funds as well as the desirability of conducting
interviews for a particular job or offering a recruiting incentive to a
particular candidate.
Each agency will maintain records of payments made under this
authority and will make those records available to OPM on request.
Also see Noncommercial, Reimbursable Travel
2300-2 and Commercial Freight and
Passenger Transportation 2310 4050-575 Recruitment & Relocation
Bonuses
Records of each determination required by §575.104(c) of 5 CFR
575, regarding recruitment and relocation bonuses. These records available for
review upon request by OPM. Each agency shall promptly submit a report of each
such determination as a part of its regular submission to OPM's Central
Personnel Data File.
RG 016 Disposition Authority: GRS 6 Item 1.a & b
Record Type: Temporary
Office of Primary Interest Keeps:
6 yrs 3 months 4050-576 Voluntary Separation Incentive Payments
After OPM approves an agency's plan for voluntary separation incentive
payments, the agency is required to immediately notify OPM of any subsequent
changes in the conditions that served as the basis for the approval of the
voluntary separation incentive payments. OPM will consult with OMB and notify
the agency in writing if there are changes in the OPM approval of the agency
plan.
Agencies are required to provide OPM with interim and final voluntary
separation incentive payment reports, as covered in OPM's approval letter to
the agency. OPM may suspend or cancel a voluntary separation incentive payment
authority if the agency is not in compliance with the reporting requirements or
reporting schedule specified in OPM's letter approving that authority.
RG 016 Disposition Authority: GRS 6 Item 1.a & b
Record Type: Temporary
Office of Primary Interest Keeps:
6 yrs 3 months 4050-581 Processing Garnishment Order & Child Support
Records pertaining to implementation of 5 CFR §581.101 which
states that money, the entitlement to which is based upon remuneration for
employment, due from, or payable by, the United States to any individual, shall
be subject:
(1) To legal process for the enforcement of an obligor's legal
obligations to provide child support, alimony, or both, resulting from an
action brought by an individual obligee; and
(2) To withholding in accordance with State law enacted pursuant to
subsections (a)(1) and (b) of section 666 of title 42, United States Code, and
to regulations of the Secretary of Health and Human Services under such
subsections, and to any other legal process brought by a State agency subject
to regulations of the Secretary of Health and Human Services that is
administering a program under an approved State plan to enforce the legal
obligations of obligors to provide child support and alimony.
See 2600-9 Levy and Garnishment
Files 4050-591 Allowances and Differentials
Disbursement records pertaining to Uniform Allowances; Cost-of-Living
Allowance and Post Differential -- Nonforeign Areas.
RG 016 Disposition Authority: GRS 6, Item 1.a
Record
Type: Temporary
Disposition: Destroy 6 years and 3 months after
period covered by account.
Records Currently Stored in Federal
Records Center(s): 4050-592 Overseas Allowances and Differentials
Disbursement records pertaining to Allowance Based on Duty at Remote
Worksites.
RG 016 Disposition Authority: GRS 6, Item 1.a
Record
Type: Temporary
Disposition: Destroy 6 years and 3 months after
period covered by account.
Records Currently Stored in Federal
Records Center(s): 4050-594 Hostile Fire Pay
4050-595 Physicians' Comparability
Allowances
Records of reports to the Office of Personnel Management on the
administration of the of the physicians' comparability allowance program. The
Office of Personnel Management will prescribe the number, contents, timing, and
format of the reports necessary to collect information on the administration ,
and every agency using the physicians' comparability allowance program is
required to submit such reports as the Office may prescribe. These reports must
include, among other things, the following:
(1) A listing of the amount of allowance actually paid to the
agency's physicians; and
(2) An assessment of the effect of the physicians' comparability
allowance program on the agency's recruitment and retention of physicians.
RG 016 Disposition Authority: GRS 6, Item 1.a
Record
Type: Temporary
Disposition: Destroy 6 years and 3 months after
period covered by account.
Records Currently Stored in Federal
Records Center(s): 4060 Attendance and Leave
4060-610 Hours of Duty
4060-610.a Time and Attendance Source
Records
All time and attendance records upon which leave input data is
based, such as time or sign-in sheets; time cards (such as Optional Form (OF)
1130); flexitime records; leave applications for jury and military duty; and
authorized premium pay or overtime, maintained at duty post, upon which leave
input data is based. Records may be in either machine-readable or paper form.
RG 016 Disposition Authority: GRS 2, Item 7
Record
Type: Temporary
Disposition: Destroy after GAO audit or when 6
years old, whichever is sooner.
Records Currently Stored in Federal
Records Center(s): 4060-610.b Time and Attendance Input Records
Records in either paper or machine readable form used to input time
and attendance data into a payroll system, maintained either by agency or
payroll processor.
RG 016 Disposition Authority: GRS 2, Item 8
Record
Type: Temporary
Disposition: Destroy after GAO audit or when 6
years old, whichever is sooner.
Records Currently Stored in Federal
Records Center(s): 4060-630 Absence and Leave
4060-630.a Leave Application Files
SF 71 or equivalent plus any supporting documentation of requests
and approvals of leave.
4060-630. a(1) If employee initials time card or equivalent.
RG 016 Disposition Authority: GRS 2, Item 6.a
Record
Type: Temporary
Disposition: Destroy at end of following pay
period.
Records Currently Stored in Federal Records Center(s):
4060-630. a(2) If employee has not initialed time card or
equivalent.
RG 016 Disposition Authority: GRS 2, Item 6.b
Record
Type: Temporary
Disposition: Destroy after GAO audit or when 3
years old, whichever is sooner.
Records Currently Stored in Federal
Records Center(s):
4060-630.b Leave Record
4060-630.b(1) Record of employee leave, such as SF 1150, prepared
upon transfer or separation. File on right side of the Official Personnel
Folder (OPF).
RG 016 Disposition Authority: GRS 2, Item 9.a
Record
Type: Temporary
Disposition: See 4000.a Official Personnel
Folders (OPFs).
Records Currently Stored in Federal Records
Center(s):
4060-630.b(2) Creating agency copy, when maintained.
RG 016 Disposition Authority: GRS 2, Item 9.b
Record
Type: Temporary
Disposition: Destroy when 3 years old.
Records Currently Stored in Federal Records Center(s):
4060-630.c Donated Leave Program Case Files.
Case files documenting the receipt and donation of leave for medical
emergencies, including recipient applications, agency approvals or denials,
medical or physician certifications, leave donation records or OF 630-A,
supervisor/timekeeper approvals, leave transfer records, payroll notification
records, and leave program termination records.
RG 016 Disposition Authority: GRS 1, Item 37
Record
Type: Temporary
Disposition: Beginning in January 1994, destroy
1 year after the end of the year in which the file is closed.
Records Currently Stored in Federal Records Center(s):
4070 Personnel Relations
4070-ADR Alternate Dispute Resolution (ADR)
Files
Alternative Dispute Resolution (ADR) is any procedure, conducted by a
neutral third party, that is used to resolve issues in controversy, including,
but not limited to, conciliation, facilitation, mediation, fact finding,
minitrials, arbitration and use of ombuds. The records covered by this schedule
relate to techniques and processes used in an agency's ADR program in resolving
disputes with or between its own employees.
[NOTE: This schedule does not apply to: 1.
Administrative grievance files, 2. Adverse action files, 3. Formal and informal
equal employment opportunity proceedings, 4. Traditional EEO counseling or
other records included in the EEO file when a person chooses to go directly to
ADR, or 5. Private party claims or EEOC's involvement with federal sector
claims of non-EEOC employees against other federal agencies. These records are
covered by other items in GRS 1. This schedule does not apply to ADR records
that are produced as part of an agency's primary mission.]
4070-ADR.a General ADR Files:
General correspondence and copies of statutes, regulations, meeting
minutes, reports, statistical tabulations, evaluations of the ADR program, and
other records relating to the agency's overall ADR program.
RG 016 Disposition Authority: GRS 1, Item 27.a
Record
Type: Temporary
Disposition: Destroy when 3 years old. Longer
retention is authorized if records are needed for agency business.
Records Currently Stored in Federal Records
Center(s): 4070-ADR.b ADR Case Files
Records documenting ADR proceedings. These files may include an
agreement to use ADR, documentation of the settlement or discontinuance of the
ADR case, parties' written evaluations of the process and/or the neutral third
party mediator, and related correspondence.
RG 016 Disposition Authority: GRS 1, Item 27.b
Record
Type: Temporary
Disposition: Destroy 3 years after settlement is
implemented or case is discontinued. 4070-711 Labor Relations
Section 1 of Executive Order 13203 abolishes the requirement
previously imposed on agencies to form labor-management partnerships and
partnership councils, as well as the mandate to bargain on matters covered by
5 USC Section 7106 Management Rights, which states:
(b)Nothing in this section shall preclude any agency and any
labor organization from negotiating -
(1) at the election of the agency, on the numbers, types, and
grades of employees or positions assigned to any organizational subdivision,
work project, or tour of duty, or on the technology, methods, and means of
performing work.
4070-711.a Employee Interview
Records
Correspondence, reports, and other records relating to interviews
with employees.
RG 016 Disposition Authority: GRS 1, Item 8
Record
Type: Temporary
Disposition: Destroy 6 months after transfer or
separation of employee.
Records Currently Stored in Federal Records
Center(s): 4070-711.b File on Position Classification
Appeals, Job Grading Appeals, and Retained Grade or Pay Appeals
(OPM/GOVT-9)
This system of records contains information or documents relating to
the processing and adjudication of a position classification appeal, job
grading appeal, retained grade or pay appeal, or Fair Labor Standards Act
(FLSA) claim or complaint. The records may include information and documents
regarding a personnel action of the agency involved and the decision or
determination rendered by an agency regarding the classifying or grading of a
position, whether an employee is to remain in a retained grade or pay category,
the FLSA exemption status of an employee, or other FLSA claims or complaints.
This system may also include transcripts of agency hearings and statements from
agency employees.
Case files relating to classification appeals, excluding OPM
classification certificate.
RG 016 Disposition Authority: GRS 1, Item 7.d
Record
Type: Temporary
Disposition: Destroy 3 years after case is
closed
4070-711.c. Labor Management Relations
General and Case Files.
Correspondence, memoranda, reports, and other records relating to
the relationship between management and employee unions or other groups.
4070-711.c.(1) Office negotiating agreement.
RG 016 Disposition Authority: GRS 1, Item
28.a(1)
Record Type: Temporary
Disposition: Destroy 5
years after expiration of agreement.
Records Currently Stored in
Federal Records Center(s): 4070-711.c.(2) Other offices.
RG 016 Disposition Authority: GRS 1, Item
28.a(2)
Record Type: Temporary
Disposition: Destroy when
superseded or obsolete.
Records Currently Stored in Federal Records
Center(s): 4070-711.d . Labor Arbitration General and
Case Files.
Correspondence, forms, and background papers relating to labor
arbitration cases.
RG 016 Disposition Authority: GRS 1, Item 28.b
Record
Type: Temporary
Disposition: Destroy 5 years after final
resolution of case.
Records Currently Stored in Federal Records
Center(s): 4070-720 Affirmative Employment Programs
4070.720.a. Employment Statistics Files.
Employment statistics relating to race and sex. [NOTE:
Electronic master files and data bases created to supplement or replace the
records covered by this subitem are not authorized for disposal. Such files
must be scheduled on an SF 115. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
RG 016 Disposition Authority: GRS 1, Item 25.f
Record
Type: Temporary
Disposition: Destroy when 5 years old.
Records Currently Stored in Federal Records Center(s):
4070-731 Suitability for Employment
The purpose of this part is to establish criteria and procedures for
making determinations of suitability for employment in positions in the
competitive service and for career appointment in the Senior Executive Service
(hereinafter in this part, "competitive service") pursuant to 5 U.S.C. 3301 and
Executive Order 10577 (3 CFR, 1954-1958 Comp., p. 218). Section 3301 of title
5, United States Code, directs consideration of "age, health, character,
knowledge, and ability for the employment sought." Executive Order 10577
directs OPM to examine "suitability" for competitive Federal employment. This
part concerns only determinations of "suitability" based on an individual's
character or conduct that may have an impact on the integrity or efficiency of
the service. Determinations made under this part are distinct from
determinations of eligibility for assignment to, or retention in, sensitive
national security positions made under Executive Order 10450 (3 CFR, 1949-1953
Comp., p. 936), Executive Order 12968, or similar authorities.
4070-731.a Register or Inventory of
Eligibles
Register or inventory of eligibles (OPM Form 5001-C or equivalent,
documenting eligibility of an individual for Federal jobs).
RG 016 Disposition Authority: GRS 1, Item 33.g
Record
Type: Temporary
Disposition: Destroy 2 years after the date on
which the register of inventory is terminated.
Records Currently
Stored in Federal Records Center(s): .
4030-731.b Transfer of Eligibility -
Denials
Letters to applicants denying transfer of eligibility (OPM Form 4896
or equivalent).
RG 016 Disposition Authority: GRS 1, Item 33.h
Record
Type: Temporary
Disposition: Cut off annually. Destroy 1 year
after cutoff.
Records Currently Stored in Federal Records
Center(s): .
4070-731.a Letters to applicants denying
transfer of eligibility (OPM Form 4896 or equivalent).
Subject to the provisions of 5 CFR § 731.103, when an agency
finds an applicant or appointee unsuitable for reasons listed in 5 CFR §
731.202, the agency may deny that person examination for, and appointment to,
all, or specific,, positions within the agency for a period of not more than 1
year from the date of determination of unsuitability.
RG 016 Disposition Authority: GRS 1, Item 33.h
Record
Type: Temporary
Disposition: Cut off annually. Destroy 1 year
after cutoff.
Records Currently Stored in Federal Records
Center(s): 4070-734 Political Activities
Reserved. See Adverse Actions 4070-752 for handling records pertaining to performance
based actions (removal, suspension, reduction-in-grade, furlough) against
employees.. 4070-735 Employee Responsibilities &
Conduct
Reserved. See Adverse Actions 4070-752 for handling records pertaining to performance
based actions (removal, suspension, reduction-in-grade, furlough) against
employees.. 4070-736 Personnel Investigations
Unless provided otherwise by law, the investigation of persons
entering or employed in the competitive service, or by career appointment in
the Senior Executive Service, is the responsibility of OPM. 4070-751 Discipline
Reserved. See Adverse Actions 4070-752 for handling records pertaining to performance
based actions (removal, suspension, reduction-in-grade, furlough) against
employees.. 4070-752 Adverse Actions
Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR
432). Case files and records related to adverse actions and performance-based
actions (removal, suspension, reduction-in-grade, furlough) against employees.
The file includes a copy of the proposed adverse action with supporting
documents; statements of witnesses; employee's reply; hearing notices, reports,
and decisions; reversal of action; and appeal records, EXCLUDING letters of
reprimand which are filed in the OPF.
RG 016 Disposition Authority: GRS 1, Item 30.b
Record
Type: Temporary
Disposition: Destroy no sooner than 4 years but
no later than 7 years after case is closed.
Records Currently
Stored in Federal Records Center(s): 4070-771 Agency Administrative Grievance
System
Administrative Grievance Files (5 CFR 771). Records relating to
grievances raised by agency employees, except EEO complaints. These case files
include statements of witnesses, reports of interviews and hearings, examiner's
findings and recommendations, a copy of the original decision, related
correspondence and exhibits, and records relating to a reconsideration request.
RG 016 Disposition Authority: GRS 1, Item 30.a
Record
Type: Temporary
Disposition: Destroy no sooner than 4 years but
no later than 7 years after case is closed.
Records Currently
Stored in Federal Records Center(s): 4070-792 Federal Employee Health &
Counseling Programs
4070-792.a Personnel Counseling Files
Reports of interviews, analyses, and related records.
RG 016 Disposition Authority: GRS 1, Item 26.a
Record
Type: Temporary
Disposition: Destroy 3 years after termination
of counseling.
Records Currently Stored in Federal Records
Center(s): 4070-792.b Alcohol and Drug Abuse Program
Records created in planning, coordinating, and directing an alcohol
and drug abuse program.
RG 016 Disposition Authority: GRS 1, Item 26.b
Record
Type: Temporary
Disposition: Destroy when 3 years old.
Records Currently Stored in Federal Records Center(s):
4070-792.c Retirement Assistance Files
Correspondence, memoranda, annuity estimates, and other records used
to assist retiring employees or survivors claim insurance or retirement
benefits.
RG 016 Disposition Authority: GRS 1, Item 39
Record
Type: Temporary
Disposition: Destroy when 1 year old.
Records Currently Stored in Federal Records Center(s):
4080 Employee Benefits
4080-811 Employee Work Life Programs
4080-811 (a) Alternate Worksite Records - Approved Requests
Approved requests or applications to participate in an alternate
worksite program; agreements between the agency and the employee; and records
relating to the safety of the worksite, the installation and use of equipment,
hardware, and software, and the use of secure, classified information or data
subject to the Privacy Act.
RG 016 Disposition Authority: GRS 1, Item 42.a
Record
Type: Temporary
Disposition: Destroy 1 year after end of
employee's participation in the program.
Records Currently Stored in
Federal Records Center(s): 4080-811 (b) Alternate Worksite Records - Unapproved requests.
RG 016 Disposition Authority: GRS 1, Item 42.b
Record
Type: Temporary
Disposition: Destroy 1 year after request is
rejected
Records Currently Stored in Federal Records Center(s):
4080-811 (c) Alternate Worksite Records Forms
Forms and other records generated by the agency or the participating
employee evaluating the alternate worksite program.
RG 016 Disposition Authority: GRS 1, Item 42.c
Record
Type: Temporary
Disposition: Destroy when 1 year old, or when no
longer needed, whichever is later.
Records Currently Stored in
Federal Records Center(s): 4080-830 CSRS Retirement
OPM maintains individual retirement records of separated employees,
and prior records of employees who have transferred between agencies. OPM also
maintains Civil Service Retirement System (CSRS) designations of beneficiary on
active and separated employees.
The agency head also bears overall responsibility for the quality and
timeliness of submissions of records to OPM. Agencies are responsible for
insuring that all records and required documentation are received by OPM no
later than 30 days after the date of separation (or death in the case of a
deceased employee). For disability retirements, agencies are to ensure that all
records and supporting documentation will be received by OPM no later than 30
days after the date on which the employee files the application with the
employing agency.
At the local level, agencies are responsible for:
- Determining employees' retirement coverage correctly;
- Providing pre-retirement counseling for groups of employees and
individual employees;
- Counseling employees concerning making service credit payments and
post-56 military deposits and assisting employees with applications;
- Verifying creditability of service;
- Verifying retirees' eligibility to retain health and life insurance
in retirement, certifying life insurance coverage and amounts in death in
service cases, and transferring necessary documentation of health and life
insurance coverage to OPM;
- Providing employees and survivors of deceased employees estimates
of expected benefits and assisting them in the preparation of the retirement or
refund application and related documentation;
- Certifying the personnel office portion of applications for
retirement, refunds, death benefits, and service credit payments;
- Directing annuitants and their survivors and other former employees
who have questions about their benefits to OPM for assistance; and
- Requesting assistance, as needed, from the agency headquarters
Retirement Counselor about retirement matters.
See 4020-293 Personnel Records.
Agency payroll offices are responsible for:
- Withholding retirement deductions from employees' pay, making the
correct agency contribution, and transmitting these monies to the Fund;
- Preparing and maintaining an individual retirement record for each
employee who is covered by CSRS or FERS;
- Maintaining post-56 military deposit accounts;
- Certifying individual retirement records and related records, and
ensuring the correctness of data in these records;
- Certifying that the payroll office portion of applications for
retirement and survivor benefits is accurate and complete; and
- Maintaining retirement control accounts and preparing retirement
accounting reports.
See 2600 Pay &
Allowances.
4080-840 FERS Retirement
The Federal Employees Retirement System (FERS) is a three-tiered plan
consisting of Social Security, a basic FERS annuity, and the Thrift Savings
Plan. Employees under FERS are covered by full Social Security taxes. The basic
FERS annuity is based on the employee's length of service and the "high-3"
average pay. For most employees, the formula for computing the annual annuity
is 1 percent of average pay for each year of creditable service.Employees
contribute 0.8 percent of pay to FERS for the basic benefit. See 2600 Pay &
Allowances and 4020-293 Personnel Records.
4080-870 Federal Employees Group Life
Programs
The cost of basic life insurance is shared by the employee and the
government. All payroll offices must report to OPM for each payroll reporting
period when withholdings and contributions are made towards life insurance.
(See The Federal Employees Group Life Insurance Handbook for Personnel and
Payroll Offices for a discussion of costs, coverage, entitlement, etc.)
Employees may elect to purchase three additional types of optional life
insurance. Employees pay the entire cost of these optional types of coverage.
(See The Federal Employees Group Life Insurance Handbook for Personnel and
Payroll Offices for a discussion of this coverage.) The available options are
called: Standard_Option A; Additional_Option B; and, Family_Option C.
See 2600 Pay &
Allowances and 4020-293 Personnel Records.
4080-880 Federal Employee Long Term Care
Programs
Reserved. 4080-890 Federal Employee Health Benefit
Program
Individuals eligible under the Temporary Continuation of Coverage
(TCC) provision (5 U.S.C. 8905a) pay the total health benefit premium (enrollee
and Government share) plus an administrative add-on of two percent of
premiums.
4080-890.1 Denied Health Benefits Requests
Under Spouse Equity.
Denied eligibility files consisting of applications, court orders,
denial letters, appeal letters, and related papers. [NOTE: Pursuant to
Subchapter S17 of the FEHB Handbook enrollment files of spouses eligible for
benefits are transferred to OPM when former spouse cancels the enrollment, when
enrollment is terminated by the employing office, or when former spouse begins
receiving an annuity payment.]
4080-890.1.a. Health benefits denied, not appealed.
RG 016 Disposition Authority: GRS 1, Item 35.a
Record
Type: Temporary
Disposition: Destroy 3 years after denial.
Records Currently Stored in Federal Records Center(s):
4080-890.1.b. Health benefits denied, appealed to OPM for
reconsideration.
4080-890.1.b.(1) Appeal successful - benefits granted. Create
enrollment file in accordance with Subchapter S17 of the FEHB Handbook.
4080-890.1.b.(2) Appeal unsuccessful - benefits denied.
RG 016 Disposition Authority: GRS 1, Item
35.b(2)
Record Type: Temporary
Disposition: Destroy 3
years after denial.
Records Currently Stored in Federal Records
Center(s): Also see 2600 Pay &
Allowances and 4020-293 Personnel Records.
4080-1600 Thrift Savings Plan
Employees may contribute up to 10 percent of their pay to the Thrift
Savings Plan. These contributions are tax-deferred. The Government contributes
1 percent of pay and matches a portion of the employee's contributions. The
maximum Government contribution is 5 percent of pay. The Thrift Savings Plan is
administered by the Federal Retirement Thrift Investment Board.
See Thrift Savings Plan Election Form:
2600-7,
2600 Pay & Allowances,
and 4020-293 Personnel Records.
4090 Senior Executive Service and Other Special
Positions
4090-900 Intergovernmental Personnel Act
Programs
The Intergovernmental Personnel Act Mobility Program provides for the
temporary assignment of personnel between the Federal Government and state and
local governments, colleges and universities, Indian tribal governments,
federally funded research and development centers, and other eligible
organizations.
4090-900.a Interagency Placement Program (IPP) application and
registration sheet.
RG 016 Disposition Authority: GRS 1, Item 33.r
Record
Type: Temporary
Disposition: Destroy upon expiration of
employee's DEP eligibility.
Records Currently Stored in Federal
Records Center(s): 4090-900.b DEP control cards, if maintained.
RG 016 Disposition Authority: GRS 1, Item 33.s
Record
Type: Temporary
Disposition: Cut off annually. Destroy 2 years
after cut off.
Records Currently Stored in Federal Records
Center(s): 4090-910 Demonstration Projects
Reserved. See Management Improvement
1100
. 4300 - Equal Opportunity
General correspondence and copies of regulations with related records
pertaining to the Civil Rights Act of 1964, the Equal Employment
Opportunity (EEO) Act of 1972, and any pertinent later legislation, and
agency EEO Committee meeting records, including minutes and reports.
RG 016 Disposition Authority: GRS 1, Item 25.g
Record
Type: Temporary
Disposition: Destroy when 3 years old, or when
superseded or obsolete, whichever is applicable.
Records Currently
Stored in Federal Records Center(s):
4300-001 EEO Complaint Processing Procedures
Notices and other types of issuances related to Equal Employment
Opportunity complaint processing procedures.
Disposition Authority: GRS 16, Item 1.a.
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records Center(s): Not
applicable
[NOTE: Record sets of formal directives, procedural and
operating manuals, publications, and management improvement reports submitted
to the Office of Management and Budget (OMB), and the case files documenting
their development are potentially permanent records and must be scheduled by
submission of an SF 115 to NARA. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)] 4300-003 Equal Opportunity Public Policy
Notices and other types of issuances related to Equal Opportunity
policy.
Disposition Authority: GRS 16, Item 1.a.
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records Center(s): Not
applicable [NOTE: Record sets of formal directives, procedural and
operating manuals, publications, and management improvement reports submitted
to the Office of Management and Budget (OMB), and the case files documenting
their development are potentially permanent records and must be scheduled by
submission of an SF 115 to NARA. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
4300-004 Civil Rights Impact Analysis
USDA civil rights policy requires each agency to analyze the civil
rights impact(s) of policies, actions, or decisions that will affect the USDA
work force or federally conducted and federally assisted programs and
activities. A civil rights impact analysis (CRIA) facilitates the
identification of the effects of eligibility criteria, methods of
administration, or other agency-imposed requirements that may adversely and
disproportionately impact employees or program beneficiaries based on their
membership in a protected group. Proper follow-up actions based on CRIA
findings can eliminate or substantially alleviate these negative effects.
Disposition Authority: GRS 1, Item 25.f
Record
Type: Temporary
Disposition: Destroy when 5 years old.
NOTE: Electronic master files and data bases created to
supplement or replace records covered by Item 25.f are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.
(Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)
Records Currently Stored in Federal Records Center(s):
4300-005 Agency Civil Rights Programs
Agency civil rights programs, including affirmative action plans
(AAP).
RG 016 Disposition Authority: GRS 1, Item 25.h
Record
Type: Temporary
Disposition: Destroy 5 years from date of
report.
Records Currently Stored in Federal Records Center(s):
4300-006 Civil Rights Policy
Notices and other types of issuances related to Civil Rights
policy.
Disposition Authority: GRS 16, Item 1.a.
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records Center(s): Not
applicable [NOTE: Record sets of formal directives, procedural and
operating manuals, publications, and management improvement reports submitted
to the Office of Management and Budget (OMB), and the case files documenting
their development are potentially permanent records and must be scheduled by
submission of an SF 115 to NARA. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
4300-007 Processing EEO Complaints of
Discrimination
Notices and other types of issuances related to processing EEO
complaints of discrimination.
Disposition Authority: GRS 16, Item 1.a.
Record
Type: Temporary
Disposition: Destroy when superseded or
obsolete.
Records Currently Stored in Federal Records Center(s): Not
applicable
[NOTE: Record sets of formal directives, procedural and
operating manuals, publications, and management improvement reports submitted
to the Office of Management and Budget (OMB), and the case files documenting
their development are potentially permanent records and must be scheduled by
submission of an SF 115 to NARA. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
4300-008 Reasonable Accommodations
Case files containing position title and description; fully
executed SF 171; medical examiner's report; a brief statement explaining
accommodation of impairment; and other documents related to previous
appointment, certification, and/or acceptance or refusal, created in accordance
with FPM chapter 306-11, subchapter 4-2.
RG 016 Disposition Authority: GRS 1, Item 40
Record
Type: Temporary
Disposition: Destroy 5 years following the date
of approval or disapproval of each case.
Records Currently Stored in
Federal Records Center(s): 4300-009 EEO Complaints
Originating agency's file containing complaints with related
correspondence, reports, exhibits, withdrawal notices, copies of decisions,
records of hearings and meetings, and other records as described in 29 CFR
1613.222. Cases resolved within the agency, by Equal Employment Opportunity
Commission, or by a U.S. Court.
RG 016 Disposition Authority: GRS 1, Item 25.a
Record
Type: Temporary
Disposition: Destroy 4 years after resolution of
case.
4300-009.a Copies of Complaint
Case Files.
Duplicate case files or documents pertaining to case files
retained in Official Discrimination Complaint Case Files.
RG 016 Disposition Authority: GRS 1, Item 25.b
Record
Type: Temporary
Disposition: Destroy 1 year after resolution of
case.
4300-009.b Preliminary and
Background Files.
Background records not filed in the Official Discrimination
Complaint Case Files.
RG 016 Disposition Authority: GRS 1, Item
25.c(1)
Record Type: Temporary
Disposition:Destroy 2 years
after final resolution of case. 4300-009.c Other
Discrimination Complaints
Records documenting complaints that do not develop into Official
Discrimination Complaint Cases.
RG 016 Disposition Authority: GRS 1, Item
25.c(2)
Record Type: Temporary
Disposition:Destroy when 2
years old. 4310 Affirmative Employment Program (AEP) Plans
Affirmative Employment Program (AEP) plans, accomplishment reports,
and updates. See 4070-720.
RG 016 Disposition Authority: GRS 1, Item 25.h
Record
Type: Temporary
Disposition: Destroy 5 years from date of plan
or report.
Records Currently Stored in Federal Records
Center(s): 4330 Civil Rights Compliance Reviews
Records pertaining to conducting civil rights compliance reviews in
USDA conducted programs and activities. Includes activities receiving USDA
financial assistance. Reviews, background documents, and correspondence
relating to contractor employment practices.
RG 016 Disposition Authority: GRS 1, Item
25.d(1)
Record Type: Temporary
Disposition:Destroy when 7
years old. 4360 EEO Outreach
Reserved.
4360-001 Communicating With Under-served Communities
Reserved.
4360-002 Coordination of Requests for USDA Support for Outreach
Related Activities
Reserved. 4400 Safety and Health
4410 Program Management
Reserved. See Management Improvement:
1100 or
Management Studies & Analyses:
1130
4420 Education/Training
Reserved. See Training:
4040-410 4430 Employee Services
4430.a (OPM/GOVT-10) Employee Medical File
System Records
The Employee Medical Folder (EMF) is the Standard Form 66-D. It is
used to transfer long-term occupational medical records when an employee
separates from the agency. Occupational medical records are records that
contain employmentrelated information about an employees health status,
including personal and occupational health histories and the opinions and
written evaluations generated in the course of diagnosis and/or
employment-related treatment/examinations by medical health care professionals
and technicians. Medical records such as those described above may never be
filed in the Official Personnel Folder.
Agencies decide what medical records to maintain and where to
store such records during the employees service with the agency. Agencies
may use the Employee Medical Folder to store medical records during the
employees service but must use the Employee Medical Folder to transfer
long-term occupational medical records when the employee separates.
The Employee Medical Folder being transferred to another agency
may not include drug testing records created under Executive Order 12564 or
records relating to employee drug or alcohol abuse counseling or treatment or
other counseling programs conducted under chapter 79 of title 5, United States
Code. Refer to Chapter 7 of the Office of Personnel Management's Guide to
Personnel Recordkeeping for instructions on transferring the Employee
Medical Folder.
[NOTE: Electronic master files and data bases created to
supplement or replace the records covered by 4430.a are not authorized for
disposal. Such files must be scheduled on an SF 115. (Instructions for Standard
Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
4430.a(1) Long-term medical records
Long-term medical records as defined in 5 CFR Part 293, Subpart
E.
4430.a(1)(a) Long-term Medical Transferred Employees
See 5 CFR Part 293, Subpart E for instructions.
4430.a(1)(b) Long-term Medical Separated Employees
RG 016 Disposition Authority: GRS 1, Item
21.a(2)
Record Type: Temporary
Disposition: Transfer to
NPRC, St. Louis, MO, 30 days after separation. NPRC will destroy 75 years after
birth date of employee; 60 years after date of the earliest document in the
folder, if the date of birth cannot be ascertained; or 30 years after latest
separation, whichever is later.
Records Currently Stored in Federal
Records Center(s): . 4430.a(2) Temporary Medical Records
Temporary or short-term records as defined in the Federal
Personnel Manual (FPM).
RG 016 Disposition Authority: GRS 1, Item
21.b
Record Type: Temporary
Disposition: Destroy 1 year
after separation or transfer of employee.
Records Currently Stored
in Federal Records Center(s): . 4430.a(3) Pre-EMF Employee Health Case Files
Individual employee health case files created prior to
establishment of the EMF system that have been retired to a NARA records
storage facility.
RG 016 Disposition Authority: GRS 1, Item 21.c
Record
Type: Temporary
Disposition: Destroy 60 years after retirement
to the NARA records storage facility.
Records Currently Stored in
Federal Records Center(s): . 4430.b Occupational Injury and Illness Files
Reports and logs (including Occupational Safety and Health
Administration (OSHA) Forms 100, 101, 102, and 200, or equivalents) maintained
as prescribed in 29 CFR 1960 and OSHA pamphlet 2014 to document all recordable
occupational injuries and illnesses for each establishment.
RG 016 Disposition Authority: GRS 1, Item 34
Record
Type: Temporary
Disposition: Destroy when 5 years old.
Records Currently Stored in Federal Records Center(s):
4430.c Individual Non-Occupational Health Record
Files.
Forms, correspondence, and other records, including summary records,
documenting an individual employee's medical history, physical condition, and
visits to Government health facilities, for nonwork-related purposes, EXCLUDING
records covered by item 4430.a of this schedule.
RG 016 Disposition Authority: GRS 1, Item 19
Record
Type: Temporary
Disposition: Destroy 6 years after date of last
entry.
Records Currently Stored in Federal Records Center(s): .
4430.d Personal Injury Files.
Forms, reports, correspondence, and related medical and
investigatory records relating to on-the-job injuries, whether or not a claim
for compensation was made, EXCLUDING copies filed in the Employee Medical
Folder and copies submitted to the Department of Labor.
RG 016 Disposition Authority: GRS 1, Item 31
Record
Type: Temporary
Disposition: Cut off on termination of
compensation or when deadline for filing a claim has passed. Destroy 3 years
after cutoff
Records Currently Stored in Federal Records
Center(s): . 4440 Safety & Health Supervision
Reserved. See Supervisors' Personnel
Files: 4020-250.b 4450 Safety & Health Evaluation
4450.a Statistical Summaries.
Copies of statistical summaries and reports with related papers
pertaining to employee health, retained by the reporting unit. [NOTE:
Electronic master files and data bases created to supplement or replace the
records covered by this item are not authorized for disposal. Such files must
be scheduled on an SF 115. (Instructions for Standard Form (SF) 115 :
http://www.archives.gov/records_management/policy_
and_guidance/standard_form_115_instructions.html.)]
RG 016 Disposition Authority: GRS 1, Item 22
Record
Type: Temporary
Disposition: Destroy 2 years after date of
summary or report.
Records Currently Stored in Federal Records
Center(s): .
4450.b Health Unit Control Files.
Logs or registers reflecting daily number of visits to dispensaries,
first aid rooms, and health units.
4450. b.(1) If information is summarized on statistical report.
RG 016 Disposition Authority: GRS 1, Item 20.a
Record
Type: Temporary
Disposition: Destroy 3 months after last
entry.
Records Currently Stored in Federal Records Center(s): .
4450.b.(2) If information is not summarized.
RG 016 Disposition Authority: GRS 1, Item 20.b
Record
Type: Temporary
Disposition: Destroy 2 years after last
entry.
Records Currently Stored in Federal Records Center(s): .
4500 Ethics
Records documenting the activities of the Office of Ethics, including
financial disclosure reports; ethics agreements; outside employment and
activity records; referrals of violations of criminal conflict of interest
statutes; ethics determination, advice, consultation, and training records; and
other commonly held ethics program records. Records pertaining to legislative
branch and judicial ethics programs, the Hatch Act, the Whistleblower
Protection Act, procurement integrity and other areas often associated with,
but not expressly under the authority of executive branch ethics programs, are
not covered by this file series.
Master lists of financial disclosure report filers, individuals
requesting outside employment and activities approval, and other types of
ethics-related master lists are not included in this schedule. Ethics-related
master lists that are used solely for the purpose of tracking and controlling
ethics records should be disposed of in accordance with GRS 23 Item 8, Tracking
and Control Records. Master lists that are used for purposes in addition to
tracking and controlling ethics records should be disposed of in accordance
with the disposition for the underlying records as listed in this schedule or
as otherwise scheduled.
Note: Executive branch ethics program records are sometimes
needed in an ongoing investigation. Such records should be retained beyond
their approved retention period until no longer needed in the
investigation.
4500.1 Electronic Mail and Word Processing System Copies.
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 the 4500 Ethics series. Also includes
electronic copies of records created on electronic mail and word processing
systems that are maintained for updating, revision, or dissemination.
4500.1(a) Production Copies
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.
RG 016 Disposition Authority: GRS 25, Item
10.a
Record Type: Temporary
Disposition: Destroy/delete
within 180 days after the recordkeeping copy has been produced.
4500.1(b) Copies for Dissemination, Revision, or Updating
Copies used for dissemination, revision, or updating that are
maintained in addition to the recordkeeping copy.
RG 016 Disposition Authority: GRS 25, Item
10.b
Record Type: Temporary
Disposition: Destroy/delete
when dissemination, revision, or updating is completed.
4501 Ethics Program Implementation, Interpretation,
Counseling, and Development Files
Records maintained by the Office of Ethics relating to the
development, review, implementation, and interpretation of proposed or
established executive branch standards of ethical conduct and other ethics
regulations; conflict of interest and other ethics related statutes and
Executive Orders; and any agency supplemental standards of ethical conduct and
other agency ethics-related regulations and directives. Including:
- Records documenting the review of proposed or established
ethics-related statutes and regulations by ethics program officials, including
copies of proposed legislation, comments, and all related records.
- Determinations, including advice and counseling to individual
employees, and supporting records.
- Records relating to requests under agency supplemental standards of
ethical conduct for prior approval of outside employment and activities.
4501-a Routine Determinations: Application of Settled Legal
Standards
Records such as determinations regarding attendance at
widely-attended gatherings which appropriate agency ethics officials determine
are related to the routine, non-precedential application of settled legal
standards to common factual situations and are not interpretations of the
conflict of interest statutes, 18 U.S.C. '' 202-209, and other ethics statutes
the violation of which may result in criminal penalties or civil fines.
RG 016 Disposition Authority: GRS 25, Item 1.a
Record
Type: Temporary
Disposition: Destroy when 3 years old or when
superseded or obsolete, whichever is later.
Records Currently Stored
in Federal Records Center(s): 4501-b Other Determinations
RG 016 Disposition Authority: GRS 25, Item 1.b
Record
Type: Temporary
Disposition: Destroy when 6 years old or when
superseded or obsolete, whichever is later.
Records Currently
Stored in Federal Records Center(s): 4502 Financial Disclosure Reporting Files
Financial disclosure reports submitted by individuals as required or
authorized under the Ethics in Government Act of 1978 (Pub. L. 95-521), as
amended, and related records, including records of late filing fee payments or
requests for public reporting waivers of late filing fees and responses;
comment sheets by report reviewers and filer responses; filing extension
requests and determinations; and copies of applications for public release of
financial disclosure report.
4502.a Executive Branch Personnel Public
Financial Disclosure Reports
Executive Branch Personnel Public Financial Disclosure Reports (SF
278) and related records.
4502.a (1) SF 278 reports for individuals filing in accordance with
Section 101(b) or (c) of the Act, and not subsequently confirmed by the U.S.
Senate or elected.
RG 016 Disposition Authority: GRS 25, Item
2.a(1)
Record Type: Temporary
Disposition: Destroy 1 year
after nominee or candidate ceases to be under consideration for the position;
EXCEPT that documents needed in an ongoing investigation will be retained until
no longer needed in the investigation.
Records Currently Stored in
Federal Records Center(s):
4502.a (2) All other SF 278s.
RG 016 Disposition Authority: GRS 25, Item
2.a(2)
Record Type: Temporary
Disposition: Destroy when 6
years old; EXCEPT that documents needed in an ongoing investigation will be
retained until no longer needed in the investigation. 4502.b Executive Branch Confidential Financial
Disclosure Reports
Executive Branch Confidential Financial Disclosure Reports (OGE Form
450) and Confidential Certificates of No New Interests (OGE Optional Form
450-A) and related records.
4502.b.(1) OGE Form 450s for individuals not subsequently confirmed
by the U.S. Senate.
RG 016 Disposition Authority: GRS 25, Item
2.b(1)
Record Type: Temporary
Disposition: Destroy 1 year
after nominee ceases to be under consideration for the position; EXCEPT that
documents needed in an ongoing investigation will be retained until no longer
needed in the investigation. 4502.b(2) All other OGE Form 450s and OGE Optional Form 450-As.
RG 016 Disposition Authority: GRS 25, Item
2.b(2)
Record Type: Temporary
Disposition: Destroy when 6
years old; EXCEPT that documents needed in an ongoing investigation will be
retained until no longer needed in the investigation.
4502. c Alternative Financial Disclosure
Reports
Alternative or additional financial disclosure reports and related
records.
4502. c.(1) Reports for individuals not subsequently confirmed by
the U.S. Senate.
RG 016 Disposition Authority: GRS 25, Item
2.c(1)
Record Type: Temporary
Disposition: Destroy 1 year
after nominee ceases to be under consideration for the position; EXCEPT that
documents needed in an ongoing investigation will be retained until no longer
needed in the investigation.
4502. c.(2) All other alternative or additional financial disclosure
reports.
RG 016 Disposition Authority: GRS 25, Item
2.c(2)
Record Type: Temporary
Disposition: Destroy when 6
years old; EXCEPT that documents needed in an ongoing investigation will be
retained until no longer needed in the investigation.
4503 Ethics Agreement Records
Records documenting the review and issuance of ethics agreements used
to remedy the appearance of potential or actual financial conflicts of
interest, including:
- Records relating to the review and issuance of recusals
(disqualifications), resignations, reassignments, and divestitures.
- Records relating to determinations, authorizations, and waivers
under 5 C.F.R. '' 2635.502 and 2635.503.
- Records relating to the review and issuance of waivers of
disqualifications under 18 U.S.C. ' 208 (b)(1) and (b)(3).
RG 016 Disposition Authority: GRS 25, Item 3
Record
Type: Temporary
Disposition: Destroy 6 years after the waiver or
other agreed-upon determination or action has been issued or undertaken or is
no longer in effect, whichever is later. 4504 Referrals and Notifications of Violations
Referrals and Notifications of Violations of Criminal Conflict of
Interest Statutes and Other Potential Violations Files. Referrals made to
Inspectors General or the Department of Justice and notifications to OGE
concerning ethics violations or suspected violations. This item also covers
related background materials, including copies of disciplinary and corrective
actions and disposition documents such as declinations of prosecution.
RG 016 Disposition Authority: GRS 25, Item 4
Record
Type: Temporary
Disposition: Destroy when 6 years old.
4505 Non-Federally Funded Travel Files
4505.a. Agency copies of Semiannual Expense
Reports for Non-Federally Funded Travel
Agency copies of Semiannual Expense Reports for Non-Federally Funded
Travel submitted by all Executive branch agencies to the Office of Government
Ethics in accordance with guidance given at 31 U.S.C. ' 1353, as implemented by
41 C.F.R. chapter 304 and the use of Standard Form (SF) 326 and SF 326A.
Reports summarize payments made to the agency from non-Federal sources for
travel, subsistence, and related expenses of an employee who attends a meeting
or similar function relating to official duties.
RG 016 Disposition Authority: GRS 25, Item 5.a
Record
Type: Temporary
Disposition: Destroy when 3 years old.
4505.b Support Documentation
Statements, forms, and other records used to compile Semiannual
Expense Reports for Non?Federally Funded Travel.
RG 016 Disposition Authority: GRS 25, Item 5.b
Record
Type: Temporary
Disposition: Destroy 1 year after submission of
report to the Office of Government Ethics. 4506 Ethics Program Review Files
Reports, correspondence, and other records relating to OGE reviews of
agency compliance with executive branch ethics laws and regulations in such
areas as financial disclosure, education and training, and advice and
counseling.
4506.a. Office of General Ethics Program Review Reports
OGE program review reports, agency 60-day response letters, and
other follow-up records sent to OGE on the resolution of program deficiencies.
RG 016 Disposition Authority: GRS 25, Item 6.a
Record
Type: Temporary
Disposition: Destroy when 6 years old.
4506.b. Support Documentation
All other records produced during OGE program reviews, including
notes and background materials.
RG 016 Disposition Authority: GRS 25, Item 6.b
Record
Type: Temporary
Disposition: Destroy 1 year after the date of
the OGE program review report or, if there are recommendations, one year after
they are closed. 4507 Annual Agency Ethics Program Questionnaire
Files
4507.a. Questionnaire
Questionnaire completed by ethics officials on an annual basis in
compliance with Section 402(e)(1) of the Ethics in Government Act of 1978, as
amended, and associated records.
RG 016 Disposition Authority: GRS 25, Item 7.a
Record
Type: Temporary
Disposition: Destroy 3 years after submission.
4507.b Support Documentation
All other records related to responses to annual agency ethics
program questionnaires.
RG 016 Disposition Authority: GRS 25, Item 7.b
Record
Type: Temporary
Disposition: Destroy 1 year after submission of
associated annual agency ethics program questionnaire.
4508. Ethics Program Employee Training and Education
Files.
4508.a. Administration Files
Records relating to the administration of new employee ethics
orientations, annual, and other types of ethics training and education. Records
include, but are not limited to, annual plans, schedules of classes, rosters of
employees required to attend, verification of training completion and other
related records.
RG 016 Disposition Authority: GRS 25, Item 8.a
Record
Type: Temporary
Disposition: Destroy when 6 years old.
4508.b. Record Copy of Training Materials
Record copy of materials used in providing new employee ethics
orientations, annual, and other types of ethics training and education
including, but not limited to, instructors' guides, handbooks, handouts and
other materials used in training classes, bulletins, and newsletters.
RG 016 Disposition Authority: GRS 25, Item 8.b
Record
Type: Temporary
Disposition: Destroy when 6 years old or when
superseded or obsolete, whichever is later. 4509 Ethics Program Procedures Files
Procedures and related supporting records on the administration of
ethics programs including, but not limited to, public and confidential
financial disclosure reports systems, outside employment and activities
approval systems, and referrals of violations of criminal conflict of interest
statutes.
RG 016 Disposition Authority: GRS 25, Item 9
Record
Type: Temporary
Disposition: Destroy when 6 years old or when
superseded or obsolete, whichever is later.
We welcome your comments and suggestions about these
pages. For information related to the USDA Records Management
Program,please contact Colleen Snyder.
http://www.ocio.usda.gov/records/human_resources_files.html
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