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Human Resources Management Head Graphic

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 Management’s records, although they are in the physical custody of the Department of Agriculture. The Office of Personnel Management’s 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.

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

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 individual’s 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 Management’s 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.

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.

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.

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.

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.

g. Generally, agencies retain records on former employees for no longer than 1 year after the employee leaves.

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.

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.

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.

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.

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

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

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

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

4300-008 Reasonable Accommodations

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 employee’s 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 employee’s service with the agency. Agencies may use the Employee Medical Folder to store medical records during the employee’s 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

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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