# GENERAL RECORDS SCHEDULE 1

# Civilian Personnel Records

Agency civilian personnel records relate to the supervision over and
management of Federal civilian employees. This schedule covers the
disposition of Official Personnel Folders of civilian employees and
other records relating to civilian personnel, wherever located in the
agency. Specifically excluded are program records of the Office of
Personnel Management (OPM), the Bureau of Medical Services (PHS/HHS),
the Office of Workers\' Compensation Programs (DOL), and the Equal
Employment Opportunity Commission. Any records created prior to January
1, 1921, must be offered to the National Archives and Records
Administration (NARA) for appraisal before these disposition
instructions may be applied.

The most important types of records, the Official Personnel Folders, the
Service Record Cards, and the Employee Medical Folders, are maintained
according to *The Guide to Personnel Recordkeeping*, an OPM manual that
prescribes a system of recordkeeping for Federal personnel.

1.  [Official Personnel Folders (OPFs).]{.underline}

> Records filed on the right side of the OPF. (See GRS 1, item 10, for
> temporary papers on the left side of the OPF). Folders covering
> employment terminated after December 31, 1920, excluding those
> selected by NARA for permanent retention.

a\. Transferred employees.

See Chapter 7 of *The Guide to Personnel Recordkeeping* for instructions
relating to folders of employees transferred to another agency.

b\. Separated employees.

Transfer folder to National Personnel Records Center (NPRC), St. Louis,
MO, 30 days after latest separation. \[See note (2) after this item\].
NPRC will destroy 65 years after separation from Federal service.

\[**NOTES**: (1) OPFs covering periods of employment terminated prior to
January 1, 1921, are not covered by this item. If an agency has such
files, it should contact NARA to request appraisal of the files. If NARA
rejects the records, the disposition for GRS 1, item 1b applies. (2)
Certain agencies have been exempted by OPM from retiring their OPFs to
NPRC. These agencies retain OPFs for the period specified in item 1b of
this schedule and effect destruction after that period has elapsed.\]

2\. [Service Record Cards]{.underline}. \[See note after item 2b.\]

Service Record Card (Standard Form (SF) 7 or equivalent).

a\. Cards for employees separated or transferred on or before December
31, 1947.

Transfer to NPRC (CPR), St. Louis, MO. Destroy 60 years after earliest
personnel action.

b\. Cards for employees separated or transferred on or after January 1,
1948.

Destroy 3 years after separation or transfer of employee.

\[**NOTE**: Effective December 31, 1994, the SF 7 card became
obsolete.\]

3\. [Personnel Correspondence Files.]{.underline}

Correspondence, reports, and other records relating to the general
administration and operation of personnel functions, but excluding
records specifically described elsewhere in this schedule and records
maintained at agency staff planning levels.

Destroy when 3 years old.

4\. [Offers of Employment Files]{.underline}.

Correspondence, including letters and telegrams, offering appointments
to potential employees.

a\. Accepted offers.

Destroy when appointment is effective.

b\. Declined offers:

\(1\) When name is received from certificate of eligibles.

Return to OPM with reply and application.

(2) Temporary or excepted appointment.

    File with application (see GRS 1, items 33k, 33l, 33m, or 33n, as
    appropriate).

(3) All others.

    Destroy immediately.

    5\. [Certificate of Eligibles Files.]{.underline}

    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.

    Destroy when 2 years old.

    6\. [Employee Record Cards]{.underline}. \[See note after this
    item.\]

    Employee record cards used for informational purposes outside
    personnel offices (such as SF 7B).

    Destroy on separation or transfer of employee.

\[**NOTE**: Effective December 31, 1994, the SF 7 card became obsolete.
Agencies may use an internal agency form.\]

7\. [Position Classification Files.]{.underline}

a.  Position Classification Standards Files.

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(1) Standards and guidelines issued or reviewed by OPM and used to
    classify and evaluate positions within the agency.

> Destroy when superseded or obsolete.
>
> \(2\) Standards and guidelines issued or reviewed by OPM and used to
> classify and evaluate positions within the agency.
>
> Correspondence and other records relating to the development of
> standards for classification of positions peculiar to the agency, and
> OPM approval or disapproval.

(a) Case file.

    Destroy 5 years after position is abolished or description is
    superseded.

    \(b\) Review File.

    Destroy when 2 years old.

b\. Position Descriptions.

> Record copy of position descriptions that include information on
> title, series, grade, duties and responsibilities, and related
> documents.
>
> Destroy 2 years after position is abolished or description is
> superseded.

c\. Survey Files.

> \(1\) Classification survey reports on various positions prepared by
> classification specialists, including periodic reports.
>
> Destroy when 3 years old or 2 years after regular inspection,
> whichever is sooner.
>
> \(2\) Inspection, audit, and survey files including correspondence,
> reports, and other records relating to inspections, surveys, desk
> audits, and evaluations.
>
> Destroy when obsolete or superseded
>
> d\. Appeals Files.
>
> \(1\) Case files relating to classification appeals, excluding OPM
> classification certificate.
>
> Destroy 3 years after case is closed.
>
> \(2\) Certificates of classification issued by OPM.
>
> Destroy after affected position is abolished or superseded.

8\. [Interview Records]{.underline}.

Correspondence, reports, and other records relating to interviews with
employees.

Destroy 6 months after transfer or separation of employee.

9\. [Performance Rating Board Case Files]{.underline}.

Copies of case files forwarded to OPM relating to performance rating
board reviews

Destroy 1 year after case is closed.

10\. [Temporary Individual Employee Records.]{.underline}

> a\. 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.
>
> Destroy when superseded or obsolete, or upon separation or transfer of
> employee, unless specifically required to be transferred with the OPF.
> See item 10b for disposition of I-9 Forms and item 23 of this schedule
> for disposition of temporary performance-related records.
>
> b\. Immigration and Naturalization Service Form I-9.
>
> Destroy 3 years after employee separates from service or transfers to
> another agency.

11\. [Position Identification Strips]{.underline}. \[See note after this
item.\]

> Strips, such as the former SF 7D, containing summary data on each
> position occupied.
>
> Destroy when superseded or obsolete.

\[**NOTE**: Effective December 31, 1994, the SF 7D became obsolete.\]

12\. [Employee Awards Files]{.underline}. \[See note after item 12d.\]

> a\. General awards records, EXCLUDING those relating to
> department-level awards.
>
> \(1\) 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.
>
> Destroy 2 years after approval or disapproval.
>
> \(2\) Correspondence pertaining to awards from other Federal agencies
> or non-Federal organizations.
>
> Destroy when 2 years old.
>
> b\. Length of service and sick leave awards files.
>
> Records including correspondence, reports, computations of service and
> sick leave, and lists of awardees.
>
> Destroy when 1 year old.
>
> 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.
>
> Destroy when 2 years old.
>
> d\. Lists of or indexes to agency award nominations.
>
> Lists of nominees and winners and indexes of nominations.
>
> Destroy when superseded or obsolete.

\[**NOTE**: Records relating to department-level awards must be
scheduled by submitting an SF 115, Request for Records Disposition
Authority, to NARA.\]

13\. [Incentive Awards Program Reports.]{.underline}

Reports pertaining to the operation of the Incentive Awards Program.

Destroy when 3 years old.

14\. [Notifications of Personnel Actions.]{.underline}

> Standard Form 50, documenting all individual personnel actions such as
> employment, promotions, transfers, separation, exclusive of the copy
> in the OPF.
>
> a\. Chronological file copies, including fact sheets, maintained in
> personnel offices.
>
> Destroy when 2 years old.
>
> b\. All other copies maintained in personnel offices.
>
> Destroy when 1 year old.

15\. [RESERVED]{.underline}

16\. [Personnel Operations Statistical Reports.]{.underline}

> Statistical reports in the operating personnel office and subordinate
> units relating to personnel.

Destroy when 2 years old.

17\. [Correspondence and Forms Files]{.underline}.

> Operating personnel office records relating to individual employees
> not maintained in OPFs and not provided for elsewhere in this
> schedule.

a\. Correspondence and forms relating to pending personnel actions.

> Destroy when action is completed.

b\. Retention registers and related records.

> \(1\) Registers and related records used to effect reduction-in-force
> actions.
>
> Destroy when 2 years old.
>
> \(2\) Registers from which no reduction-in-force actions have been
> taken and related records.
>
> Destroy when superseded or obsolete.

c\. All other correspondence and forms.

> Destroy when 6 months old.

18\. [Supervisors\' Personnel Files and Duplicate OPF
Documentation.]{.underline}

a\. 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.
>
> Review annually and destroy superseded or obsolete documents, or
> destroy file relating to an employee within 1 year after separation or
> transfer.

b\. Duplicate Documentation.

> Other copies of documents duplicated in OPFs not provided for
> elsewhere in this schedule.
>
> Destroy when 6 months old.

19\. [Individual Non-Occupational Health Record Files.]{.underline}

> Forms, correspondence, and other records, including summary records,
> documenting an individual employee\'s medical history, physical
> condition, and visits to Government health facilities, for
> nonwork-related purposes, EXCLUDING records covered by item 21 of this
> schedule.
>
> Destroy 6 years after date of last entry.

20\. [Health Unit Control Files.]{.underline}

> Logs or registers reflecting daily number of visits to dispensaries,
> first aid rooms, and health units.

a\. If information is summarized on statistical report.

> Destroy 3 months after last entry.

b\. If information is not summarized.

> Destroy 2 years after last entry.

21\. [Employee Medical Folder (EMF).]{.underline} \[See note after item
21c.\]

a\. Long-term medical records as defined in 5 CFR Part 293, Subpart E.

> \(1\) Transferred employees.
>
> See 5 CFR Part 293, Subpart E for instructions.
>
> \(2\) Separated employees.
>
> Transfer to NPRC, St. Louis, MO, 30 days after separation. NPRC will
> destroy 75 years after birth date of employee; 60 years after date of
> the earliest document in the folder, if the date of birth cannot be
> ascertained; or 30 years after latest separation, whichever is later.
>
> b\. Temporary or short-term records as defined in the Federal
> Personnel Manual (FPM).
>
> Destroy 1 year after separation or transfer of employee.
>
> c\. Individual employee health case files created prior to
> establishment of the EMF system that have been retired to a NARA
> records storage facility.
>
> Destroy 60 years after retirement to the NARA records storage
> facility.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by item 21 are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

22\. [Statistical Summaries]{.underline}. \[See not after this item.\]

> Copies of statistical summaries and reports with related papers
> pertaining to employee health, retained by the reporting unit.
>
> Destroy 2 years after date of summary or report.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by this item are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

23\. [Employee Performance File System Records]{.underline}. \[See note
after item 23b(4).\]

a\. Non-SES appointees (as defined in 5 U.S.C. 4301(2)).

> \(1\) Appraisals of unacceptable performance, where a notice of
> proposed demotion or removal is issued but not affected and all
> related documents.
>
> 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.
>
> \(2\) Performance records superseded through an administrative,
> judicial, or quasi-judicial procedure.
>
> Destroy when superseded.
>
> \(3\) Performance-related records pertaining to a former employee.
>
> \(a\) Latest rating of record 3 years old or less, performance plan
> upon which it is based, and any summary rating.
>
> Place records on left side of the OPF 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.
>
> \(b\) All other performance plans and ratings.
>
> Destroy when 4 years old.
>
> \(4\) All other summary performance appraisal records, including
> performance appraisals and job elements and standards upon which they
> are based.
>
> Destroy 4 years after date of appraisal.
>
> \(5\) Supporting documents.
>
> Destroy 4 years after date of appraisal.
>
> b\. SES appointees (as defined in 5 U.S.C. 3132a(2)).
>
> \(1\) Performance records superseded through an administrative,
> judicial, or quasi-judicial procedure.
>
> Destroy when superseded.
>
> \(2\) Performance-related records pertaining to a former SES
> appointee.
>
> \(a\) Latest rating of record that is less than 5 years old,
> performance plan upon which it is based, and any summary rating.
>
> 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 23b(2)(b) of
> this schedule.
>
> \(b\) All other performance ratings and plans.
>
> Destroy when 5 years old.
>
> \(3\) 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).
>
> Destroy 5 years after date of appraisal.
>
> \(4\) Supporting documents.
>
> Destroy 5 years after date of appraisal.

\[**NOTE**: Performance records pertaining to Presidential appointees
are not covered by the GRS. Such records must be scheduled by submitting
an SF 115 to NARA.\]

24\. [Reasonable Accommodation Request Records]{.underline}

Information created and maintained while receiving, coordinating,
reviewing, processing, approving, and reporting requests for reasonable
accommodation from federal employees and applicants under the
Rehabilitation Act of 1973 and Executive Order 13164. A reasonable
accommodation is a change in the work environment or in the way things
are customarily done that would enable an individual with a disability
to enjoy equal employment opportunities. The three categories of
reasonable accommodation are:

-   Modification or adjustments to a job application process to permit
    an individual with a disability to be considered for a job, such as
    providing application forms in large print or Braille;

-   Modifications or adjustments necessary to enable a qualified
    individual with a disability to perform essential functions of the
    job, such as providing sign language interpreters; and

-   Modifications or adjustments that enable employees with disabilities
    to enjoy equal benefits and privileges of employment, such as
    removing physical barriers in an office or cafeteria.

> This schedule includes all requests for reasonable accommodation
> and/or assistive technology devices and services offered through the
> agency or the Computer/Electronic Accommodation Program (CAP) that are
> made by or on behalf of applicants, current or former employees. Also
> included are medical records, supporting notes and documentation, as
> well as procedures and records related to processing, deciding,
> implementing, and tracking requests for reasonable accommodation(s).
>
> a\. General Files
>
> Agency-wide and departmental procedures for receiving, processing, and
> appealing requests for reasonable accommodation by employees and
> applicants. Files may include, but are not limited to, instructions,
> directives, notices, forms, timetables and guidelines for requesting,
> processing and approving requests and for appealing decisions for
> reasonable accommodation. Also included are records notifying the
> Equal Employment Opportunity Commission (EEOC), the agency's
> collective bargaining representative(s) and the agency's Equal
> Employment Opportunity office of the agency's reasonable accommodation
> request and processing procedures as well as modifications to
> established procedures.

Destroy three years after supercession or when no longer needed for
reference whichever is later.

> b\. Employee Case Files
>
> Individual employee files that are created, received, and maintained
> by EEO reasonable accommodation or diversity/disability program or
> employee relations coordinators, immediate supervisors, CAP
> administrator, or HR specialists containing records of requests for
> reasonable accommodation and/or assistive technology devises and
> services through the agency or CAP that have been requested for or by
> an employee. This series also includes, but is not limited to, request
> approvals and denials, notice of procedures for informal dispute
> resolution or appeal processes, forms, correspondence, emails, records
> of oral conversations, medical documentation, and notes.

Destroy three years after employee separation from the agency or all
appeals are concluded whichever is later.

> \[**Note:** These records are neither part of an employee's Official
> Personnel File (OPF) nor part of a supervisor's unofficial personnel
> file.\]
>
> c\. Supplemental Files

Records created, received, and maintained by EEO reasonable
accommodation or diversity/disability program or employee relation
coordinators, while advising on, implementing or appealing requests for
or from an individual employee for reasonable accommodation. Some
requests may involve HR matters, including but not limited to changes in
duties, reassignments, leave usage, and performance issues. Files may
include, but are not limited to, policy guidance, resource information
about accommodation providers, forms, emails, notes.

Destroy three years after end of fiscal year in which accommodation is
decided or all appeals are concluded, whichever is later.

> \[**Note**: These records are neither part of an employee's Official
> Personnel File (OPF) nor part of a supervisor's unofficial personnel
> file.\]
>
> d\. Tracking System

Records and data created, received, and maintained for purposes of
tracking agency compliance with Executive Order 13164 and Equal
Employment Opportunity Commission (EEOC) guidance.

> Delete/destroy three years after compliance report is filed or when no
> longer needed for reference.

25. [Equal Employment Opportunity (EEO) Records]{.underline}.

a\. Official Discrimination Complaint Case Files.

> Originating agency\'s file containing complaints with related
> correspondence, reports, exhibits, withdrawal notices, copies of
> decisions, records of hearings and meetings, and other records as
> described in 29 CFR 1614. Cases resolved within the agency, by Equal
> Employment Opportunity Commission, or by a U.S. Court.
>
> Destroy 4 years after resolution of case.
>
> b\. Copies of Complaint Case Files.
>
> Duplicate case files or documents pertaining to case files retained in
> Official Discrimination Complaint Case Files.
>
> Destroy 1 year after resolution of case.
>
> c\. Preliminary and Background Files.
>
> \(1\) Background records not filed in the Official Discrimination
> Complaint Case Files.
>
> Destroy 2 years after final resolution of case.
>
> \(2\) Records documenting complaints that do not develop into Official
> Discrimination Complaint Cases.
>
> Destroy when 2 years old.

d\. Compliance Records.

> \(1\) Compliance Review Files.
>
> Reviews, background documents, and correspondence relating to
> contractor employment practices.
>
> Destroy when 7 years old.
>
> \(2\) EEO Compliance Reports.
>
> Destroy when 3 years old.

e\. Employee Housing Requests.

> Forms requesting agency assistance in housing matters, such as rental
> or purchase.
>
> Destroy when 1 year old.

f\. Employment Statistics Files. \[See note after this item.\]

> Employment statistics relating to race and sex.
>
> Destroy when 5 years old.

\[**NOTE**: Electronic master files and databases created to supplement
or replace the records covered by this subitem are not authorized for
disposal under the GRS. Such files must be scheduled on an SF 115.\]

g\. EEO General Files.

> General correspondence and copies of regulations with related records
> pertaining to the Civil Rights Act of 1964, the EEO Act of 1972, and
> any pertinent later legislation, and agency EEO Committee meeting
> records, including minutes and reports.
>
> Destroy when 3 years old, or when superseded or obsolete, whichever is
> applicable.

h\. EEO Affirmative Action Plans (AAP).

> \(1\) Agency copy of consolidated AAP(s).
>
> Destroy 5 years from date of plan.
>
> \(2\) Agency feeder plan to consolidated AAP(s).
>
> Destroy 5 years from date of feeder plan or when administrative
> purposes have been served, whichever is sooner.
>
> \(3\) Report of on-site reviews of Affirmative Action Programs.
>
> Destroy 5 years from date of report.
>
> \(4\) Agency copy of annual report of Affirmative Action
> accomplishments.
>
> Destroy 5 years from date of report.

26\. [Personnel Counseling Records.]{.underline}

a\. Counseling Files.

> Reports of interviews, analyses, and related records.
>
> Destroy 3 years after termination of counseling.

b\. Alcohol and Drug Abuse Program.

> Records created in planning, coordinating, and directing an alcohol
> and drug abuse program.
>
> Destroy when 3 years old.

27\. [Alternative Dispute Resolution (ADR) Files]{.underline}**.**

Alternative Dispute Resolution (ADR) is any procedure, conducted by a
neutral third party, that is used to resolve issues in controversy,
including, but not limited to, conciliation, facilitation, mediation,
fact finding, minitrials, arbitration and use of ombuds. The records
covered by this schedule relate to techniques and processes used in an
agency's ADR program in resolving disputes with or between its own
employees.

\[**NOTE**: This schedule does not apply to: 1. Administrative grievance
files, 2. Adverse action files, 3. Formal and informal equal employment
opportunity proceedings, 4. Traditional EEO counseling or other records
included in the EEO file when a person chooses to go directly to ADR, or
5. Private party claims or EEOC's involvement with federal sector claims
of non-EEOC employees against other federal agencies. These records are
covered by other items in GRS 1. This schedule does not apply to ADR
records that are produced as part of an agency's primary mission.\]

> a\. General Files: General correspondence and copies of statutes,
> regulations, meeting minutes, reports, statistical tabulations,
> evaluations of the ADR program, and other records relating to the
> agency's overall ADR program.

Destroy when 3 years old. Longer retention is authorized if records are
needed for agency business.

> b\. Case Files: Records documenting ADR proceedings. These files may
> include an agreement to use ADR, documentation of the settlement or
> discontinuance of the ADR case, parties' written evaluations of the
> process and/or the neutral third party mediator, and related
> correspondence.
>
> Destroy 3 years after settlement is implemented or case is
> discontinued.

28\. [Labor Management Relations Records.]{.underline}

> a\. Labor Management Relations General and Case Files.
>
> Correspondence, memoranda, reports, and other records relating to the
> relationship between management and employee unions or other groups.
>
> \(1\) Office negotiating agreement.
>
> Destroy 5 years after expiration of agreement.
>
> \(2\) Other offices.
>
> Destroy when superseded or obsolete.
>
> b\. Labor Arbitration General and Case Files.
>
> Correspondence, forms, and background papers relating to labor
> arbitration cases.
>
> Destroy 5 years after final resolution of case.

29\. [Training Records.]{.underline}

> EXCLUDING records of formally established schools which train agency
> employees in specialized program areas, such as law enforcement and
> national defense. \[See note after item 29b.\]
>
> a\. General file of agency-sponsored training, EXCLUDING record copy
> of manuals, syllabuses, textbooks, and other training aids developed
> by the agency.
>
> \(1\) Correspondence, memoranda, agreements, authorizations, reports,
> requirement reviews, plans, and objectives relating to the
> establishment and operation of training courses and conferences.
>
> Destroy when 5 years old or 5 years after completion of a specific
> training program.
>
> \(2\) Background and working files.
>
> Destroy when 3 years old.
>
> b\. Employee training.
>
> 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.
>
> Destroy when 5 years old or when superseded or obsolete, whichever is
> sooner.

\[**NOTE**: Records excluded from this item must be scheduled by
submission of an SF 115 to NARA.\]

30\. [Administrative Grievance, Disciplinary, and Adverse Action
Files]{.underline}. \[See note after item 30b.\]

a\. Administrative Grievance Files (5 CFR 771).

> Records relating to grievances raised by agency employees, except EEO
> complaints. These case files include statements of witnesses, reports
> of interviews and hearings, examiner\'s findings and recommendations,
> a copy of the original decision, related correspondence and exhibits,
> and records relating to a reconsideration request.
>
> Destroy no sooner than 4 years but no later than 7 years after case is
> closed.
>
> b\. 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.
>
> Destroy no sooner than 4 years but no later than 7 years after case is
> closed.

\[**NOTE**: OPM has determined that agencies may decide how long, within
the range of 4 to 7 years, grievance and adverse action files need to be
retained. To implement this authority, each agency must select one fixed
retention period, between 4 and 7 years, for the entire series of its
closed cases. Agencies are not authorized to use different retention
periods for individual cases. The agency should publish the chosen
retention period in the Privacy Act notice for these records, the
agency\'s records disposition manual, and any other issuance dealing
with the disposition of these records.\]

31\. [Personal Injury Files]{.underline}.

> Forms, reports, correspondence, and related medical and investigatory
> records relating to on-the-job injuries, whether or not a claim for
> compensation was made, EXCLUDING copies filed in the Employee Medical
> Folder and copies submitted to the Department of Labor.
>
> Cut off on termination of compensation or when deadline for filing a
> claim has passed. Destroy 3 years after cutoff.

32\. [Merit Promotion Case Files]{.underline}.

> Records relating to the promotion of an individual that document
> qualification standards, evaluation methods, selection procedures, and
> evaluations of candidates.
>
> Destroy after OPM audit or 2 years after the personnel action is
> completed, whichever is sooner.

33\. [Examining and Certification Records.]{.underline}

> 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.
>
> a\. Delegated agreements.
>
> Destroy 3 years after termination of agreement.
>
> b\. 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.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> c\. Correspondence or notices received from eligibles indicating a
> change in name, address, or availability.
>
> Destroy 90 days after updating the appropriate record in the registry
> or inventory.
>
> d\. Test material stock control.
>
> Stock control records of examination test material including running
> inventory of test material in stock.
>
> Destroy when test is superseded or obsolete.
>
> e\. Application Record Card (OPM Form 5000A, or equivalent).
>
> Cut off after examination. Destroy no later than 90 days after cutoff.
>
> f\. 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.
>
> 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.
>
> g\. Register or inventory of eligibles (OPM Form 5001-C or equivalent,
> documenting eligibility of an individual for Federal jobs).
>
> Destroy 2 years after the date on which the register of inventory is
> terminated.
>
> h\. Letters to applicants denying transfer of eligibility (OPM Form
> 4896 or equivalent).
>
> Cut off annually. Destroy 1 year after cutoff.
>
> i\. Test Answer Sheets.
>
> Written test answer sheets for both eligibles and ineligibles. Filed
> by date of processing.
>
> Destroy when 6 months old.
>
> j\. Lost or Exposed Test Material Case Files.
>
> Records showing the circumstances of loss, nature of the recovery
> action, and corrective action required.
>
> Cut off files annually. Destroy 5 years after cutoff.
>
> k\. 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.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> l\. 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.
>
> \(1\) On active register or inventory.
>
> 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).
>
> \(2\) On inactive register or inventory.
>
> Cut off annually. Destroy 1 year after cut off.
>
> m\. 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.
>
> Cutoff annually. Destroy 2 years after cutoff.
>
> n\. 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.
>
> Cutoff annually. Destroy 2 years after cutoff.
>
> o\. 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.
>
> Cut off annually. Destroy 1 year after cutoff.
>
> p\. 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.
>
> Cut off annually. Destroy 2 years after cutoff.
>
> q\. 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.
>
> Cut off annually. Destroy 2 years after cutoff.
>
> r\. Interagency Placement Program (IPP) application and registration
> sheet.
>
> Destroy upon expiration of employee\'s DEP eligibility.
>
> s\. DEP control cards, if maintained.
>
> Cut off annually. Destroy 2 years after cut off.
>
> t\. Reports of audits of delegated examining operations.
>
> Destroy 3 years after date of the report.

34\. [Occupational Injury and Illness Files.]{.underline}

> Reports and logs (including Occupational Safety and Health
> Administration (OSHA) Forms 100, 101, 102, and 200, or equivalents)
> maintained as prescribed in 29 CFR 1960 and OSHA pamphlet 2014 to
> document all recordable occupational injuries and illnesses for each
> establishment.
>
> Destroy when 5 years old.

35\. [Denied Health Benefits Requests Under Spouse Equity.]{.underline}
\[See note after item 35b(2).\]

> Denied eligibility files consisting of applications, court orders,
> denial letters, appeal letters, and related papers.
>
> a\. Health benefits denied, not appealed.
>
> Destroy 3 years after denial.
>
> b\. Health benefits denied, appealed to OPM for reconsideration.
>
> \(1\) Appeal successful - benefits granted.
>
> Create enrollment file in accordance with Subchapter S17 of the **FEHB
> Handbook**.
>
> \(2\) Appeal unsuccessful - benefits denied.
>
> Destroy 3 years after denial.

\[**NOTE**: Pursuant to Subchapter S17 of the **FEHB Handbook**
enrollment files of spouses eligible for benefits are transferred to OPM
when former spouse cancels the enrollment, when enrollment is terminated
by the employing office, or when former spouse begins receiving an
annuity payment.\]

36\. [Federal Workplace Drug Testing Program Files]{.underline}. \[See
notes after item 36e(2).\]

> 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).
>
> This authorization does not apply to oversight program records of the
> Department of Health and Human Services, the Office of Personnel
> Management, the Office of Management and Budget, the Office of
> National Drug Control Policy, and the Department of Justice.
>
> a\. 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.
>
> Destroy when 3 years old or when superseded or obsolete. \[See note
> (2) after item 36e(2).\]
>
> b\. 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.
>
> Destroy when employee separates from testing-designated position.
> \[See note (2) after item 36e(2).\]
>
> c\. 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.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> d\. Records relating to the collection and handling of specimens.
>
> \(1\) \"Record Books.\"
>
> Bound books containing identifying data on each specimen, recorded at
> each collection site in the order in which the specimens were
> collected.
>
> Destroy 3 years after date of last entry. \[See note (2) after item
> 36e(2).\]
>
> \(2\) 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.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> e\. 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.
>
> \(1\) Positive results.
>
> \(a\) Employees.
>
> Destroy when employee leaves the agency or when 3 years old, whichever
> is later.
>
> \(b\) Applicants not accepted for employment.
>
> Destroy when 3 years old. \[See note (2) after item 36e(2).\]
>
> \(2\) Negative results.
>
> Destroy when 3 years old.

\[**NOTES**: (1) Disciplinary action case files pertaining to actions
taken against employees for drug use, drug possession, failure to comply
with drug testing procedures, and similar matters are covered by GRS 1,
item 30b, which authorizes destruction of records between 4 and 7 years
after the case is closed. (2) Any records covered by items 36 a-e that
are relevant to litigation or disciplinary actions should be disposed of
no earlier than the related litigation or adverse action case file(s).\]

37\. [Donated Leave Program Case Files.]{.underline}

> Case files documenting the receipt and donation of leave for medical
> emergencies, including recipient applications, agency approvals or
> denials, medical or physician certifications, leave donation records
> or OF 630-A, supervisor/timekeeper approvals, leave transfer records,
> payroll notification records, and leave program termination records.
>
> Beginning in January 1994, destroy 1 year after the end of the year in
> which the file is closed.

38\. [Wage Survey Files.]{.underline}

> Wage survey reports and data, background documents and correspondence
> pertaining to area wages paid for each employee class; background
> papers establishing need, authorization, direction, and analysis of
> wage surveys; development and implementation of wage schedules; and
> request for an authorization of specific rates (excluding authorized
> wage schedules and wage survey recapitulation sheets).
>
> Destroy after completion of second succeeding wage survey.

39\. [Retirement Assistance Files.]{.underline}

> Correspondence, memoranda, annuity estimates, and other records used
> to assist retiring employees or survivors claim insurance or
> retirement benefits.

Destroy when 1 year old.

40\. [Handicapped Individuals Appointment Case Files.]{.underline}

> 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.
>
> Destroy 5 years following the date of approval or disapproval of each
> case.

41\. [Pay Comparability Records.]{.underline}

> Records created under implementation of the Federal Employees Pay
> Comparability Act including written narratives and computerized
> transaction registers documenting use of retention, relocation and
> recruitment bonuses, allowances, and supervisory differentials, and
> case files consisting of requests for and approval of recruitment and
> relocation bonuses and retention allowances.
>
> Destroy 3 years following the date of approval or upon completion of
> the relevant service agreement or allowance, whichever is later.

42\. [Alternate Worksite Records.]{.underline}

> a\. Approved requests or applications to participate in an alternate
> worksite program; agreements between the agency and the employee; and
> records relating to the safety of the worksite, the installation and
> use of equipment, hardware, and software, and the use of secure,
> classified information or data subject to the Privacy Act.
>
> Destroy 1 year after end of employee\'s participation in the program.
>
> b\. Unapproved requests.
>
> Destroy 1 year after request is rejected
>
> c\. Forms and other records generated by the agency or the
> participating employee evaluating the alternate worksite program.
>
> Destroy when 1 year old, or when no longer needed, whichever is later.

43\. [Electronic Mail and Word Processing System Copies]{.underline}.

> 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 this schedule. Also
> includes electronic copies of records created on electronic mail and
> word processing systems that are maintained for updating, revision, or
> dissemination.
>
> a\. 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.
>
> Destroy/delete within 180 days after the recordkeeping copy has been
> produced.
>
> b\. Copies used for dissemination, revision, or updating that are
> maintained in addition to the recordkeeping copy.
>
> Destroy/delete when dissemination, revision, or updating is completed.