Office of the Chief Information Officer

United States Department of Agriculture

Employee Relations Records

Alternative Dispute Resolution (ADR) - ADR program files. This item refers to the program management and routine activities of offices running ADR processes.  Includes:

  • program-related correspondence (excludes case-related correspondence)
  • copies of statutes, regulations
  • meeting minutes
  • final reports provided to senior management, oversight agencies, and related records and data created, received, and maintained for purposes of tracking agency compliance with relevant Executive Order(s), as amended
  • copies of records of financial payments and authorizations to mediators and/or facilitators (excludes copies held by financial offices)
  • evaluation records of the ADR program
  • other records relating to the agency’s overall administration of its ADR program

Retention

Destroy when 3 years old, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 010

Disposal Authority

DAA-GRS-2015-0007-0001

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Alternative Dispute Resolution (ADR) Case Files - Informal process. This item includes records that are not associated with another employee dispute, complaint or grievance process.  Includes:

  • agreements 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
  • correspondence related to intake, process, settlement, and evaluations (excluding evaluations of ADR program)

Retention

Destroy 3 years after case is closed, but longer disposition is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 011

Disposal Authority

DAA-GRS-2015-0007-0002

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Alternative Dispute Resolution (ADR) Case Files - Formal process. This item includes originals and copies of records generated in response to a referral from another dispute, grievance or complaint process (like EEO complaints or grievances).  Includes:

  • agreements 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
  • correspondence related to intake, process, settlement, and evaluations (excluding evaluation records of ADR programs)

Retention

Destroy 7 years after case is closed, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 012

Disposal Authority

DAA-GRS-2015-0007-0003

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Reasonable accommodation program files. Administrative records not linked to a case file.  Includes:

  • instructions
  • directives
  • notices
  • timetables and guidelines for requesting, processing and approving requests and for appealing decisions for reasonable accommodation
  • reports provided annually to oversight agencies such as the Equal Employment Opportunity Commission (EEOC), related records, and data created, received, and maintained for purposes of tracking agency compliance with relevant Executive Order(s), as amended, and EEOC guidance
  • notification records to internal and external stakeholders such as the EEOC, collective bargaining representative(s), and agency EEO offices

Retention

Destroy 3 years after being superseded, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 020

Disposal Authority

DAA-GRS-2015-0007-0004

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Reasonable accommodation employee case files. Individual employee files created, received, and maintained by EEO reasonable accommodation, diversity/disability programs, employee relations coordinators, supervisors, administrators, or HR specialists containing records of requests for reasonable accommodation and/or assistive technology devices and services that have been requested for or by an employee.   Includes:

  • request approvals and denials
  • notice of procedures for informal dispute resolution or appeal processes, including ADR processes
  • forms
  • correspondence
  • emails
  • policy guidance documents
  • records of oral conversations
  • medical records
  • supporting notes and documentation

Retention

Destroy 3 years after employee separation from the agency or all appeals are concluded whichever is later, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 021

Disposal Authority

DAA-GRS-2015-0007-0005

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


EEO program files.  General program-related correspondence and copies of regulations with related records that pertain to the Civil Rights Act of 1964, the EEO Act of 1972, and any other pertinent legislation, and agency EEO Committee meeting records.

Retention

Destroy when 3 years old, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 030

Disposal Authority

DAA-GRS-2015-0007-0006

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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EEO official discrimination complaint case files – Informal process. Cases resolved within the agency that did not go to the formal process stage. Includes:

  • intake sheet
  • summary report
  • notes
  • supporting documentation
  • correspondence

Note: If a formal case is filed, all records in the prior informal case are covered by Item 032.

Retention

Destroy 3 years after resolution of case, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 031

Disposal Authority

DAA-GRS-2015-0007-0007

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


EEO official discrimination complaint case files – Formal process. Originating agency's file containing complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other official complaint case file records. Includes cases resolved within the agency, by the Equal Employment Opportunity Commission, or by a U.S. Court.

Note: This item includes all records gathered in the informal process which become the formal process case file once a formal complaint is filed.

Retention

Destroy 7 years after resolution of case, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 032

Disposal Authority

DAA-GRS-2015-0007-0008

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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EEO case files that did not result in an EEO complaint.   Includes cases that did not result in an official formal or informal EEO complaint.

Retention

Destroy 2 years after final resolution of case, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 033

Disposal Authority

DAA-GRS-2015-0007-0009

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


EEO compliance review files.   Reviews, background documents, and correspondence relating to contractor employment practices.

Retention

Destroy when 7 years old, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 034

Disposal Authority

DAA-GRS-2015-0007-0010

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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EEO reports and employment statistics files.  Includes the annual report to the EEOC, the annual report to Congress on the No FEAR Act, quarterly/monthly reports to senior leadership, and other related reports required by EEOC’s MD 715 (such as the Analysis and Action Plans) or succeeding guidance as well as employment statistics files which support reporting requirements to Congress, the EEOC and other oversight entities.

Retention

Destroy when 5 years old, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 035

Disposal Authority

DAA-GRS-2015-0007-0011

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Labor management relations agreement negotiation records.  Office responsible for negotiations.  Records relating to negotiations with labor unions.  Includes:

  • negotiation agreements
  • requests to bargain
  • bargaining session records/notes
  • correspondence
  • memoranda
  • reports
  • forms
  • other records relating to the negotiated agreements and general relationship between management, employee unions and other groups

Retention

Destroy 5 years after expiration of agreement, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 050

Disposal Authority

DAA-GRS-2015-0007-0014

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Labor management relations agreement negotiation records.  All other offices.  Records relating to negotiations with labor unions.  Includes:

  • negotiation agreements
  • requests to bargain
  • bargaining session records/notes
  • correspondence
  • memoranda
  • reports
  • forms
  • other records relating to the negotiated agreements and general relationship between management, employee unions and other groups

Retention

Destroy when no longer needed for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 051

Disposal Authority

DAA-GRS-2015-0007-0015

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Labor Arbitration – Correspondence, forms, case files regarding labor arbitration cases.

Retention

Destroy 5 years after final resolution of case, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 052

Disposal Authority

DAA-GRS-2015-0007-0016

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Administrative Grievance, Disciplinary and Adverse Action – Records relating to grievances raised by covered entities/individuals such as non-bargaining agency employees. Includes formal and informal administrative grievance processes.  Includes:

  • grievance documents (copy of original grievance submission and supporting documentation/evidence
  • statements of witnesses
  • reports of interviews and hearings
  • examiner's findings and recommendations
  • copy of the original decision
  • related correspondence and exhibits

Retention

Destroy no sooner than 4 years but no less than 7 years after case is closed.

GRS or Approved Records Schedule

GRS 2.3, Item 060

Disposal Authority

DAA-GRS-2015-0007-0017

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Administrative Grievance, Disciplinary and Adverse Action – Adverse action files. Case files and records related to effected adverse actions against employees.  Includes:

  • copy of the proposed adverse action
  • supporting documents
  • statements of witnesses
  • employee's reply
  • hearing notices
  • reports
  • decisions
  • appeal records
  • supporting documentation of letters of reprimand

Exclusion: Excludes letters of reprimand which are filed in the OPF.

Retention

Destroy no sooner than 4 years but no later than 7 years after case is closed.

GRS or Approved Records Schedule

GRS 2.3, Item 061

Disposal Authority

DAA-GRS-2015-0007-0018

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Administrative Grievance, Disciplinary and Adverse Action – Performance-based action files. Case files and records related to effected performance based actions against employees.  Includes:

  • performance appraisal
  • performance improvement plan
  • supporting documents
  • copy of the proposed performance-based action
  • employee’s reply
  • decision notices
  • hearing notices
  • appeal records

Retention

Destroy no sooner than 4 years but no later than 7 years after case is closed.

GRS or Approved Records Schedule

GRS 2.3, Item 062

Disposal Authority

DAA-GRS-2015-0007-0023

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Displaced employee program files. Includes:

  • program related correspondence
  • program implementation records
  • reporting and tracking files sent to oversight agencies such as OPM, and to senior level management
  • control files
  • information collected about displaced employees

Retention

Destroy 3 years after being superseded, but longer disposition is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 070

Disposal Authority

DAA-GRS-2015-0007-0019

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017



Displaced employee program application records. Includes:

  • applications
  • registrations
  • forms
  • data
  • other related documentation

Retention

Destroy when employee is no longer eligible for displaced employee programs, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 071

Disposal Authority

DAA-GRS-2015-0007-0020

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Telework/alternative worksite program files. Records generated by the designated Telework Managing Officer (TMO), agency telework coordinators and other related staff. Includes:

  • correspondence
  • notes
  • policy implementation documents
  • form development files
  • planning records
  • program evaluation documentation/data
  • reports provided to senior management and oversight agencies such as OPM
  • other related records generated by the agency or by participating employees

Retention

Destroy when 3 years old, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 080

Disposal Authority

DAA-GRS-2015-0007-0021

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Forms, requests, or applications to participate in telework/alternate worksite programs. Includes:

  • agreements between the agency and the employee
  • records such as questionnaires relating to the safety of the worksite
  • forms, checklists and similar records regarding the installation and use of equipment, hardware, and software
  • the use of secure, classified information or data subject to the Privacy Act, or agencies’ Personally Identifiable Information policies

Note:  “End of employee participation” in the disposition instruction refers to if employee leaves telework entirely, is rejected, denied, or barred from telework, has significant changes in telework or agency position such that a new agreement is signed, or employee leaves Federal employment.

Retention

Destroy 1 year after end of employee's participation in the program, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.3, Item 081

Disposal Authority

DAA-GRS-2015-0007-0022

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017