RD Instruction 2054-V

Table of Contents

Page 1

PART 2054 - EMPLOYMENT

Subpart V - Basic Personnel Records and Files System

## TABLE OF CONTENTS

[Sec]{.underline}. [Page]{.underline}

2054.1051 General. 1

2054.1052 Definitions. 1

\(a\) Official Personnel Folder (OPF). 1

\(b\) Employee Medical Folder (EMF). 1

\(c\) Merged Records Personnel Folder (MRPF). 1

\(d\) Employee Performance File (also Folder) (EPF). 1

\(e\) Disclosure. 2

\(f\) Long-Term records. 2

\(g\) Temporary records. 2

\(h\) Personnel Action. 2

2054.1053 The Chronological journal file. 2

2054.1054 \[Reserved\] 3

2054.1055 Responsibility. 3

2054.1056 Maintenance. 3

\(a\) General. 3

\(b\) Arrangement of material within folders. 4

2054.1057 \[Reserved\] 5

2054.1058 Transferring Official Personnel Records and Folders. 5

\(a\) Requesting records and folders (OPFs, MRPFs, and EMFs) 5

for prior service.

\(b\) Retention in the Agency. 7

\(c\) Transferring records and folders. 7

d.  \(d\) Retirement and death cases. 8

> \(e\) Records erroneously left out after transfer
>
> of folder(s). 8

\(f\) Notice to employees. 9

2054.1059 - 2054.1060 \[Reserved\] 9

2054.1061 Employee Performance File System (EPFS) records. 9

\(a\) Purpose. 9

\(b\) Location of records. 9

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[Sec]{.underline}. [Page]{.underline}

\(c\) Contents of the EPF. 10

\(d\) Retention of records. 10

\(e\) Disposition of records. 11

2054.1062 - 2054.1065 \[Reserved\] 11

2054.1066 Employee Medical Folder. 11

\(a\) Purpose. 11

\(b\) Contents. 11

\(c\) Drug testing records under Executive Order 12564. 13

\(d\) Designated Manager of EMFs. 13

\(e\) Location of records. 13

\(f\) Transferring EMFs. 13

\(g\) Retention of records. 14

\(h\) Disposition of records. 14

2054.1067 Disclosure of records from OPFs, MRPFs,

EPFs, and EMFs. 15

2054.1068 - 2054.1100 \[Reserved\] 15

## oOo

RD Instruction 2054-V

PART 2054 - EMPLOYMENT

Subpart V - Basic Personnel Records and Files System

§ 2054.1051 [General]{.underline}.

Under the provisions of Executive Order 12107, Official Personnel
Folders (OPFs) and Merged Records Personnel Folders (MRPFs) are
designated as the property of the U.S. Office of Personnel Management
(OPM). The OPM Operating Manuals, \"The Guide to Personnel
Recordkeeping\" and \"The Guide to Processing Personnel Actions,\"
contain instructions for the establishment, maintenance, and transfer of
the OPFs, MRPFs, the Employee Performance File (EPF), and the Employee
Medical Folder (EMF). This Instruction supplements OPM\'s and the U.S.
Department of Agriculture (USDA) instructions and describes the Rural
Development procedures and methods for establishing, maintaining,
transferring, and disposing of OPFs and related \"For Official Use
Only\" records.

§ 2054.1052 [Definitions]{.underline}.

\(a\) [Official Personnel Folder, Standard Form 66 (SF-66)]{.underline}.
A folder that contains records and documents related to civilian
employment, as defined in Title 5 U.S.C., and is established for each
employee in an organization of the Federal Government.

\(b\) [Employee Medical Folder, Standard Form 66-D
(SF-66D)]{.underline}. A separate folder that contains all
occupationally related civilian employee medical records created during
the course of an individual\'s Federal civilian service.

\(c\) [Merged Records Personnel Folder, Standard Form 66-C]{.underline}.
A folder that contains records and documents related to employment under
both the civil service personnel systems and other Federal personnel
systems (i.e., FBI, State Department, and Post Office).

\(d\) [Employee Performance File, Item \# 212]{.underline}. An envelope
(which may be ordered from the Rural Development Warehouse in Granite
City, Illinois) maintained on the left side of the OPF/MRPF that
contains performance appraisals and related records created during
Federal service. As an alternative, servicing Human Resources offices
may establish a separate folder in which to maintain the EPF envelope.

DISTRIBUTION: WSAL Human Resources

Employment

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RD Instruction 2054-V

§ 2054.1052 (Con.)

\(e\) [Disclosure]{.underline}. To provide an individual\'s records or
data to someone other than the individual data subject.

\(f\) [Long-term records]{.underline}. Documents placed on the
right-hand side of the OPF (formerly referred to as \"permanent\"
records). Only documents authorized by OPM may be placed on the right
side of the OPF. Long-term records are kept for the life of the folder.
When an employee separates from Federal service, the folders are stored
by the National Archives and Records Administration (NARA), National
Personnel Records Center (NPRC) in St. Louis, Missouri, until retention
requirements expire. Folders are retained for 65 years from date of last
separation from Federal employment.

\(g\) [Temporary Records]{.underline}. Documents placed on the left-hand
side of the OPF record that, in most cases, are not sent with the OPF
but may be returned to the employee or destroyed either after the
individual leaves the agency or in accordance with the records and
dispositions schedule.

\(h\) [Personnel Action]{.underline}. The record of any action processed
to appoint, affect, or separate an employee by use of Standard Form 52,
\"Request for Personnel Action,\" Standard Form 50/50-B, \"Notification
of Personnel Action,\" or other document approved by OPM.

§ 2054.1053 [The Chronological Journal File (CJF)]{.underline}.

Servicing Human Resources offices may, at their option, establish and
maintain a CJF. The CJF consists of copies of Standard Form 50/50-B,
\"Notification of Personnel Action\" and should be arranged in the
following order:

\(a\) Fiscal year.

\(b\) Within the fiscal year by the following categories:

\(1\) Accessions.

\(2\) Changes.

\(3\) Separations.

\(c\) The Standard Form 50/50-B\'s should be filed in the CJF as they
are received from the National Finance Center (NFC). Personnel action
documents will be retained no longer than 2 years after the effective
date.

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RD Instruction 2054-V

§ 2054.1053 (Con.)

\(d\) In accordance with 5 CFR 293.106, the files will be stored in
metal filing cabinets, which are locked when the records are not in use,
or in a secured room. Alternative storage facilities may be used
provided they furnish an equivalent or greater degree of security than
these methods. Except for access by the data subject, only employees
whose official duties require access shall be allowed to handle and use
personnel records. To the extent feasible, entry into the personnel
record storage areas shall be similarly limited.

§ 2054.1054 \[Reserved\]

§ 2054.1055 [Responsibility]{.underline}.

Servicing Human Resources offices are responsible for the proper
establishment and maintenance of all OPFs, MRPFs, EPFs, and EMFs, for
employees under their jurisdiction. These folders, as appropriate, will
be maintained for each active employee in the manner described by the
OPM Operating Manual, \"The Guide to Processing Personnel Actions,\" and
this Instruction. The EPF will be maintained as indicated in § 2054.1061
of this Instruction. The EMF will be maintained as indicated in §
2054.1066 of this Instruction. Each servicing Human Resources office
will determine the employees who will have access to its personnel
records. The confidential nature of certain material must be protected,
as provided in § 2054.1067 of this Instruction. An employee or former
employee may examine his/her OPF and related personnel records as
provided in Chapter 6 of the OPM Operating Manual, \"The Guide to
Personnel Recordkeeping.\" OPM requires that necessary safeguards be
taken to control the review of restricted material, including
examination papers, and material attached to the application, medical
certificates, and other documents pertaining to an employee\'s medical
history, confidential questionnaires, and other information furnished in
confidence.

§ 2054.1056 [Maintenance]{.underline}.

\(a\) [General]{.underline}. Records of individual employees of Rural
Development will be maintained in the OPF, MRPF, EPF, and EMF. Only
official codes authorized by NPRC are permitted on the front of the
folders. Do not add any other markings, notations, or tabs to the
folders.

\(1\) Personnel [folder labels]{.underline}. White labels will be used
for all personnel Folders. The labels must have the following three
items:

\(i\) [Name]{.underline}. Type the employee\'s full name exactly as it
appears on Standard Form 50/50-B (last name first).

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§ 2054.1056(a)(1) (Con.)

\(ii\) [Date of Birth]{.underline}. Type the date of birth in month, day
and year order, in six numbers with dashes between the day, month and
year. Example: January 14, 1994, is typed as 01-14-94.

\(iii\) [Social Security Number (SSN)]{.underline}. Type employee\'s SSN
directly under the name. Show the SSN for all United States citizens and
for all foreign nationals serving in the United States and non-foreign
areas as listed in 5 CFR 591.202. Use \"FNO\" instead of the SSN for
foreign nationals serving in locations other than the 50 states or
nonforeign areas listed in 5 CFR 591.202. Examples:

Doe, Jane R. 01-06-34 Smith, Mary J. 06-21-60

SSN 999-99-9999 FNO

\(2\) [Storage of folders.]{.underline} Folders for active employees
will be kept in metal locked cabinets in a single alphabetical series.
When an active employee is separated, except by transfer, his/her folder
will be removed from the current files and re-filed in a location for
separated folders.

\(b\) [Arrangement of material within folders]{.underline}. Material to
be filed in personnel folders will be divided into two sections,
long-term documents and temporary documents, and will be acco-fastened
to the positions of the upper right or lower left side of the folder as
indicated in Chapter 3 of the OPM Operating Manual, \"The Guide to
Personnel Recordkeeping.\"

\(1\) [Right side (upper right) - long-term documents]{.underline}. The
right side of the personnel folder is reserved for long-term documents.
[ONLY]{.underline} documents authorized by OPM may be placed on the
right side of the folder. In general, these include documents
representing a formal action which constitute the official record or
make a substantial contribution to an employee\'s status and service.
These documents are listed in Chapter 3 of the OPM Operating Manual,
\"The Guide to Personnel Recordkeeping\" together with filing
instructions. Documents must be filed in chronological order by
effective date with the most recent effective date on top. When forms
have no effective date, file them by completion date. When more than one
form has the same effective date, file them in any order within the
effective date.

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RD Instruction 2054-V

§ 2054.1056(b) (Con.)

\(2\) [Left side (lower left) - temporary documents]{.underline}. In
general, this includes documents leading to a formal action but not
constituting a record of it and not making a substantial contribution to
the employee\'s status and service. During the time the official folder
remains in the custody of the servicing Human Resources office,
correspondence and forms of a temporary nature will be destroyed in
accordance with the OPM Operating Manual, \"The Guide to Processing
Personnel Actions.\" Examples of documents placed on the left side of
the OPF are:

\(i\) Completed Standard Form 52, except where it is used as the
official document or contains the employee\'s resignation,

\(ii\) Completed Option Form (OF) 8, \"Position Description,\" and the
official position description, (Revised 08-23-06, PN 401.)

\(iii\) Letters of reprimand (retained no longer than 2 years), and

\(iv\) Standard Form 1152, \"Description of Beneficiary for Unpaid
Compensation.\"

\(3\) [Records and documents prohibited from being filed in the OPF or
MRPF]{.underline}. Prohibited documents are records that must never be
placed in a personnel folder. The prohibition may come from law, such as
the Privacy Act, or from regulations such as 29 CFR, Labor. Prohibited
documents are listed in the tables of Chapter 3 of the OPM Operating
Manual, \"The Guide to Personnel Recordkeeping.\"

§ 2054.1057 \[Reserved\]

§ 2054.1058 [Transferring Official Personnel Records and
Folders]{.underline}.

\(a\) [Requesting records and folders (OPFs, MRPFs, and EMFs) for prior
service]{.underline}. Servicing Human Resources offices must request the
personnel records and folders for new employees with prior Federal
civilian service when the employee begins work. Where and how to request
prior service depends on the type of prior service the employee had and
whether she or he currently is a Federal employee. Generally, the
records and folders will be requested from the last servicing Human 5

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RD Instruction 2054-V

§ 2054.1058(a) (Con.)

Resources office if not more than 90 days have elapsed since termination
of employment, or from the NPRC if more than 90 days have elapsed.
Follow the instructions in Chapter 2 of the OPM Operating Manual, \"The
Guide to Personnel Recordkeeping\" for guidance on establishing
interagency personnel records, identifying prior Federal civilian
service, requesting records for prior service, and reviewing and
combining personnel folders, medical folders and performance records.

\(1\) [Requesting records and Official Folders from another Human
Resources office]{.underline}. Servicing Human Resources should not
request an employee\'s folder until after the appointment date. When
arrangements have been made for the transfer (or appointment without a
break in service) of an employee from another Human Resources office or
for reemployment within 90 days after separation, request the records or
folder by using an extra copy of the SF-52, the SF-50 used to effect the
transfer, or by memorandum as desired. Be sure the name, title, and
address of the requesting Human Resources office representative are
included in the memorandum. If an extra copy of SF-52 or SF-50 is used,
include the address of the requesting Human Resources office on the
form.

\(2\) Requesting Official Folders from NPRC. To request any personnel
folder(s), send a completed SF-127, \"Request for Official Personnel
Folder\" in duplicate, to the National Archives and Records
Administration, National Personnel Records Center, 111 Winnebago Street,
St. Louis, Missouri 63118-4126. To request any medical folder(s), send a
completed SF-184, \"Request for Employee Medical Folder\" to the same
address.

\(3\) Requests for EMFs. When a former Federal employee is re-employed,
and the Human Resources office believes an EMF exists, either at the
last employing agency or at the NPRC, the designated Human Resources
representative will request the EMF no sooner than 30 days after the
date of the new appointment. (5 CFR 293.510) No EMFs will be routinely
retrieved during the initial review process except when authority exists
for the agency to require a medical evaluation prior to reaching a
decision on employability. EMFs are transferred by the NPRC only to the
designated Human Resources representative shown on the request form.

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RD Instruction 2054-V

§ 2054.1058 (Con.)

\(b\) [Retention in the Agency]{.underline}. Folders of separated
employees must be retained for at least 30 days after separation. (5 CFR
293.307) Human Resources offices may normally retain the OPF for up to
90 days after the effective date of the employee\'s separation,
resignation, or removal to collect all outstanding documents. Folders
may be retained longer when administratively necessary, e.g.,
retirement, death-in-service, or allegation of discrimination cases.

\(c\) [Transferring records and folders]{.underline}.

\(1\) When an employee transfers to another agency or Human Resources
office, the records should be sent to the new agency or office within 5
days of the request. If the employee is leaving Federal service, send
the personnel records to the NPRC. Chapter 7 of the OPM Operating
Manual, \"Guide to Personnel Recordkeeping,\" describes the procedures
used to transfer records.

\(2\) Under normal circumstances, the servicing Human Resources office
should send the personnel folder, including performance records and the
medical folder, to the NPRC within 90 days after the employee separates
from Federal service. Servicing Human Resources offices may need to
retain the folders for more than 90 days under circumstances such as the
following:

\(i\) *A retirement or death claim is being processed.* Keep the folder
for 120 days after separation or until notified that the claim has been
processed.

\(ii\) *The agency expects to reemploy the person shortly after the
separation.* Keep the folder as long as the agency reasonably expects to
reemploy the person.

\(iii\) *The employee separated under conditions that provide
reemployment or restoration rights (for example, separation to enter the
military service or due to compensable injury).* Keep the folder until
the employee returns or reemployment/restoration rights expire.

\(iv\) *The employee is placed on a reemployment priority list.* Keep
the folder until the employee\'s name is removed from the list.

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RD Instruction 2054-V

§ 2054.1058(c)(2) (Con.)

\(v\) *The employee has an ongoing appeal, grievance, complaint, or
similar process.* Keep the folder until the process is resolved.

\(vi\) *The employee is entitled to severance pay.* Keep the folder
until the employee is rehired or severance pay expires.

\(3\) Personnel records and folders that are shipped or mailed should be
securely packaged and sealed. Single folders should be sent in an
envelope. Use a padded envelope or standard shipping box (such as FedEx)
instead of a standard mailing envelope to provide greater protection in
the mailing process. Include a list of employee names and SSNs for each
folder mailed. Folders can be sent by regular first class mail but it is
recommended that certified, return receipt mail be used since this
procedure is less expensive than reconstructing lost files.

\(d\) [Retirement and death cases]{.underline}. When an employee retires
or dies, there are special requirements in processing the separation.
Refer to the OPM Operating Manual, \"The CSRS and FERS Handbook for
Personnel and Payroll Offices,\" for processing instructions for these
actions.

\(e\) [Records erroneously left out after transfer of
folder(s)]{.underline}. When long-term documents that should have been
in the folder(s) are discovered after the folders have been mailed, send
them immediately to the new Human Resources office or the NPRC. Attach
the documents to a cover letter that specifies whether the records
should be part of the personnel or medical folder. The following
information must be included:

\(1\) Employee name;

\(2\) Social Security Number;

\(3\) Date of Birth;

\(4\) Date of Separation;

\(5\) Reference to the date the folder was originally sent; and

\(6\) The name and address of the Human Resources representative
submitting the records.

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RD Instruction 2054-V

§ 2054.1058 (Con)

\(f\) [Notice to employees]{.underline}. Advise separated employees how
they can request copies of documents in their personnel and medical
folders. See Chapters 6 and 7 of the OPM Operating Manual, \"The Guide
to Personnel Recordkeeping.\" A sample written notice for separated
employees is included in Chapter 7.

§§ 2054.1059 - 2054.1060 \[Reserved\]

§ 2054.1061 [Employee Performance File System (EPFS)
Records]{.underline}.

The EPFS consists of all performance appraisals, performance plans,
awards, and other performance related records.

\(a\) [Purpose]{.underline}. The EPFS provides for maintenance of all
performance-related records used not only by Rural Development but also
by other Federal agencies. The records are used: (1) to assist rating
officials in monitoring and rating performance; (2) to provide employees
with information on their actual performance or matters affecting
performance and on how, if necessary, their performance can be improved;
and (3) as a basis for decisions involving pay, assignments,
reassignments, promotions, rewards, training, retention standing in
reduction-in-force, demotions, removals, and remedial actions.

\(b\) [Location of records]{.underline}. Performance records, including
performance appraisals, plans, and supporting documentation can be filed
as follows:

\(1\) The records may be filed on the left-hand side of the OPF in an
envelope acco-fastened to the bottom of the OPF. The envelope should
always remain on top of all other documentation on the temporary side of
the OPF.

\(2\) The records may be filed in an envelope acco-fastened to the
bottom of the left-hand side a separate folder labeled in accordance
with § 2054.1056(a)(1) of this instruction. File the folder immediately
behind the OPF.

\(3\) Performance appraisals and plans may be stored electronically in
Rural Development's automated Human Resources system [only]{.underline}
if there is no additional supporting documentation that must be filed
manually with the records (e.g., paper production records used to
justify a rating).

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RD Instruction 2054-V

§ 2054.1061 (Con.)

\(c\) [Contents of the EPF]{.underline}. The envelope will contain
copies of the following:

\(1\) Performance appraisals and plans;

\(2\) Awards with documentation;

\(3\) General letters of appreciation;

\(4\) Relevant records created during appeals (this does not include
actual appeal documentation);

\(5\) Any documents concerning the denial of a Within-Grade-Increase
(WGI) or reflecting that a request for reconsideration of a WGI denial
has been made and its outcome (the actual request-for-reconsideration
file is established as a separate file and is not part of the EPFS); and

\(6\) Any records relating to conduct matters that agency officials
believe are so interrelated to performance as to warrant retention in
the EPF. Care must be exercised that such records are not relied upon
when taking a performance-based action as defined in 5 CFR 432.

\(d\) [Retention of records]{.underline}.

\(1\) Performance appraisals (including the performance plan documenting
the elements and standards) will be retained in the EPF for 4 years (5
years for Senior Executive Service employees). Outdated appraisals may
be either shredded or returned to the employee (clearly marked as an
obsolete record).

\(2\) All appraisals (non-SES employees only) supporting a demotion or
removal for unacceptable performance must be removed from the EPF if the
Agency decides not to take action because of the employee's improved
performance, and the employee's performance continues to be acceptable
for one year. The removal of the appraisal at the end of a year of
acceptable performance (i.e., from the date of the notice of proposed
removal or demotion) must be accomplished no later than 30 calendar days
following the end of that year.

\(3\) Performance-related documents needed in connection with an ongoing
administrative, negotiated, quasi-judicial, or judicial proceeding may
be retained for as long as necessary.

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RD Instruction 2054-V

§ 2054.1061(d) (Con.)

\(4\) Records may be retained in connection with an appeal, grievance,
or complaint for as long as necessary.

\(5\) Records may be removed as the result of a settlement, grievance
procedure, or other administrative action approved by management.

\(6\) Records may be removed as a result of a court order. When changes
or removal of performance-related records are necessary, they shall be
made as soon as possible, but not more than 30 calendar days after the
final decision is rendered.

\(e\) [Disposition of records]{.underline}.

e.  

\(1\) \"Summary\" or \"ratings of record\" appraisals that are 4 years
old or less must be taken out of the EPF (or printed from the electronic
file) and attached to the left side of the OPF to be forwarded to the
next servicing Human Resources office. In accordance with 5 CFR 293.405,
the losing office will purge records that are more than 4 years old.
Additionally, the losing supervisor will provide an employee who changes
positions during an appraisal period with an interim rating covering
performance in the former position. The Interim rating must always
accompany the OPF.

\(2\) All other EPF records are to be destroyed.

§§ 2054.1062 - 2054.1065 \[Reserved\]

§ 2054.1066 [Employee Medical Folder]{.underline}.

\(a\) [Purpose]{.underline}. The EMF, Standard Form 66-D, provides a
uniform method to retain long-term operational medical records for
Federal employees. This record must \"travel\" with the employee
throughout his/her Federal service. Records maintained in the EMF are
part of a Government-wide Privacy Act system and must be maintained in
accordance with 5 CFR 297.

\(b\) [Contents]{.underline}. The EMF contains the following documents:

\(1\) Medical records created in connection with the Agency\'s request
to OPM for permission to pass over a preference eligible, when the
permission is denied and the applicant is subsequently hired. In cases
where the applicant is not a preference eligible and the Agency obtains
additional medical data to determine whether the applicant can perform
the duties of the position, such medical records also are to be included
in the EMF.

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RD Instruction 2054-V

§ 2054.1066(b) (Con.)

\(2\) Records created/submitted when demonstrating that the applicant
qualifies for appointment under special authorities regarding employment
of persons with severe physical or mental disabilities.

\(3\) Medical records created during employment as a result of a
condition of employment or as a result of an on-the-job occurrence,
including:

\(i\) Records necessary to demonstrate that the employee continues to
meet the medical standards for the position, e.g., periodic hearing,
sight, or physical examinations.

\(ii\) Records to support placement of the employee in a light duty
status or which lead to some other temporary accommodation made by the
agency, e.g., a detail because of a medical condition.

\(iii\) Records created under the agency\'s employee health monitoring
program.

\(iv\) Occupational illness/accident/injury records when no claim is
filed for worker\'s compensation with the Office of Worker\'s
Compensation Programs (OWCP). The OWCP case file is not covered under
the EMFS and is stored separately.

\(4\) Records created during the separation process include those used
as the basis for an agency-initiated separation, those created for an
application for disability retirement, and those created when the
employee dies in service. (Records involved in a granted disability
retirement or in a death will also become part of the OPM/CENTRAL-1,
Civil Service Retirement and Insurance Records system. This system
contains records on all Federal employees and are both controlled and
maintained by OPM.)

> Such records include those:

\(i\) That demonstrate the person is no longer capable of meeting the
medical standards of the position, there is no other position available
for the person, and no other accommodation can be made;

\(ii\) Used in reaching a decision for the Agency to initiate a request
for disability retirement;

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RD Instruction 2054-V

§ 2054.1066(b)(4) (Con.)

\(iii\) Provided by the employee in connection with an application for
disability retirement.

\(iv\) Resulting when the employee dies in service.

\(c\) [Drug testing records under Executive Order 12564, Drug Free
Workplace]{.underline}. These records are created when an employee
undergoes a drug-screening test under USDA\'s guidelines. (The USDA
Drug-Free Workplace Plan sets forth the objectives, policies,
procedures, and implementation guidelines to achieve a drug-free
workplace.) Such records: (1) are subject to the Privacy Act; (2) are,
generally, part of the EMF; and (3) will be maintained in accordance
with Departmental guidelines. Employee Medical Folders that are
transferred to other agencies may not include any drug testing records
created under this Executive Order.

\(d\) [Designated Manager of EMFs]{.underline}. The designated servicing
Human Resources office representative or Medical Officer will control
the requesting of EMFs and requests for disclosure of records from the
EMFs. Disclosure will only be made as defined in 5 CFR Chapters 293,
294, 297, and RD Instructions 2015-E and 2018-F.

\(e\) [Location of records]{.underline}. The physical location for
retention of EMF records must be a locked metal cabinet separate from
the OPFs.

\(f\) [Transferring EMFs]{.underline}. No EMF will be routinely
forwarded unless requested in accordance with the OPM Operating Manual,
\"The Guide to Personnel Recordkeeping,\" and 5 CFR Chapter 293. The EMF
will only be forwarded to the designated representative. Verify that the
appropriate names and titles are included on all requests. The EMF will
be transferred as follows:

\(1\) When an employee transfers to another Federal agency, the EMF must
be transferred to the gaining agency at the same time as the employee\'s
OPF. The EMF is to be addressed only to the gaining agency\'s designated
Human Resources representative, or other designated manager of the EMFS.
(5 CFR 293.510) (If an employee transfers and the requesting agency does
not ask for an existing EMF, notify that agency that an EMF exists, but
do not transfer it until a proper request is received.)

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RD Instruction 2054-V

§ 2054.1066(f) (Con.)

\(2\) When an employee separates from the Federal service, the EMF must
be forwarded to the NPRC with the OPF, in accordance with 5 CFR 293.307.
(The folders must be retained for 30 working days, and may normally be
retained for a maximum of 90 days.) The NPRC will destroy the records 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 latest.

> \(3\) When Rural Development re-employs a former Federal employee, and
> the agency believes that an EMF exists, either at the last employing
> agency or at the NPRC, the agency will request the EMF, but no sooner
> than 30 days after the date of the new appointment. No EMFs will be
> routinely retrieved during the initial review process except when
> authority exists for the agency to require a medical evaluation prior
> to reaching a decision on employability. (5 CFR 293.510)

\(g\) [Retention of records]{.underline}.

\(1\) Medical records evolving from an employee\'s use of the Employee
Assistance Program are not to be retained in the EMF unless requested by
the employee.

\(2\) Temporary records must not be placed in a newly created EMF for a
separating employee and must be removed from an already existing EMF
before its transfer to another agency or to the NPRC. Such records must
be disposed of in accordance with the General Records Schedule (GRS) 1,
Item 21, Employee Medical Folder (EMF), issued by the National Archives
and Records Administration (NARA) in accordance with 5 CFR 293.511.

\(3\) Occupational medical records considered to be long-term records
must be maintained for the duration of employment in accordance with the
OPM Operating Manual, \"The Guide to Personnel Recordkeeping.\"
Therefore, upon separation, the records must be provided to the
employee\'s new servicing Human Resources office or they must be
transferred to the NPRC.

\(h\) [Disposition of records]{.underline}. EMFs will be forwarded to
either the new servicing Human Resources office or to the NPRC in
accordance with 5 CFR 293.510 and § 2054.1058(c) of this Instruction.

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RD Instruction 2054-V

§ 2054.1067 [Disclosure of records from OPFs, EPFs, and
EMFs]{.underline}.

Request for disclosure of records from the OPFs, EPFs, MRPFs, and EMFs
under the Privacy Act and the Freedom of Information Act (FOIA) will be
handled as defined in RD Instructions 2015-E and 2018-F, and 5 CFR
293.311, 5 CFR 294, and 5 CFR 297.

§§ 2054.1068 - 2054.1100 \[Reserved\]

oOo

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(03-17-04) PN 372