GENERAL RECORDS SCHEDULE 2.3: Employee Relations Records This schedule covers records documenting activities related to managing relationships between the agency, its employees, and its unions and bargaining units. The records are those maintained by agency offices that deal with employee relations functions, regardless of office placement in organizational structure. Copies held by supervisors/management in program offices are not covered by this schedule (as such copies may be part of supervisory files covered under GRS 2.2, Employee Management Records). Activities include: negotiating and administering labor contracts and collective bargaining agreements, managing grievances and other conflicts such as by providing alternative dispute resolution processes, Equal Employment Opportunity (EEO) activities, managing programs promoting work-life balance such as telework, providing employee reasonable accommodations and providing displaced employee programs. The scope of this schedule does not extend to programs that are considered employee benefits such as providing health care and retirement pensions. Item Records Description Disposition Instruction Disposition Authority 010 Alternative Dispute Resolution (ADR) records. ADR is any dispute resolution process conducted by a neutral third party, or third parties, which is used to resolve issues in controversy, including, but not limited to, conciliation, facilitation, mediation, fact finding, mini-trials, arbitration and use of ombuds. The records covered by this schedule relate to 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 Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use. 011 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 Temporary. Destroy 3 years after case is closed, but longer disposition is
040 Anti-harassment records. Records related to harassment outside of the EEO process based on race, color, religion, sex (including pregnancy and gender identity), genetic information, sexual orientation, national origin, age (40 or older), disability (mental or physical), marital status, political affiliation, status as a parent, retaliation, or any other reason. Note: Includes records Anti-harassment program files. Includes: program administration correspondence program implementation records reports and responses to oversight agencies and senior level management Exclusion: This item does not apply to program oversight records created and received by OPM and EEOC. Temporary. Destroy 3 years after being superseded or obsolete, but longer retention is authorized if required for business use. 041 Anti-harassment complaint case files. Includes: correspondence notes relevant forms supporting material background information documentation documents relating to the agency investigation statements of witnesses documents relating to management’s determination as to whether harassment occurred documentation of preventive or corrective measures taken by the agency documents of interim or intermediate measures taken by the agency other related records Exclusion: Anti-harassment records that relate to actions such as EEO complaints, alternative dispute resolution processes, various grievance processes (including union grievance procedures), and Temporary. Destroy when 7 years old, but longer retention is authorized if required for business use.
focusing on reducing or eliminating sexual harassment in the workplace. reporting to the Office of Inspector General, are excluded from this series and should be included instead with the related case file. 050 Labor management relations agreement negotiation records. 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 Office(s) responsible for negotiations. Temporary. Destroy 5 years after expiration of agreement, but longer retention is authorized if required for business use. 051 All other offices. Temporary. Destroy when no longer needed for business use. 052 Labor management relations arbitration records. Correspondence, forms, and related records relating to labor arbitration cases. Temporary. Destroy 5 years after final resolution of case, but longer retention is authorized if required for business use. 060 Administrative grievance, disciplinary, and adverse action files. Note: OPM has determined that agencies may decide how long, within the range of 4 to7 years, administrative Administrative grievance files. 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 Temporary. Destroy no sooner than 4 years but no less than 7 years after case is closed.
grievance, adverse action and performance-based action records need to be retained. To implement this authority, each agency must select one fixed retention period, between 4 and 7 years. Agencies are not authorized to use different retention periods for individual cases. The agency should publish the chosen retention in the agency’s records disposition manual, and any other issuance dealing with the disposition of these records. Exclusion: Item excludes EEO complaints and negotiated grievances by bargaining unit employees. 061 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. Temporary. Destroy no sooner than 4 years but no later than 7 years after case is closed. 062 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 Temporary. Destroy no sooner than 4 years but no later than 7 years after case is closed.
070 Displaced employee program files. Exclusion: These items do not apply to the Department of Defense. 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 Temporary. Destroy 3 years after being superseded, but longer disposition is authorized if required for business use. 071 Displaced employee program application records. Includes: applications registrations forms data other related documentation Temporary. Destroy when employee is no longer eligible for displaced employee programs, but longer retention is authorized if required for business use. 080 worksite records. 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 Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use. 081 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 Temporary. Destroy 1 year after end of employee's participation in the program, but longer