U.S. OFFICE OF PERSONNEL MANAGEMENT

OPERATING MANUAL UPDATE

Washington, DC 20415

May 31, 2001

The Guide to Personnel Recordkeeping

Update 7

Summary of Changes

NOTE TO USERS

The Guide to Personnel Recordkeeping is in electronic format only. It has not been printed and distributed by the U.S. Government Printing Office since fiscal year 2000. A complete and current copy of The Guide can be found on OPM's website by selecting "Personnel Recordkeeping" at http://www.opm.gov/feddata/guidance.htm.

For the convenience of those maintaining printed copies of The Guide, we have attached not only the pages we have changed but also the pages that were printed on the front or back of those pages. For example, we changed page 1-11 but we've attached pages 1-11 and 1-12 because page 1-12 was printed on the back of page 1-11.

Remove Insert Explanation of Changes Page Last Revised By Page Table of Contents Update 5

December 31, 1998 Table of Contents Updates material to reflect current pagination. 1-9

thru

1-12 various

1-9

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1-12 (1) Updates title of FEHB Handbook. (page 1-10)

(2) Removes Ethics Pledge revoked by Executive Order 13184 and Statement of Selective Service Status from the list of documents that must be maintained in paper.

(page 1-11) 2-9

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2-10 Update 4

October 31, 1997 2-9

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2-10

Revises information on Senior Executive Service performance records to match 5 CFR 430.307(b)(3) and 5 CFR 430.311(c). (page 2-10) 2-13

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2-14 Update 5

December 31, 1998 2-13

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2-14 Replaces the U.S. Information Agency with the Broadcasting Board of Governors to reflect current agency organizations. (page 2-14) 3-1

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3-2 Update 5

December 31, 1998 3-1

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3-2 Updates the index pagination.

(page 3-1) 3-11

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3-12 Update 3

July 31, 1997 3-11

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3-12 (1) Removes Ethics Pledge - Pledge and commitments under the Pledge were revoked by Executive Order 13184 (page 3-11)

(2) Adds Optional Form 306 under Selective Service Registration Status (page 3-12) 3-17

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3-22 various 3-17

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3-22 (1) Add court or administrative order under FEHB Children's Equity Act as example of an authorized attachment to Health Benefits Registration Form. (page 3-18)

(2) Add the FEHB Premium Conversion Waiver/Election Form. (page 3-19)

(3) Add the document approving CSRS retirement coverage as required by 5 CFR 831.205 to the list of coverage determinations.

(page 3-20)

(4) Change pagination. 4-1

thru

4-4 various

4-1

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4-4 (1) Add reference to Standard Form 3100. (page 4-2)

(2) Revise instructions for requesting payroll records from the National Personnel Records Center.

(page 4-3) 6-13

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6-14 Update 4

October 31, 1997 6-13

thru

6-14 Update the Agency for International Development's address. (page 6-13) 7-3

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7-6 various

7-3

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7-6 Revises information on Senior Executive Service performance records to match 5 CFR 430.307(b)(3) and 5 CFR 430.311(c). (pages 7-3 and 7-5) 7-9

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7-10 Update 5

December 31, 1998 7-9

thru

7-10 Revises information on Senior Executive Service performance records to match 5 CFR 430.307(b)(3) and 5 CFR 430.311(c). (page 7-9) 8-1

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8-9 Update 5

December 31, 1998 8-1

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8-9 Revises index to reflect changes in Chapter 3 - forms added, deleted, and new pagination.

Guide to Personnel Recordkeeping -- Table of Contents

CHAPTER 1 - GENERAL PERSONNEL RECORDKEEPING POLICIES

•	Overview	1-1

•	General Records Management	1-2

•	Safeguarding Records	1-6

•	Interagency Personnel Records	1-7

•	Storing Official Personnel Folders In Media Other Than Paper	1-9

CHAPTER 2 - ESTABLISHING PERSONNEL RECORDS

•	Overview	2-1

•	Identifying Prior Federal Civilian Service	2-2

•	Requesting Records for Prior Service	2-3

•	Establishing Folders	2-5

•	Reviewing and Combining Records	2-10

•	Table 2-A: Employment Systems Outside the Office of

Personnel Management's Recordkeeping Authority	2-12

CHAPTER 3 - FILING DOCUMENTS IN THE PERSONNEL FOLDER

•	Overview	3-1

•	General Filing Procedures	3-2

•	Information About the Tables	3-6

•	Filing Instructions:

•	Table 3-A: Applications for Federal Employment	3-7

•	Table 3-B: Appointment Support	3-9

•	Table 3-C: Awards	3-17

•	Table 3-D: Benefits

Health Insurance	3-18

Life Insurance	3-19

Retirement	3-20

Thrift Savings Plan	3-24

•	Table 3-E: Investigative Process	3-25

•	Table 3-F: Personnel Actions	3-27

•	Table 3-G: Other Personnel Documents	3-32

•	Table 3-H: Changes in Filing Requirements	3-38

Guide to Personnel Recordkeeping -- Table of Contents

CHAPTER 4 - HOW TO RECONSTRUCT A PERSONNEL FOLDER	4-1

CHAPTER 5 - "JOINTLY-OWNED" PERSONNEL FOLDERS	5-1

CHAPTER 6 - HOW TO RESPOND TO REQUESTS FOR INFORMATION

•	Overview	6-1

•	Request From a Current Employee	6-2

•	Request From a Former Employee	6-5

•	Request from a Government Official	6-6

•	Request from the Public	6-8

•	Accounting of Disclosure from Personnel Records	6-11

•	Table 6-A: Request for Information Owned by Other Agencies	6-12

CHAPTER 7 - TRANSFERRING RECORDS

•	Overview	7-1

•	Transferring Personnel Records	7-2

•	Transferring Records Within the Agency	7-3

•	Transferring Records to Another Agency	7-4

•	Table 7-A: Sample Transcript Used in Lieu of Transferring Folders	7-7

•	Transferring Records to the National Personnel Records Center	7-8

•	Notice to Separated Employees - Retention of Personnel

and Medical Folders	7-11

•	Sending Records	7-12

CHAPTER 8 - INDEX OF DOCUMENTS

•	Overview	8-1

•	Index of Documents by Form Number	8-2

•	Index of Documents by Title	8-4

Storing Official Personnel Folders in Media Other Than Paper

Coverage

These instructions refer to storing Official Personnel Folders, the permanent records that follow an employee throughout his or her career. The Official Personnel Folders are under the Office of Personnel Management's control although they are in the physical custody of the employing agencies.

These instructions do not apply to agency personnel processing systems. These systems are designed to support personnel operations, feed payroll systems, and meet managers', personnelists', and employees' needs for information necessary to manage day-to-day operations. Agencies may create and store their internal, operational information as they choose, subject to general National Archives and Records Administration recordkeeping guidance. These records are not a substitute for the official, permanent documentation that constitutes the Official Personnel Folder.

Example:	The payroll/personnel system operated through National Finance Center processes personnel actions, uses that information to process pay actions, and stores personnel information for access by appropriate employees. The National Finance Center system is not covered by these instructions. The Standard Forms 50 and other documents produced by the system become part of an Official Personnel Folder. That Official Personnel Folder is covered by these instructions.

Storing Official Personnel Folders in Media Other than Paper, Continued

Creating Records

These instructions apply to recordkeeping, not to the process for creating the record. The circumstances under which a record is created are defined in the appropriate program regulations and guidance.

Example:	These instructions cover filing Official Personnel Folder copies of health benefits registration forms. The Office of Personnel Management Operating Manual, FEHB: A HANDBOOK FOR ENROLLEES AND EMPLOYING OFFICES tells when to create a health benefits registration form.

Agencies that want to create electronic versions of Standard or Optional Forms must get approval from the Agency that sponsors the Form. For most of the forms in the Official Personnel Folder, the Office of Personnel Management is the sponsoring agency.

Example:	The Office of Personnel Management is the sponsoring agency for Standard Form 50, "Notification of Personnel Action."

Example:	The Federal Retirement Thrift Investment Board is the sponsoring agency for TSP-1, "Thrift Savings Plan Election Form."

The sponsoring Agency establishes procedures for approving electronic processing systems. These systems allow records to be generated electronically, authorized or approved by electronic means, including electronic certification or electronic signature, and stored electronically. Program regulations or operational guidance are the usual sources for these procedures.

Example:	Procedures for creating electronic processing systems for the Standard Form 50, "Notification of Personnel Action" are in the Office of Personnel Management Operating Manual, THE GUIDE TO PROCESSING PERSONNEL ACTIONS.

Storing Official Personnel Folders in Media Other than Paper, Continued

Exclusions

The following documents must always be retained in paper:

RI 76-10, Assignment of Federal Employees' Group Life Insurance

Standard Form 2823, Designation of Beneficiary Under the Federal Employees' Group Life Insurance Program

Standard Form 3102, Federal Employees Retirement System Designation of Beneficiary

ALL paper documents in a Merged Records Personnel Folder covering periods of employment not under the Office of Personnel Management's recordkeeping authority.

Storing Official Personnel Folders in Media Other than Paper, Continued

Microforms

The Office of Personnel Management may approve requests to create microform Official Personnel Folders both for storage while the employee is serving with the office that creates the microform and for transfer to the next employing office or the National Personnel Records Center. (Note: the forms listed under Exclusions may not be part of the microform Folder.)

Microform Official Personnel Folders must meet the National Archives and Records Administration standards for microform records. These standards are found in part 1230 of title 36, Code of Federal Regulations.

Offices planning to maintain microform Official Personnel Folders should obtain a copy of the Guidelines and Control Requirements for Microform Official Personnel Records. These Guidelines include information on the format, organization, and maintenance of microform records. Address requests to:

Assistant Director for Workforce Information

Office of Merit Systems Oversight and Effectiveness, Room 7439

Office of Personnel Management

1900 E Street, NW.

Washington DC 20415-6000

email: owi@opm.gov.

Offices must submit a microforms operations plan that describes how they will create and maintain microform Official Personnel Folders that meet the National Archives and Records Administration and Office of Personnel Management requirements. After the microforms operations plan is approved, the office may create microform folders but must continue to maintain paper folders for the period specified in the plan's approval. At the end of that period, the office must certify that their microform system meets all requirements in the operations plan. The Office of Personnel Managment and the National Archives and Records Administration may authorize retention of the microform Official Personnel Folders as the official record. On that joint approval, the office may destroy the paper folders except for the forms listed under Exclusions. The microform folders will then be the official records.

Offices maintaining microform Official Personnel Folders as the official record will transfer those microform records just as they would transfer paper records.

Establishing Folders, Continued

Do not make any marks or notations on the folder

Do not add any markings, notations, or tabs to the Official Personnel Folder, Merged Records Personnel Folder, or Employee Medical Folder. Do not add any markings or notations on the label. Only official codes authorized by the National Personnel Records Center are permitted on the front of the folder.

When using a bar code labeling system, place the bar code label:

•	on the side of the folder containing the file label, but at the end opposite the employee's name, or

•	on the back of the folder.

Reviewing and Combining Records

Rule

If the employee had prior Federal civilian service, records for that service must be combined with records for the current period of employment in a single file or folder. Follow the procedures below to review and combine records.

Example: The National Personnel Records Center sends two Official Personnel Folders in response to a request for a new employee's records. The records from these two folders must be combined with the records created during the appointment process into a single Official Personnel Folder.

Performance records

The left side of the personnel folder should contain the performance records that are transferred from agency to agency. These records are:

Senior Executive Service All Others Annual summary ratings that are five years old or less; any appraisals prepared since the most recent annual summary rating; and performance plans for each rating. Ratings of record that are four years old or less. Ratings of record include the evaluation of the employee's performance against the elements and standards plus the summary level, pattern, and ending date of the appraisal.

If the performance records are not in the folder and it appears that the employee was subject to a performance appraisal system, request the records from the former employer.

Follow the agency's instructions for filing performance records.

Medical records

Review records in the Employee Medical Folder to ensure that they are in chronological order. Combine these records with any medical records created during the appointment process.

Follow the agency's instructions for filing medical records.

Reviewing and Combining Records, Continued

Personnel Records

Step Action	1 Remove any documents transferred on the left side of the folder and follow agency instructions for processing those documents.

Documents transferred on the left side of the folder include the performance records, Record of Leave Data (Standard Form 1150) or equivalent record of leave balances, and documentation of indebtedness to the health benefits fund for pay periods that began before September 30, 1996. 2 Remove inappropriately filed documents.

Always remove any reference to race or ethnicity including the Standard Form 181, Race and National Origin Identification; the Standard Form 256, Self-Identification of Medical Disability; and the Office of Personnel Management form 1635, Welfare to Work Program.

Do not remove any other records in a Merged Records Personnel Folder or Foreign Service Folder for periods of employment outside of the Office of Personnel Management's recordkeeping authority.

Refer to Chapter 3 to decide which documents should be filed in an Official Personnel Folder and in the portions of Merged Records Personnel Folder or Foreign Service Folder dealing with employment under the Office's authority. 3 Check the documents for completeness and accuracy. Follow the appropriate program instructions to correct any errors.

Example: Follow instructions in THE GUIDE TO PROCESSING PERSONNEL ACTIONS to correct Standard Form 50, Notification of Personnel Action. 4 Combine all appropriate records in chronological order in a single folder.

Table 2-A: Employment Systems Outside the Office of Personnel Management's Recordkeeping Authority

Introduction

Federal civilian service includes Government service under employment systems outside the Office of Personnel Management's recordkeeping authority. Some of the agencies authorized to use these employment systems have agreed to transfer their personnel records and mix those records with personnel records created during periods of employment under the Office of Personnel Management's recordkeeping authority. Other agencies do not transfer personnel records but do provide transcripts of service and other documentation (for example, health insurance, life insurance, retirement, and Thrift Savings Plan documents).

The material in this table describes the employment systems outside of the Office of Personnel Management's recordkeeping authority, the agencies that use those systems, and information that helps to identify service under those systems.

Table

Employment System

or Agency Description Administrative Office of the U.S. Courts Identify service by the agency name.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Architect of the Capitol Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. Board of Governors of the Federal Reserve System Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. Central Intelligence Agency Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder.

Table 2-A: Employment Systems Outside the Office of Personnel Management's Recordkeeping Authority, Continued

Table, Continued

Employment System

or Agency Description Civilian Intelligence Personnel Management System Used by the Department of Defense, including the Departments of Air Force, Army, and Navy.

Identify by legal authority UAM on records.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Congressional Budget Office Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. District of Columbia Government Identify service by the agency name.

Service prior to January 1, 1980 should be documented in an Official Personnel Folder.

Service on and after January 1, 1980 is documented by a transcript.

Use the Official Personnel Folder. Federal Bureau of Investigation Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. Federal Judicial Center Identify service by the agency name.

Transfers personnel folders.

Use the Merged Records Personnel Folder.

Table 2-A: Employment Systems Outside the Office of Personnel Management's Recordkeeping Authority, Continued

Table, Continued

Employment System

or Agency Description Foreign Service Used by:

Agency for International Development

Broadcasting Board of Governors

Department of Agriculture,

Animal and Plant Health Inspection Service

Foreign Agriculture Service

Department of Commerce,

International Trade Administration

Department of State

Peace Corps .

Identify service by Foreign Service Folder and legal authority UFM and pay plan FA, FE, FO, FP, or FZ on records.

Transfers personnel folders.

Use Foreign Service (Administrative) Folder. General Accounting Office Identify service by the agency name.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Library of Congress Identify service by the agency name.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Medical and Other Positions Filled Under

Title 38 United States Code - Department of Veterans Affairs Identify service by combination of agency, legal authority V8V and pay plans VM, VN, or VP on records.

Transfers personnel folders.

Use the Merged Records Personnel Folder. National Security Agency Identify service by the agency name.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Table 2-A: Employment Systems Outside the Office of Personnel Management's Recordkeeping Authority, Continued

Table, Continued

Employment System

or Agency Description Nonappropriated Fund Instrumentalities - Department of Defense Identify service by Nonappropriated Fund folder and/or references to nonappropriated fund, exchange services, open mess or other services provided by Defense agencies.

Transfers personnel folders.

Use the Merged Records Personnel Folder. Tennessee Valley Authority Identify service by the agency name.

Service documented by a transcript on microfiche.

Use the Official Personnel Folder. U.S. Botanical Gardens Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. U.S. House of Representatives Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. U.S. Postal Service Identify service by Postal Service folder and/or PS form numbers on records.

Transfers personnel folders.

Use the Merged Records Personnel Folder. U.S. Senate Identify service by the agency name.

Service documented by a transcript.

Use the Official Personnel Folder. White House - Executive Office of the President Identify service by the agency name or title 3, United States Code on records.

Transfers personnel folders.

Use the Merged Records Personnel Folder.

3-1

Chapter 3

Filing Documents in the Personnel Folder

Overview

In this chapter

This chapter provides instructions for filing personnel documents in the personnel folder. The subject categories are listed below.

Topic See Page General Filing Procedures 3-2 Information About the Tables 3-6 Filing Instructions:

Table 3-A. Applications for Federal Employment

3-7	Table 3-B. Appointment Support 3-9	Table 3-C. Awards 3-17	Table 3-D. Benefits

•	Health Insurance

3-18	•	Life Insurance 3-19	•	Retirement 3-20	•	Thrift Savings Plan 3-24	Table 3-E. Investigative Process 3-25	Table 3-F. Personnel Actions 3-27	Table 3-G. Other Personnel Documents 3-32	Table 3-H. Changes in Filing Requirements 3-38

General Filing Procedures

Introduction

Records are filed in the Official Personnel Folder to document events in an individual's Federal employment history that have long-term consequences for the employee and the Government. Care should be exercised in filing documents correctly to ensure that all documents pertaining to an employee's rights and benefits are available in the personnel folder when needed.

Personnel folder documents are either long-term or temporary documents. Certain documents must never be filed in the personnel folder.

Long-term documents

Long-term documents are records kept for the life of the folder, usually 115 years from the employee's date of birth. These documents are filed in chronological order on the right side of the personnel folder.

Temporary documents

Temporary documents are documents that are not kept for the life of the personnel folder. These documents are filed on the left side of the folder.

Prohibited documents

Prohibited documents are records that must never be placed in a personnel folder. The prohibition may come from law, such as the Privacy Act, or from regulation such as title 29, Code of Federal Regulations.

Example: Standard Form 181, Race and National Origin Identification.

Rescinded filing requirements

Rescinded filing requirements are document filing requirements that are cancelled as of a given date. When filing requirements are rescinded, the document(s) should no longer be filed on the right side of the personnel folder. See table 3-H for instructions on handling documents already on file in the personnel folder.

Table 3-B: Appointment Support

List of documents

This table provides filing instructions for documents that support appointments.

DOCUMENT PERSONNEL FOLDER FILING INSTRUCTIONS APPOINTMENT AFFIDAVIT

Standard Form 61

Appointment Affidavit File all forms on the right side. Keep only those

forms that were required by Office of Personnel Management guidance, not those completed at the agency's option. APPROVALS/AUTHORIZATIONS

Approvals and authorizations to make

an appointment include:

Civil Service Commission Forms (obsolete):

492, Application to Establish

Eligibility for Reinstatement to Career- Conditional

493, Application to Establish

Eligibility for Conversion to Career- Conditional

617, Application to Establish

Eligibility for Reinstatement to

Career-Conditional under Public Law 84-380 and 85-847

618, Application to Establish

Eligibility for Conversion to Career- Conditional under Public Law 84-380 and 85-847

648, Recommendation for

Conversion to Career Appointment Under Regulation 315.703a File these documents on the right side. Table 3-B continued on next page APPROVALS/AUTHORIZATIONS

Continued

Civil Service Commission Forms (obsolete), Continued

2800a, Proof of Selection for Career (or Career-Conditional) Appointment

2800b, Authorization of a Career- Conditional Appointment

Form or letter from the Office of Personnel Management or an agency appointing officer identifying the

individual employee and that:

1) cancels competitive status;

2)	authorizes a personnel action;

(This refers to a unique authorization NOT to standard authorizations such as those on Standard Form 52.)

3)	verifies competitive status, veterans' preference, or service history;

4)	disapproves a personnel action because of nonexistence of competitive status.

Recommendation by Postmaster General to convert an employee to career appointment in the Post Office under Public Law 84-836 (Process is

no longer in effect.)

Standard Form 59

Request for Approval of Non- Competitive Action File these documents on the right side. Table 3-B continued on next page DECLARATIONS

Optional Form 306

Declaration for Federal Employment

Standard Form 61-B (obsolete)

Declaration of Appointee File these forms on the right side. MILITARY SERVICE

Records that document military

service creditable for leave accrual, reduction-in-force, retirement or veterans' preference include:

DD 214

Certificate of Release or Discharge

from Active Duty

Letters from military academies

National Guard Bureau and Reserve reports of separation and records of service

Standard Form 813 (formerly Office

of Personnel Management Form

813)

Verification of a Military Retiree's Service in Nonwartime Campaigns or Expeditions

Statements from the Armed Forces accepted by the agency as proof of military service File military service records on the right side.

These records may be attached to other forms,

such as the Standard Form 15, Application for 10- Point Veteran Preference or the Standard Form 144, Statement of Prior Federal Service. Table 3-B continued on next page REFERENCE CHECKS/

PRE-EMPLOYMENT INQUIRIES

Documents that show results from

checks made of employment or personal references, or

pre-employment vouchers and inquiries (including telephone inquiries) Do not file such documents in the personnel folder.

If kept, file documents in the recruitment file. SELECTIVE SERVICE REGISTRATION

Proof of Selective Service registration status includes:

Acknowledgement letter or other

proof of registration or exemption issued by the Selective Service System annotated and signed by the employee

Agency reproduction of Applicant's Statement of Selective Service Registration Status in 5 Code of Federal Regulations 300.704

Office of Personnel Management Form 1583 (obsolete)

Statement of Selective Service Registration Status

Optional Form 306

Declaration for Federal Employment File the statement or other proof on the right side. Table 3-B continued on next page SENIOR EXECUTIVE SERVICE

Appointment support specifically applicable to the Senior Executive Service includes:

•	Statement by a career appointee that he/she elects to continue under the provisions of the Senior Executive Service upon receiving an appointment by the President that requires Senate confirmation.

•	Statement of acceptance or declination of conversion to a position in the Senior Executive Service

•	The written agreement that the individual voluntarily accepts the conditions when changing from a career to a noncareer or limited appointment File signed documents on the right side. Table 3-B continued on next page STATEMENT OF PRIOR FEDERAL SERVICE

This material that documents the calculation of service that is creditable

for leave may include:

Agency substitute for Standard Form 144-A, such as a printout with the information listed in Chapter 6 of The Guide to Processing Personnel Actions

Standard Form 144

Statement of Prior Federal Service

Standard Form 144-A

Statement of Prior Federal Service -- Worksheet

Supporting documentation, such as:

Affidavits accepted as proof of service creditable for leave;

Agency annotated verification of prior service;

Letters verifying active service with the Public Health Service and National Oceanic Atmospheric Administration;

Proof of creditable military service;

Statements showing proof of creditable volunteer service with the Peace Corps, Corporation for National Service (formerly ACTION), or Volunteers in Service to America (VISTA). File these documents on the right side.

NOTE: The list of supporting documentation is not exhaustive. Any material the agency accepts as proof or verification of service that is creditable for leave may be attached to the Statement of Prior Federal Service--Worksheet.

Table 3-B continued on next page STATEMENTS OF UNDERSTANDING

Written statement that the employee understands he/she is leaving the competitive service voluntarily to

accept an appointment in the excepted service.

Example: Competitive service

employee selected for the Presidential Management Intern Program File statements of understanding on the right side when signed by the employee. TEST MATERIAL

Answer sheets from written

examinations Do not file test material in the personnel folder. VETERANS' PREFERENCE

Material that supports veterans' preference determinations includes:

Standard Form 14 (obsolete)

Claim for Veteran's Preference

Standard Form 15

Application for 10-Point Veteran Preference

Supporting documentation, such as:

Death certificate;

Decree of annulment; File documents on the right side.

NOTE: The list of supporting documentation is

not exhaustive. Any material the agency accepts as proof or verification used in determining veterans' preference may be attached to the Application for

10-Point Veteran Preference. Table 3-B continued on next page VETERANS' PREFERENCE, Continued

Supporting documentation, continued:

Documentation of military service and separation under honorable conditions;

Official statement from the Department

of Veterans Affairs or a branch of the Armed Forces documenting a service- connected disability;

Official statement, citation or certificate showing the award of the Purple Heart;

Physician's statement. File documents on the right side.

NOTE: The list of supporting documentation is

not exhaustive. Any material the agency accepts as proof or verification used in determining veterans' preference may be attached to the Application for

10-Point Veteran Preference.

Table 3-C: Awards

List of documents

This table provides instructions for filing awards.

DOCUMENT PERSONNEL FOLDER FILING INSTRUCTIONS AGENCY AWARD FORMS

Agency forms, certificates, letters, etc. for cash awards that do not affect an employee's rate of basic pay Retain documents on the right side only if they show that an award was granted under a formal agency award program and:

•	the award was dated prior to 1986. (Standard Form 50 became the official documentation for awards in 1986.)

OR

•	the award was dated between 1986 and 1998 and the agency form was an approved substitute for the Standard Form 50.

Effective January 1, 1999, only documentation of Senior Executive Service rank awards may be filed on the right side of the Official Personnel Folder. No other awards actions effective after December 31, 1998, are authorized for long term (right side) retention. AWARD JUSTIFICATION

Award justification and other reference material Do not file this material in the personnel folder.

File this material according to agency instructions. Recommendations for awards and supporting documentation are part of the Employee Performance Records system discussed in Chapter 1.

Table 3-D: Benefits

List of documents

This table provides instructions for filing benefits.

DOCUMENT PERSONNEL FOLDER FILING INSTRUCTIONS HEALTH INSURANCE ENROLLMENT

Standard Form 2809

Health Benefits Registration Form

including any authorized attachments, such as:

Court or Administrative Order under FEHB Children's Equity Act

Medical documentation used in making a self-support determination for a child 22 years of age or over;

Statement of foster child status;

Statement supporting acceptance of a late registration.

Standard Form 2810

Notice of Change in Health Benefits

including any authorized attachments, such as:

Employee's election to terminate benefits during a period of nonpay status or insufficient pay.

Transcript

Office of Personnel Management approved documentation of health benefits enrollments processed electronically (for example, through Employee Express) File these documents on the right side.

NOTE: To limit access, medical certificates and documentation should be placed in a sealed envelope before being attached to any enrollment forms. Table 3-D continued on next page HEALTH INSURANCE, Continued INDEBTEDNESS TO HEALTH BENEFITS FUND

Documentation that the employee is indebted to the health benefits fund, including election to continue coverage and the amount owed File these documents on the left side until the debt is paid. Once the debt is paid, the material must be removed.

NOTE: These procedures apply to debt for pay periods that began before September 30, 1996. Debt for later periods is to the agency not to the health benefits fund and all documentation remains with the agency to which the employee is indebted.

PREMIUM CONVERSION WAIVER/ELECTION

Form used to elect or waive pre-tax treatment of employee FEHB premiums File this form on the right side. TEMPORARY CONTINUATION OF COVERAGE

Notice of eligibility for temporary continuation of health benefits coverage (signed copy or file copy with delivery receipt attached).

File these documents on the right side.

NOTE: Information on enrollment, payments, and other correspondence on the period of continued coverage should be part of a separate health benefits file. LIFE INSURANCE LIFE INSURANCE FORMS

All life insurance forms must be filed in the Official Personnel Folder unless a form contains specific instructions to do something different. Follow instructions on the life insurance form. In general, file these documents on the right side.

Refer to the Federal Employees' Group Life Insurance Program Handbook for Employees, Annuitants, Compensationers and Employing Offices. Table 3-D continued on next page RETIREMENT COVERAGE DETERMINATIONS

Any documentation of an individual's retirement coverage, including approval of CSRS coverage under 5 CFR 831.205 and coverage under CSRS-Special or FERS-Special. File these documents on the right side.

NOTE: Determinations may be made by the agency or the Office of Personnel Management. DEPOSITS FOR MILITARY SERVICE

Applications:

Standard Form 2803

Application to Make Deposit or Redeposit - Civil Service Retirement System

Standard Form 3108

Application to Make Service Credit Payment for Civilian Service - Federal Employees Retirement System

Earnings:

RI 20-97

Estimated Earnings during Military Service

Election:

Office of Personnel Management Form 1515

Military Service Deposit Election

Worksheet:

Office of Personnel Management Form 1514

Military Deposit Worksheet

File applications on the left side.

File earnings statements on the right side.

File elections on the right side.

File worksheets on the right side. Table 3-D continued on next page RETIREMENT, Continued DESIGNATION OF BENEFICIARY

Standard Form 3102

Federal Employees Retirement System Designation of Beneficiary including any authorized attachments, such as a trustee designation. File these documents on the right side.

NOTE: This form is sent to the Office of Personnel Management when the employee leaves Federal service. DISABILITY RETIREMENT

Notice of Approval of Disability Retirement Application File these documents on the right side. ELECTIONS

Election of Federal Employees Retirement System with Credit for Nonappropriated Fund Instrumentality Service under Public Law 104-106

Election of Retroactive Nonappropriated Fund Instrumentality Retirement Coverage by Federal Employees Retirement System Employees under Public Law 104-106

Notice employee elected to retain coverage under a Nonappropriated Fund Retirement Plan

Notice of right to elect continued coverage while serving in a non- Federal organization

File these documents on the right side. Table 3-D continued on next page RETIREMENT, Continued ELECTIONS, Continued

Office of Personnel Management Form 1561 (obsolete)

Retirement Election for Certain Senior Officials

RI 38-130 (formerly Standard Form 2816)

Retirement, Life Insurance, and Health Benefits under the Indian Self-Determination and Educational Assistance Act - P.L. 93-638

Standard Form 3109 (formerly Office of Personnel Management Form 1555)

Election of Coverage

and any approved attachments such as an authorization for retroactive election

Standard Form 3110 (formerly Office of Personnel Management Form 1556)

Former Spouse's Consent to Federal Employees Retirement System Election

Standard Form 3111 (formerly Office of Personnel Management Form 1560)

Request for Waiver, Extension or Search in Connection with Election of Federal Employees Retirement System

and any authorized attachments

File these documents on the right side. Table 3-D continued on next page

RETIREMENT, Continued RETIREMENT FUND DATA

Retirement fund data may be:

Correspondence dealing with a payment, refund form, or repayment to the Civil Service Retirement System or the Federal Employees Retirement System

Standard Form 2802

Application for Refund of Retirement Deductions

Standard Form 2804

Application to Make Voluntary Contributions

Standard Forms 2806 and 3100

Individual Retirement Record Do not file any of these forms in the personnel folder.

NOTE: The Office of Personnel Management retains individual retirement files that include this information. SUMMARY OF SERVICE

Summaries of creditable service include:

Standard Form 2801-1

Certified Summary of Federal Service (Civil Service Retirement System)

Standard Form 2815 (obsolete)

Employee Service Statement

Standard Form 3107-1

Certified Summary of Federal Service (Federal Employees Retirement System) File these documents on the right side. Table 3-D continued on next page THRIFT SAVINGS PLAN TSP 1

Thrift Savings Plan Election Form

TSP-967-AO

Notice That Employee Contributions Cannot Be Made Because a Financial Hardship In-Service Withdrawal Has Been Issued

Transcript

Transcript of thrift savings plan changes approved for use by the Federal Retirement Thrift Investment Board File these documents on the right side.

Chapter 4

How to Reconstruct a Personnel Folder

Introduction

An agency must start to reconstruct the personnel folder upon learning that the folder is lost or destroyed. Reconstruction includes:

•	Copying all applicable documents the agency can get from the employee, personnel office files, payroll office, Social Security Administration, etc., and

•	Documenting the reconstruction.

Place a notice of the reconstruction in the folder

A transcript of service serves as the notice of reconstruction. The transcript is to remain as the top document of the reconstructed portion in the personnel folder. See Chapter 7 of this Guide for instructions on creating a transcript of service.

Procedures

Use the following procedures to reconstruct the personnel folder.

Step	Action 1 Copy any relevant documents the employee can furnish. For

example:

•	Applications for Federal Employment,

•	Standard Forms 50, Notifications of Personnel Action,

•	Earnings and Leave Statements. 2 Request a computer-generated employment history from agencies where the individual was previously employed.

NOTE: While agencies are no longer required to keep Chronological File copies of Standard Forms 50, Notifications of Personnel Action, request copies when they may be available. Continued on next page 3 Request retirement records. If the employee made retirement contributions... If the employee made social security contributions... Request a copy of all Individual Retirement Records, Standard Form 2806 and 3100. Provide the employee's name, social security number, and date of

birth for each Individual Retirement Record requested.

Send the request to:

Office of Personnel Management

Retirement Operations Center,

P. O. Box 45

Boyers, PA 16017

Requests may also be faxed to 724-794-4668. Take care that privacy of the personal information is maintained when requesting an Individual Retirement Record be faxed to the personnel office. Request that the individual get detailed earnings information from the Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235.

NOTE: Advise the employee to use Form SSA-7050-F3 to request this information. Requested information should be earnings by each employer.

It is important that the employee know that the Social Security Administration will charge a fee for this service and that the fee is based on the number of years of earnings to be reported. Continued on next page 4 Ask the National Personnel Records Center to search for personnel and payroll records. Address the request to:

National Archives and Records Administration, National Personnel Records Center, 111 Winnebago Street, St. Louis, MO 63118, ATTENTION: Chief, Civilian Reference Branch (DO NOT OPEN IN MAILROOM). To request a search for the personnel folder: To request a search for payroll records: Submit a Standard Form 127, Request for Official Personnel Folder (OPF). In the Remarks section, put:

"The OPF for this employee is lost or destroyed. This is to request that a search be made by NPRC for the OPF of the named employee."

This statement is required to insure that the missing Official Personnel Folder was not inadvertently returned to the National Personnel Records Center. Submit a memo on agency letterhead. Include the employee's name, social security number, agency in which employed and the following:

"This is to request a search of any payroll records on the named employee that may be stored at NPRC."

Not all agencies store payroll records at the National Personnel Records Center. If NPRC does not have the records, contact the agency. 5 Obtain any copies of certificates establishing the employee's qualifications for specific jobs. Contact the office that issued appointment certificates for the individual. 6 Use records from the investigative files and security clearances,

where appropriate, that document Federal service. Continued on next page 7 Prepare a transcript of service. Refer to Chapter 7 of this Guide for instructions on transcript preparation.

An introductory paragraph should be added to the transcript identifying the documents used to prepare the transcript.

Example: "The following transcript of Federal service was prepared from a Standard Form 2806, Individual Retirement Record, maintained by the Office of Personnel Management." 8 Follow instructions in Chapter 2 of this Guide to select the correct folder. File the transcript of service in the folder. The transcript

will be the top form of the reconstructed portion of the personnel folder. Documents located during the reconstruction process should be filed beneath the transcript. 9 Use the tables in Chapter 3 of this Guide. Documents listed as prohibited in Chapter 3 may not be filed in a reconstructed

personnel folder. Documents that may be filed with the transcript: Documents that MAY NOT be filed with the transcript: •	Any documents that support benefits

•	Any Standard Forms 50, Notification of Personnel Actions

•	Standard Form 2806 or 3100, Individual Retirement Record

•	Computer-generated employment histories

•	Payroll records

•	Social Security earnings report

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses

This table provides addresses for agencies that may own records in a Merged Records Personnel Folder or Foreign Service folder. Use this table to refer requests for access to, disclosure from, or amendment of any records created by that agency.

Agency Address Administrative Office of the U.S. Courts Administrative Office of the U.S. Courts

Human Resources Division

1 Columbus Circle, NE.

Washington, DC 20544 Agency for International Development

(Foreign Service employees) Agency for International Development

M/HR/OD

Room 2.08-011

1300 Pennsylvania Avenue, NW.

Washington, DC 20523 Army and Air Force Exchange Service

(Nonappropriated Fund employees)

Army and Air Force Exchange Service

HA-AAFES, ATTN:PE-P

P.O. Box 660202

Dallas, TX 75266-0202

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address Department of Agriculture

Animal and Plant Health Inspection Service

(Foreign Service employees)

Foreign Agriculture Service

(Foreign Service employees)

Chief, Resource Management Support Staff

International Services

Animal and Plant Health Inspection Service

U.S. Department of Agriculture

4700 River Road, Unit 65

Riverdale, MD 20737

Personnel Officer

Foreign Agriculture Service

U.S. Department of Agriculture 14th & Independence Avenue Washington, DC 20250 Department of Air Force

(Civilian Intelligence Personnel Management System employees)

(Nonappropriated Fund employees)

Department of the Air Force

HQUSAF/DPCE

1040 Air Force Pentagon

Washington, DC 20330-1040

Department of the Air Force

HQ AFMWRSA/MWXHC

550 C Street W, Suite 56

Randolph AFB, TX 78150-4758

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address Department of Army

(Civilian Intelligence Personnel Management System employees)

(Nonappropriated Fund employees)

HQ Department of Army

Intelligence Personnel Management Office (IPMO)

Attn: DAMI-CP

1000 Army Pentagon, Rm 2C475

Washington, DC 20310-1022

Department of Army

NAF Personnel Division

Human Resources, HQDA (CFSC- HR-P), Room IN39, Hoffman 2

200 Stovall Street

Alexandria, VA 22331-0532 Department of Commerce

(Foreign Service employees) Department of Commerce

Office of Foreign Service Personnel, Room 3226

14th and Constitution Avenue, NW.

Washington, DC 20230 Department of Navy

(Civilian Intelligence Personnel Management System employees)

Department of Navy

Chief of Naval Operations, (N09B30)

2000 Navy Pentagon

Washington, DC 20350-2000

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address Department of Navy (continued)

(Nonappropriated Fund Employees)

Bureau of Personnel

Navy Exchange Command

Other Department of Navy

activities

Department of Navy

MWR Human Resource Division

Naval Support Memphis (PERS-653)

7800 3rd Avenue, Bldg 457

Millington, TN 38054-5054

NEXCOM Human Resource

Principal Associate Director

3280 Virginia Beach Blvd.

Virginia Beach, VA 23452

Department of Navy

Office of Civilian Personnel Management

Director for NAF Human Resources

Code 02N, BTC#1, Room 1205

800 North Quincy Street

Arlington, VA 22203-1998

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address Department of State

(Foreign Service employees) Chief, Personnel Records Branch

Bureau of Personnel

PER/EX/ADM/RM, Room 1609NS

U.S. Department of State

Washington, DC 20520 Department of Veterans Affairs

(Medical positions filled under title 38, United States Code) Department of Veterans Affairs

Shared Service Center

3401 SW 21st Street

Topeka, KS 66604 Federal Judicial Center Federal Judicial Center

Personnel Office, Room 6190

Thurgood Marshall Federal Judiciary Building

One Columbus Circle, NE.

Washington, DC 20002-8003 General Accounting Office

General Accounting Office

Director of Personnel

Washington, DC 20548

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address Library of Congress For amendment requests:

General Counsel

Library of Congress

Personnel Operations Office

Washington, DC 20540

For access requests:

Library of Congress

Personnel Office

101 Independence Avenue, SE.

Washington, DC 20540 Marine Corps

(Nonappropriated Fund employees) MWR Human Resource Branch

HQ US Marine Corps

3044 Catlin Avenue

Quantico, VA 22134-5099 National Security Agency National Security Agency

Civilian Personnel

Ft. George G. Meade, MD 20755 Peace Corps

(Foreign Service employees) Peace Corps

Director of Personnel

1990 K Street, NW.

Washington, DC 20526

Table 6-A: Request for Information Owned by Other Agencies, Continued

Addresses, continued

Agency Address U.S. Postal Service

For amendment requests:

Manager

Corporate Personnel Operations

Room 1813

475 L'Enfant Plaza, SW.

Washington, DC 20260-4261

For access requests:

Last employing office. White House - Executive Office of the President

Director of Human Resources Division

Office of Administration

Executive Office of the President

725 17th Street, NW.

Washington, DC 20503

Transferring Records Within the Agency

Follow agency instructions

Follow agency instructions on transferring personnel records from one personnel office to another in the same agency.

As a minimum, the following records must be transferred:

•	the personnel folder (Official Personnel Folder, Merged Records Personnel Folder or Foreign Service Folder) with all long-term (right side) documents;

•	all long-term medical documents;

•	performance records that include

Senior Executive Service All Others Annual summary ratings that are five years old or less; any appraisals prepared since the most recent annual summary rating; and performance plans for each rating. Ratings of record that are four years old or less, including the performance plan on which the most recent rating was based. Ratings of record include the evaluation of the employee's performance against the elements and standards plus the summary level, pattern, and ending date of the appraisal.

Transferring Records to Another Agency

Requests

Requests for an employee's personnel records should be made in writing and should include documentation of the employee's appointment in the requesting agency. (A Standard Form 50, Notification of Personnel Action, or a Standard Form 52, Request for Personnel Action showing the appointment and its effective date are the normal documentation sent when requesting personnel records from another agency.)

The records should be sent to the new agency within 5 working days after receipt of the request. If long-term records that should be transferred are not available, wait until those records have been filed before sending the records. Notify the requester and explain the delay.

Transferring folders

Normally, agencies will transfer personnel and medical folders to the next agency. Certain performance records will be transferred in the personnel folder. The personnel folder may be an Official Personnel Folder, Merged Records Personnel Folder, or Foreign Service Folder. Employers who are outside the Office of Personnel Management's recordkeeping authority and do not transfer folders should request a transcript of service rather than a folder.

Transferring Records to Another Agency, Continued

Preparing folders

Follow these steps to prepare the personnel and medical folders for transfer.

Step Action	1 Check the personnel folder to make sure that it contains all the long-term documents that should be in the folder and only the long-term documents authorized in Chapter 3. Make sure that all documents are filed in chronological order. 2 Put the following documents and only those documents on the left side of the personnel folder:

Record of Leave Data (Standard Form 1150) or equivalent record of leave balances;

documentation of indebtedness to the health benefits fund for pay periods that began before September 30, 1996;

performance records. For Senior Executive Service employees, these are: annual summary ratings that are 5 years old or less; any appraisals prepared since the most recent annual summary rating; and performance plans for each rating. For all other employees, these are ratings of record that are 4 years old or less, including the performance plan on which the most recent rating was based. Ratings of record include the evaluation of the employee's performance against the elements and standards plus the summary level, pattern, and ending date of the appraisal. 3 Put long-term occupational medical records in an Employee Medical Folder, Standard Form 66-D. 4 Send the folders to the next agency. Follow agency instructions for documents that are not transferred to the next agency. Records erroneously left out

When long-term documents that should have been transferred to the next agency are discovered after the folders have been mailed, send them immediately to the next agency. Attach the documents to a cover letter that identifies the employee by name, social security number, and date of birth. Reference the date the folder was originally sent.

Transferring Records to Another Agency, Continued

Requests for transcripts in lieu of folders

Some employers who are outside the Office of Personnel Management's recordkeeping authority should request a transcript of service and other documents rather than personnel and medical folders. These employers are:

•	Architect of the Capitol

•	Board of Governors of the Federal Reserve System

•	Central Intelligence Agency

•	Congressional Budget Office

•	District of Columbia Government

•	Federal Bureau of Investigation

•	Tennessee Valley Authority

•	U.S. Botanical Gardens

•	U.S. House of Representatives.

The U.S. Senate sends transcripts but receives folders when employees move from employment under the Office's recordkeeping authority to the Senate.

Preparing transcripts in lieu of folders

Take the following steps to prepare transcripts in lieu of folders.

Step Action 1 Prepare the transcript summarizing all personnel actions processed during the employee's Federal career. Use the example in Table 7-A. 2 Copy the benefits documents if requested. Benefits documents cover retirement, health insurance, and life insurance. Send the originals with the transcript. File the copies in the folder. 3 Copy performance records, long-term medical records and a statement of leave balances if requested. 4 Send the transcript and any other requested documents to the next agency. 5 Follow the steps required to send the folders to the National Personnel Records Center.

Table 7-A: Sample Transcript Used in Lieu of Transferring Folders

Transcript of Service

Name: Doe, John X. SSN: 000-00-0000 DOB: 00-00-00 SCD: 08-12-67

The following transcript of Federal service was prepared from the Official Personnel Folder.

EFFECTIVE

DATE TYPE OF ACTION PAY PLAN, SERIES, GRADE, BASIC PAY WORK SCH RETIREMENT

CODE AGENCY

DUTY STATION 06-19-67 Excepted Appointment GS-0301-01

$3609 pa F 1 - CSRS Department of Navy, Washington, DC 10-22-67 Promotion GS-0301-02

$4231 pa F 1 - CSRS -Same- 09-23-68 Separation/Military 06-18-73 Veterans Readjustment Appointment GS-0303-02

$5432 pa F 1 - CSRS Veterans Administration, Washington, DC 10-14-73 Pay Adjustment GS-0303-02

$5682 pa F 1 - CSRS -Same- 10-14-73 Promotion GS-0303-03

$6408 pa F 1 - CSRS -Same- 08-10-74 Resignation 08-11-74 Career-Conditional Appointment WG-4701-04

$4.09 ph F 1 - CSRS Defense Mapping Agency, Washington, DC 10-27-74 Pay Adjustment WG-4701-04

$4.29 ph F 1 - CSRS -Same- 02-23-75 Within Grade Increase WG-4701-04

$4.47 ph F 1 - CSRS -Same- 09-06-75 Resignation

Prepared 10-05-80 by:

NAME AND SIGNATURE: Jane Smith

TITLE: Personnel Assistant	OFFICE: Personnel Processing Branch

AGENCY: Office of Personnel Management TELEPHONE NO: (202) 632-4476

Transferring Records to the National Personnel Records Center

Timing

Under normal circumstances, the agency should send the personnel folder, including performance records and the medical folder to the National Personnel Records Center within 90 days after the employee separates from Federal service.

Agencies may need to retain the folders for more than 90 days under circumstances like those shown in the following table.

If... Then Keep the Folder... A retirement or death claim is being processed. 120 days after separation or until notified that the claim has been processed. The agency expects to reemploy the person shortly after the separation. As long as the agency reasonably expects to reemploy the person. The employee separated under conditions that provide

reemployment or restoration rights

(for example, separation to enter military service or separation due to compensable injury). Until:

the employee returns or

reemployment/restoration rights expire. The employee is placed on a reemployment priority list. Until the employee's name is

removed from the list. The employee has an ongoing

appeal, grievance, complaint, or

similar process. Until the appeal is resolved. The employee is entitled to

severance pay. Until:

the employee is rehired or

severance pay expires.

Transferring Records to the National Personnel Records Center, Continued

Preparing folders

Follow these steps to prepare the personnel and medical folders for transfer.

Step Action	1 Check the personnel folder to make sure that it contains all the long-term documents that should be in the folder and only the long-term documents authorized in Chapter 3. Make sure that all documents are filed in chronological order. 2 Put the following documents and only these documents on the left side of the personnel folder:

Record of Leave Data (Standard Form 1150) or equivalent record of leave balances;

documentation of indebtedness to the health benefits fund for pay periods that began before September 30, 1996;

performance records. For Senior Executive Service employees, these are: annual summary ratings that are 5 years old or less; any appraisals prepared since the most recent annual summary rating; and performance plans for each rating. For all other employees, these are ratings of record that are 4 years old or less, including the performance plan on which the most recent rating was based. Ratings of record include the evaluation of the employee's performance against the elements and standards plus the summary level, pattern, and ending date of the appraisal. 3 Put long-term occupational medical records in an Employee Medical Folder, Standard Form 66-D. Oversized x-rays that will not fit in the folder may be microfiched and put in an envelope in the folder or retained by the agency. If retained, the agency should put a note in the folder explaining how to obtain the x-ray. 4 Send the folders to the National Personnel Records Center.

Follow agency instructions for documents that are not transferred to the National Personnel Records Center.

Transferring Records to the National Personnel Records Center, Continued

Retirement and death cases

When an employee retires or dies, there are special requirements for processing the separation. The Office of Personnel Management's Operating Manual, THE CSRS AND FERS HANDBOOK FOR PERSONNEL AND PAYROLL OFFICES contains the processing instructions for these actions. Follow these instructions and send the Official Personnel Folder copy of all required documents with the application for benefits as specified in the Manual.

Records erroneously left out

When long-term documents that should have been in the folder are discovered after the folders have been mailed, send them immediately to the National Personnel Records Center. Attach the documents to a cover letter that specifies whether the records should be part of the personnel or medical folder and identifies the employee by name, social security number, date of birth and date of separation. Reference the date the folder was originally sent. Clearly identify the name and address of the office submitting the records.

Notice to employees

It is good practice to tell separated employees how they can request copies of documents in their personnel and medical folders. A sample notice is on the next page of this Guide.

Chapter 8

Index of Documents

Overview

Introduction

This chapter provides two indexes for locating documents in Chapter 3 of this Guide. (Chapter 3 provides instructions for filing documents in personnel folders.)

Two indexes are available

Searching for records using different criteria is possible depending on how a form or document is identified. Some forms and documents have form numbers and codes; some do not. To assist you in finding documents in Chapter 3 of this Guide, this chapter provides:

•	Index of Documents by Form Number covers those forms listed in Chapter 3 that have an identifying number. The list is in sequence by the kind of form (Optional Form, Standard Form). Within the kind of form, the list is in numeric sequence.

•	Index of Documents by Title covers all documents listed in Chapter 3 whether they have an identifying code or not. The listing is alphabetical by title or descriptor.

In this section

This section includes the following indexes:

Topic See Page Index of Documents by Form Number 8-2 Index of Documents by Title 8-4

Index of Documents by Form Number

Civil Service Commission

Form Number	Page

8	3-7

226	3-8

492	3-9

493	3-9

617	3-9

618	3-9

648	3-9

1170	3-8

2800a	3-10

2800b	3-10

Department of Defense

Form Number	Page

214	3-11

Office of Federal Investigations

Form Number	Page

36	3-26

Optional

Form Number	Page

69	3-29

306	3-11

and	3-12

612	3-7

Office of Personnel Management

Form Number	Page

813	3-11

1170/17	3-8

1368	3-29

1468	3-36

1514	3-20

1515	3-20

1528	3-36

Office of Personnel Management

Form Number	Page

1555	3-22

1556	3-22

1560	3-22

1561	3-22

1583	3-12

1635	3-37

Retirement and Insurance

Form Number	Page

RI 20-97	3-20

RI 38-130	3-22

Standard

Form Number	Page

14	3-15

15	3-15

50	3-27

and	3-28

50-A	3-27

and	3-28

52	3-29

and	3-30

57	3-7

58	3-7

59	3-10

60	3-7

61	3-9

61-B	3-11

75	3-34

85	3-25

and	3-26

85-P	3-26

86	3-26

87	3-26

127	3-34

144	3-14

Standard

Form Number	Page

144-A	3-14

171	3-7

171-A	3-7

172	3-7

173	3-7

177	3-35

181	3-36

189	3-33

256	3-35

312	3-33

813	3-11

1126	3-29

1150	3-36

1150-A	3-36

2801-1	3-23

2802	3-23

2803	3-20

2804	3-23

2806	3-23

2809	3-18

2810	3-18

2815	3-23

2816	3-22

3100	3-23

3102	3-21

3107-1	3-23

3108	3-20

3109	3-22

3110	3-22

3111	3-22

Thrift Savings Plan

Form Number	Page

TSP 1	3-24

TSP-967-AO	3-24

Index of Documents by Title

Acknowledgement letter from Selective

Service	3-12

Agency Award Forms	3-17

Agency substitute for the Standard

Form 144-A	3-14

Alcohol Abuse	3-32

Amendment to Application for Federal

Employment	3-7

Appeals	3-32

Applicant's statement of Selective

Service Registration Status	3-12

Application for Federal Employment	3-7

Application Form	3-7

Application for 10-Point Veteran

Preference	3-15

Application to Establish Eligibility for

Conversion to Career-Conditional	3-9

Application to Establish Eligiblity for Reinstatement to Career-Conditional	3-9

Application to Make Deposit or Redeposit - Civil Service Retirement System	3-20

Application to Make Service Credit Payment for Civilian Service - Federal Employees Retirement System	3-20

Application to Make Voluntary

Contributions	3-23

Application for Refund of Retirement Deductions	3-23

Appointment Affidavit	3-9

Arbitral award	3-33

Assignment Agreement - Title IV

of the Intergovernmental Personnel

Act of 1970	3-29

Attachments to:

Applications	3-8

FERS Designation of Beneficiary	3-21

Health Benefits enrollment	3-18

Request for Waiver, Extension or

Search in Connection with Election of

FERS	3-22

Election of Coverage

for retirement	3-22

Authorization of a Career-Conditional Appointment	3-10

Authorization of individual action	3-10

Authorized by specific directive	3-32

Award justification	3-17

Awards	3-17

Birth certificate	3-32

Briefing documents	3-33

Certificate of Release or Discharge from

Active Duty	3-11

Certification of Investigation

Notice	3-25

Certification of Scholastic

Achievement	3-8

Certified Summary of Federal

Service	3-23

Claim for Veteran's Preference	3-15

Classified Information Nondisclosure

Agreement	3-33

Closed-Discontinued Notice	3-25

Closed-Incomplete Notice	3-25

Complaints	3-33

Computer-printed notice of pay

increase	3-29

Continuation Sheet for Standard

Form 171	3-7

Coverage determinations	3-20

Court order	3-33

Data for Non-sensitive or Noncritical

Sensitive Positions	3-25

and	3-26

Data for Public Trust Positions	3-26

Debriefing documents	3-33

Decisions	3-33

Declaration of Appointee	3-11

Declaration for Federal

Employment	3-11

and	3-12

Demonstration project	3-34

Deposits for Military Service	3-20

Disability Retirement	3-21

Disclosure from Personnel Folder	3-34

Drug Abuse	3-32

Drug Testing Records	3-34

Election of Retirement Coverage	3-22

Election of Federal Employees Retirement System with Credit for Nonappropriated

Fund Instrumentality Service under Public

Law 104-106	3-21

Election of Retroactive Nonappropriated

Fund Instrumentality Retirement Coverage

by Federal Employees Retirement System Employees under Public

Law 104-106	3-21

Employee Leave Record	3-36

Employee Service Statement	3-23

Estimated Earnings during Military

Service	3-20

Federal Employees Retirement System Designation of Beneficiary	3-21

Financial records	3-36

Fingerprint Chart	3-26

Form or letter authorizing individual

action	3-10

Former Spouse's Consent to Federal Employees Retirement System

Election	3-22

Garnishment	3-35

Grade and Pay Retention	3-27

Grievance	3-35

Health Benefits Registration Form	3-18

Health unit files	3-35

Indebtedness to the Health

Benefits Fund	3-19

Individual Retirement Record	3-23

Investigation Scheduled Notice	3-26

Investigative Notices	3-25

Investigative Report Material	3-26

Job Application	3-7

Job Qualification Statement	3-7

Leave records	3-36

License	3-8

Life Insurance Forms	3-19

List Forms	3-29

Managerial Probation	3-37

Medical Disability	3-35

Medical Records	3-35

Military academy service	3-11

Military Deposit Worksheet	3-20

Military Service Deposit Election	3-20

Minority Group Identifiers	3-36

National Guard service	3-11

Notice of Approval of Disability

Retirement Application	3-21

Notice of Change in Health Benefits	3-18

Notice employee elected coverage under Nonappropriated Fund Retirement

Plan	3-21

Notice that Employee Contributions

Cannot Be Made Because a Financial Hardship In-Service Withdrawal Has

Been Issued	3-24

Notice of right to elect continued retirement coverage while serving in a non-Federal organization	3-21

Notice of Short-Term Employment	3-27

and	3-28

Notification of Personnel Action	3-27

and	3-28

Notification of Earnings for Medicare

Eligiblity	3-36

Optional Application for Federal

Employment	3-7

Pay Authorization Under the Civil Service Reform Act of 1978	3-29

Pay schedule	3-29

Payroll Change Slip	3-29

Payroll records	3-36

Performance records	3-36

Performance Ratings of Record	3-36

Performance Management and Recognition System Termination	3-29

Post Office Conversion	3-10

Pre-employment Inquiries	3-12

Premium Conversion/Waiver

Election	3-19

Proof of Selection for Career (or Career- Conditional) Appointment	3-10

Race and National Origin

Identification	3-36

Race and National Origin

Identification - Hawaii	3-36

Ratings of Record	3-36

Recommendation for Conversion to Career Appointment	3-9

Recommendation by Postmaster

General	3-10

Reconstruction	3-37

Record of Leave Data	3-36

Reference checks	3-12

Request for Approval of Noncompetitive Action	3-10

Request for Official Personnel Folder (Separated Employee)	3-34

Request for Personnel Action	3-29

and	3-30

Request for Preliminary Employment

Data	3-34

Request for Waiver, Extension, or Search in Connection with Election of Federal

Employees Retirement System	3-22

Resignation	3-30

Resume	3-7

Retirement Fund Data	3-23

Retirement reason	3-30

Retirement Election for Certain Senior

Officials	3-22

Retirement, Life Insurance, and Health

Benefits under the Indian Self-

Determination and Educational

Assistance Act	3-22

School Transcripts	3-8

Security Investigation Data for Sensitive Positions	3-26

Selective Service Registration	3-12

Self-Identification of Medical

Disability	3-35

Senior Executive Service	3-13

Settlement Agreement	3-33

Special Background Investigations

Additional Data	3-26

Statement from Armed Forces	3-11

Statement of creditable military

service	3-14

Statement of creditable volunteer

service	3-14

Statement of Physical Ability for Light

Duty Work	3-35

Statement of Prior Federal Service	3-14

Statement of Prior Federal Service - Worksheet	3-14

Statement of Selective Service

Registration Status	3-12

Statements of Understanding	3-15

Supervisory Probation	3-37

Supplemental Experience and

Qualifications Statement	3-7

Supplemental Qualification Statement/List

of College Courses and Certificate of Scholastic Achievement	3-8

Supplemental Qualifications

Statement	3-8

Supporting documentation for:

Leave	3-14

Veterans' preference	3-15

Tax forms	3-36

Temporary Continuation of Health

Benefits Coverage	3-19

Test Material	3-15

Thrift Savings Plan Election Form	3-24

Time and attendance records	3-36

Transcripts:

Health Benefits	3-18

School	3-8

Service	3-31

Thrift Savings Plan	3-24

Verification of a Military Retiree's

Service in Nonwartime Campaigns or

Expeditions	3-11

Verification of prior service	3-14

Welfare to Work Program	3-37

Workers' Compensation	3-35