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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/feddata/recguide.pdf or http://www.opm.gov/feddata/Federalr.txt.)

Where any of these documents are needed in connection with administrative or negotiated grievance procedures, or quasi-judicial or judicial proceedings, they may be retained as needed beyond the identified retention schedules.

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 no