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Chapter 03 Personnel

March 28, 2007

These operational records relate to the supervision and management of NARA employees. Included are files pertaining to the overall NARA personnel management program as well as personnel records common to all offices. EXCLUDED are files pertaining to employee training programs (see Chapter 2, General Administration).

Personnel Information

File #DescriptionDisposition
301 Official Personnel Folders (OPFs)
Documents maintained by the Human Resources Operations Branch (NAHO) that provide an official record of personnel actions pertaining to the status and service of each NARA employee. The Guide to Personnel Recordkeeping specifies the documents required for inclusion in the OPF.
301-1 Records filed on the right side of the OPF.
a. Transferred employees.
See Chapter 7 of the Guide to Personnel Recordkeeping for instructions relating to folders of employees transferred to another agency. (GRS 1, item 1a)
b. Separated employees.
Transfer folder to National Personnel Records Center (NPRC), St. Louis, MO, 30 days after separation. NPRC will destroy 65 years after separation from Federal service. (GRS 1, item 1b)
301-2 Temporary Individual Employee Records. All copies of correspondence and forms maintained on the left side of the OPF in accordance with Chapter 3 of the Guide to Personnel Recordkeeping, EXCLUDING performance-related records. (See file nos. 305 and 306-6.) Destroy when superseded or obsolete, OR upon separation or transfer of employee, unless specifically required to be transferred with the OPF. (GRS 1, item 10a)
302 Personnel Office Correspondence and Forms Files
Records relating to individual employees that are maintained by all Human Resources Services Division (NAH) units. EXCLUDES records that are maintained in OPFs and are NOT provided for elsewhere in this chapter of the NARA Records Schedule.
302-1 Correspondence and forms relating to pending personnel actions. Destroy when action is completed. (GRS 1, item 17a)
302-2 Retention registers and related records.
a. Registers and related records used to effect reduction-in-force (RIF) actions.
Destroy when 2 years old. (GRS 1, item 17b[1])
b. Registers from which no RIF actions have been taken and related records.
Destroy when superseded or obsolete. (GRS 1, item 17b[2])
302-3 All other correspondence and forms. Cut off in 6-month blocks. Destroy when 6 months old. (GRS 1, item 17c)
303 Supervisors' Personnel Files
303-1 Unofficial Personnel Files (UPFs). Correspondence, forms, and other records, relating to individual employees that are duplicated in or NOT appropriate for the OPF. Arranged alphabetically by name of employee. Review annually and destroy superseded or obsolete documents, AND destroy the UPF within 1 year after the employee's separation or transfer. (GRS 1, item 18a)

NOTE: However, for employees reassigned to another NARA unit, performance-related files and statements of employment and financial interest must be transferred to the new NARA supervisor.
303-2 Personnel Subject Files. Correspondence, forms, and other records relating to positions, authorizations, pending actions, position descriptions, requests for personnel action, and other non-employee specific matters. Review annually and destroy superseded or obsolete documents. (GRS 1, item 18a)
304 Notifications of Personnel Action
Standard Form (SF) 50, exclusive of the copy in the OPF, documenting all individual personnel actions such as employment, promotions, transfers, and separation.

NOTE: For copies maintained by supervisors, see file no. 303-1, "UPFs."
304-1 Chronological file copies maintained in NAH units. Cut off annually. Destroy when 2 years old. (GRS 1, item 14a)
304-2 All other copies maintained in NAH units. Cut off annually. Destroy when 1 year old. (GRS 1, item 14b)
305 Employee Performance File (EPF) System Records (Non-Senior Executive Service [SES] Appointees)
Documents maintained by NAHO as the official record of a non-SES employee's performance. These records are subject to Government-wide regulations governing EPF System Records (5 CFR 293, Subpart D). Included are annual performance ratings with their associated performance plans, critical elements, performance standards, and related documents. (When an employee separates or transfers to another agency, follow the disposition instructions for file no. 305-3.)

NOTE: For performance-related records maintained by supervisors, see file no. 303-1.
305-1 Appraisals of unacceptable performance, where a notice of proposed demotion or removal is issued but not effected, 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. (GRS 1, item 23a[1])
305-2 Performance records superseded through an administrative, judicial, or quasi-judicial procedure. Destroy when superseded. (GRS 1, item 23a[2])
305-3 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 file no. 301-1b). An agency retrieving an OPF from NPRC will dispose of performance-related records on the left side of the OPF when those documents become 4 years old. (GRS 1, item 23a[3][a])
b. All other performance plans and ratings.
Destroy when 4 years old. (GRS 1, item 23a[3][b])
305-4 All other summary performance appraisal records, including performance appraisals, job elements and standards upon which they are based, and supporting documents. Destroy 4 years after date of appraisal. (GRS 1, item 23a[4])
306 SES Files
Official files related to management of executive resources at NARA. Included are subject files, official position descriptions, records of recruitments and recertifications, reference files, and employee performance files for SES appointees.
306-1 Subject files related to management of executive resources. Included are correspondence, special reports, NARA notices, interim guidances, and related background materials. Destroy when 3 years old OR when no longer needed for legal or administrative purposes, whichever is later. (N1-64-02-9, item 1)
306-2 SES Position Descriptions. Files of official position descriptions, maintained by NAH, which include information on title, series, grade, duties, and responsibilities, and related documents. Arranged by organization or position. Destroy 2 years after position is abolished or description is superseded. (GRS 1, item 7b)
306-3 SES Recruitment Files. Records relating to recruitments for specific SES vacancies, EXCLUDING any records that duplicate information in the OPF or in any other personnel records. Included are job analyses and crediting plans, vacancy announcements, applications, rating sheets, referrals, and correspondence with applicants. Cut off after the personnel action is completed. Destroy 2 years after cutoff OR when no longer needed for reference, whichever is later. (N1-64-01-2, item 1a)
306-4 SES Recertification Files. Records relating to recertifications of SES appointees. Included are correspondence, forms, and notes and recommendations of NARA's Performance Review Board. Cut off upon completion of recertification. Destroy 4 years after cutoff. (N1-64-01-2, item 1b)
306-5 SES Reference Files. Includes copies of guidance, regulations, reports, surveys, and forms that are maintained for reference purposes. Destroy when no longer needed for reference.
306-6 Documents maintained by NAH as the official record of an SES appointee's performance. These records are subject to Government-wide regulations governing EPF System Records (5 CFR 293, Subpart D). Included are performance plans, performance ratings, and related supporting documents. (When an SES appointee separates or transfers to another agency, follow the disposition instructions for file no. 306-6b.)

NOTE: For performance-related records maintained by supervisors, see file no. 303-1.
a. Performance records superseded through an administrative, judicial, or quasi-judicial procedure.
Destroy when superseded. (GRS 1, item 23b[1])
b. Performance-related records pertaining to a former SES appointee.
(1) 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 file no. 301-1b). An agency retrieving an OPF from NPRC will dispose of performance-related records on the left side of the OPF when those documents become 5 years old. (GRS 1, item 23b[2][a])
(2) All other performance ratings and plans.
Destroy when 5 years old. (GRS 1, item 23b[2][b])
c. All other performance appraisals, along with job elements and standards (job expectations) upon which they are based, and supporting documents. EXCLUDES records for SES appointees serving on a Presidential appointment (5 CFR 214).
Destroy 5 years after date of appraisal. (GRS 1, item 23b[3])
307 Human Resources Information System
Documents accumulated in the development and implementation of human resources information systems on a local, agency-wide, or Government-wide basis. Included are correspondence, instructions, and other documents on the Comprehensive Human Resources Information System (CHRIS). Specific reports generated by the system are filed in the appropriate subject file. Hold until termination of study OR until documents are superseded or no longer needed for reference, and then destroy. (N1-64-87-1)

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Personnel Administration

File #DescriptionDisposition
308 Personnel Office Subject Files
Official files (maintained by all NAH units) on various human resources issues and programs that are NOT provided for elsewhere in this chapter. Included are correspondence, special reports, NARA notices, and interim guidances, as well as related background materials, such as copies of guidances, regulations, reports, surveys, and forms. Destroy when 3 years old OR when no longer needed for legal or administrative purposes, whichever is later. (N1-64-02-9, item 2)
309 Personnel Operations Statistical Reports
Statistical reports maintained in NAH units relating to personnel.

NOTE: For copies of reports maintained by other offices, see file no. 303-2, "Personnel Subject Files."		 Cut off annually. Destroy when 2 years old. (GRS 1, item 16)
310 Pay and Leave Administration Files
310-1 Pay Administration Files. Documents created to provide assistance in interpreting and implementing pay administration programs. Included are pay plans, pay fixing rules, authorizations, reconsiderations, and related records. Cut off annually, hold 1 year, and retire to records center. Destroy when 5 years old. (N1-64-87-1)
310-2 Voluntary Leave Transfer Program (VLTP) Files. Case files documenting the receipt and donation of leave for medical emergencies. Includes:
  • Recipient applications,
  • Agency approvals or denials,
  • Medical or physician certifications,
  • Leave donation records or OF 630-A,
  • Supervisor's and timekeeper's approvals,
  • Leave transfer records,
  • Payroll notification records, and
  • Leave program termination records.
 Cut off annually. Destroy 1 year after the end of the year in which the file is closed. (GRS 1, item 37)
310-3 Family and Medical Leave Act (FMLA) Files. Records relating to approving and monitoring employees' requests for 3 days or more of leave under the provisions of the FMLA. The files may include: applications, medical documentation, requests for leave or approved absence, and copies of SF 52s, Requests for Personnel Action. Cut off when case is closed. Destroy 1 year after cutoff. (N1-64-01-2, item 2)
311 Standards of Conduct Files
Correspondence, memoranda, and other records relating to the code of ethics and standards of conduct. Destroy when obsolete or superseded. (GRS 1, item 27)

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Personnel Security

File #DescriptionDisposition
312 Personnel Security Clearance Files
Personnel security clearance case files created under Office of Personnel Management (OPM) procedures and regulations and related indexes maintained by the Security Management Branch (NASS).

NOTE: For files maintained by supervisors, see file no. 303-1.
312-1 Case files documenting the processing of investigations on Federal employees or applicants for Federal employment, whether or not a security clearance is granted, and on other persons, such as those performing work for NARA under contract, who require an approval before having access to Government facilities or to sensitive data. These files include questionnaires, summaries of reports prepared by the investigating agency, and other records reflecting the processing of the investigation and the status of the clearance, EXCLUSIVE of copies of investigative reports furnished by the investigating agency. Whichever circumstance is applicable, destroy case file:
  • Upon notification of death of employee, applicant, or other person who is the subject of the file;
  • NO later than 5 years after separation or transfer of employee from NARA; OR
  • NO later than 5 years after contract relationship expires. (GRS 18, item 22a)
312-2 Investigative reports and related documents furnished to NARA by investigative organizations for use in making security/suitability determinations. Destroy in accordance with the investigating agency instructions. (GRS 18, item 22b)
312-3 Index to the Personnel Security Case Files. Destroy with related case file. (GRS 18, item 22c)
313 Personnel Security Clearance Status Files
Lists or rosters showing the current security clearance status of individuals. Destroy when superseded or obsolete. (GRS 18, item 23)
314 Security Violations Files
Case files relating to investigations of alleged violations of Executive orders, laws, or NARA regulations for the safeguarding of national security information.
314-1 Files relating to alleged violations of a sufficiently serious nature that they are referred to the Department of Justice (DOJ) or the Department of Defense (DOD) for prosecutive determination. Destroy 5 years after close of case. (GRS 18, item 24a)
314-2 All other files, EXCLUSIVE of documents placed in OPFs. Destroy 2 years after completion of final action. (GRS 18, item 24b)
315 Classified Information Nondisclosure Agreements
Copies of nondisclosure agreements such as SF 312, Classified Information Nondisclosure Agreement, signed by employees with access to information that is classified under standards put forth by Executive orders governing security classification. These forms are maintained by the Space and Security Management Division (NAS). Destroy when 70 years old. (GRS 18, item 25a)

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Classification and Staffing

File #DescriptionDisposition
316 Position Classification Standards Files
316-1 Standards and guidelines issued or reviewed by OPM and used to classify and evaluate positions within the agency. Destroy when superseded or obsolete. (GRS 1, item 7a[1])
316-2 Case files (containing correspondence and other records) relating to the development of standards for classification of positions peculiar to the agency and to OPM approval or disapproval of such standards. Cut off after position is abolished or description is superseded, hold 1 year, and retire to records center. Destroy when 5 years old. (GRS 1, item 7a[2][a])
316-3 Review File. Cut off annually. Destroy when 2 years old. (GRS 1, item 7a[2][b])
317 Position Descriptions
Record copies of position descriptions (maintained by NAHO and the Workforce Strategy and Staffing Services Branch [NAHW]) that include information on title, series, grade, duties, and responsibilities, and related documents. Arranged by organization.

NOTE: For files maintained by other offices, see file no. 303-2.		 Destroy 2 years after position is abolished or description is superseded. (GRS 1, item 7b)
318 Classification Appeals Files
318-1 Case files relating to classification appeals, EXCLUDING OPM classification certificate. Cut off when case is closed. Destroy 3 years after cutoff. (GRS 1, item 7d[1])
318-2 Certificates of classification issued by OPM. Destroy after affected position is abolished or superseded. (GRS 1, item 7d[2])
319 Classification Survey Files
319-1 Classification survey reports, including periodic reports, on various positions prepared by classification specialists. Cut off at end of year following completion of subsequent survey. Destroy 3 years after cutoff OR 2 years after regular inspection, whichever is sooner. (GRS 1, item 7c[1])
319-2 Inspection, Audit, and Survey files. Includes correspondence, reports, and other records relating to inspections, surveys, desk audits, and evaluations. Destroy when obsolete or superseded. (GRS 1, item 7c[2])
320 Wage Survey Files
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. (GRS 1, item 38)
321 Merit Promotion Case Files
321-1 Records relating to recruitments for specific vacancies. Includes job analyses and crediting plans, vacancy announcements, applications, rating sheets, referrals, and correspondence with applicants. EXCLUDES any records that duplicate information in the OPF or any other personnel records. Destroy after OPM audit OR 2 years after the personnel action is completed, whichever is sooner. (GRS 1, item 32)
321-2 General Reference Files. Destroy when no longer needed for current operations.
323 Certificate of Eligibles Files
Copies obtained from OPM of certificates of eligibles with related requests, applications, forms, correspondence, and statement of reasons for passing over a preference eligible and selecting a nonpreference eligible. Destroy 2 years after the personnel action is completed. (GRS 1, item 5)
324 Interview Records
Correspondence, reports, and other records relating to interviews with current employees. Destroy 6 months after transfer or separation of employee. (GRS 1, item 8)

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Employee and Labor Relations

File #DescriptionDisposition
326 Incentive Awards Program Reports
Reports pertaining to the operation of the Incentive Awards Program. Cut off annually. Destroy when 3 years old. (GRS 1, item 13)
327 Employee Awards Files
327-1 General Awards Records.
a. Case files including recommendations, approved nominations, correspondence, and reports pertaining to agency-sponsored cash and noncash awards such as incentive awards, within-grade merit increases, suggestions, and outstanding performance.
Place in inactive file after approval or disapproval. Cut off inactive files at the end of the fiscal year. Destroy 2 years after cutoff. (GRS 1, item 12a[1])
b. Correspondence pertaining to awards from other Federal agencies or non-Federal organizations.
Cut off annually. Destroy when 2 years old. (GRS 1, item 12a[2])
327-2 Length of Service and Sick Leave Awards Files. Records including correspondence, reports, computations of service and sick leave, and lists of awardees. Cut off annually. Destroy when 1 year old. (GRS 1, item 12b)
327-3 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. Cut off annually. Destroy when 2 years old. (GRS 1, item 12c)
327-4 Lists or Indexes to Agency Award Nominations. Lists of nominees and winners and indexes of nominations. Destroy when superseded or obsolete. (GRS 1, item 12d)
327-5 Agency-Level Awards Files. Documents created in granting cash and non-cash awards for distinguished, meritorious, and exceptional service and for equal employment opportunity (EEO) impact. Included are suggestions, recommendations, acknowledgments, evaluations, notices of adoption or rejection, letters of refusal or return of awards, and related records. Cut off annually. Destroy when 3 years old. (N1-64-87-1)
328 Employee Assistance Files
328-1 Reports of interviews, analyses, and related records created in informing, counseling, and assisting employees and claimants regarding health, insurance, and retirement programs. Place in inactive files after termination of counseling. Cut off inactive files annually. Destroy 3 years after cutoff. (GRS 1, item 26a)
328-2 Documents created in counseling employees on financial services and acting as liaison between financial institutions and employees. Included are complaints against credit unions and other creditors, emergency fund applications, notes, approvals, reports of interviews, analyses, and related records. Place in inactive files after termination of counseling. Cut off inactive files annually. Destroy 3 years after cutoff. (GRS 1, item 26a)
328-3 Correspondence, memoranda, annuity estimates, and other records used to assist retiring employees, separating employees, or survivors in claiming insurance or retirement benefits. Cut off annually. Destroy when 1 year old. (GRS 1, item 39)
328-4 Records created in planning, coordinating, and directing an alcohol and drug abuse program. Cut off annually. Destroy when 3 years old. (GRS 1, item 26b)
329 Grievance, Disciplinary, and Adverse Action Files
329-1 Administrative Grievance Files (5 CFR 771). Records relating to grievances raised by agency employees, except EEO complaints (see file no. 332-1). 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.
 Place in inactive file after case is closed. Cut off inactive files annually. Destroy 7 years after cutoff. (GRS 1, item 30a)
329-2 Disciplinary, Adverse (5 CFR 752), and Performance-Based Actions (5 CFR 432) Case Files. Records and tracking database related to disciplinary, adverse, and performance-based actions taken against employees. Also included are separate employee-specific files documenting actual and attempted inappropriate use of NARA office equipment.
a. Case files and other related textual records. Each file may include:
  • A copy of the proposed action with supporting documents;
  • Statements of witnesses;
  • Employee's reply;
  • Hearing notices, reports, and decisions;
  • Reversal of action; and
  • Appeal records.
NOTE: For additional guidance, see PERSONNEL 300, Chapter 752, Disciplinary and Adverse Actions
Place in inactive file after case is closed. Cut off inactive files annually. Destroy 4 years after cutoff. (GRS 1, item 30b)
b. Discipline Log. Database used to track the numbers and types of actions for which there are paper files.
Destroy or delete with the related records. (GRS 23, item 9)
c. Documentation on Inappropriate Employee Use of NARA Office Equipment. Records created and/or maintained by NAH as part of standard procedures to monitor and stop inappropriate employee use of NARA office equipment (as outlined in see NARA 802, Appropriate Use of NARA Office Equipment). These records are kept by notification cycle by fiscal year. The documentation includes, but is NOT limited to:
  • System logs and reports identifying employees who have used or attempted to use equipment inappropriately;
  • File copies of letters sent to these employees, notifying them to cease such activity; and
  • Any other records created by this process.
Cut off file annually. Destroy 2 years after cutoff. (N1-64-05-4, item 1)
329-3 Merit System Protection Board (MSPB) Appeal Case Files. Records relating to appeals submitted to MSPB by current and former NARA employees. These case files may include:
  • Statements of witnesses;
  • Reports of interviews and hearings;
  • Court findings and recommendations;
  • Copies of original and final decisions;
  • Related correspondence and exhibits; and
  • Optional Form (OF) 283s, MSPB Appeal Forms.
 Place in inactive file after case is closed. Cut off inactive files annually. Destroy 7 years after cutoff. (N1-64-01-2, item 3)
330 Labor-Management Relations Records
330-1 Labor-Management Relations General and Case Files (maintained by the Employee Relations and Benefits Branch [NAHR]). Files may include correspondence, memoranda, reports, and other records relating to the relationship between management and employee unions or other groups. Also included are files regarding impact and implementation (I & I) negotiations and unfair labor practices (ULPs). Cut off after expiration of agreement. Destroy 5 years after cutoff. (GRS 1, item 28a[1])
330-2 Documents maintained by other offices. Destroy when superseded or obsolete. (GRS 1, item 28a[2])
330-3 Labor Arbitration General and Case Files. Includes correspondence, forms, and background papers relating to labor arbitration cases. Cut off after final resolution of case. Destroy 5 years after cutoff. (GRS 1, item 28b)
330-4 Copies of precedential decisions. Destroy when superseded or obsolete. (N1-64-87-1)
331 Campaigns
331-1 Savings Bond Campaign. Copies of posters, flyers, and related records created in developing and disseminating material and otherwise promoting and reporting on participation in the U.S. Savings Bond Program. EXCLUDED are background papers to NARA directives pertaining to such program. Cut off annually. Destroy when 1 year old. (N1-64-87-1)
331-2 Charitable Contribution Campaigns. Documents accumulated in managing and coordinating contribution drives, such as the Combined Federal Campaign and others. Included are copies of notices of campaigns, communications concerning the campaigns, and related records. Cut off annually. Destroy when 2 years old. (N1-64-87-1)

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Equal Employment Opportunity

File #DescriptionDisposition
332 Equal Employment Opportunity (EEO) Records
332-1 Official Discrimination Complaint Case Files. These files are maintained for cases resolved within the agency, by the Equal Employment Opportunity Commission (EEOC), or by a U.S. Court. Case files may contain:
  • Complaints with related correspondence,
  • Reports and exhibits,
  • Withdrawal notices,
  • Copies of decisions,
  • Records of hearings and meetings, and
  • Other records.
 Remove and place in inactive files after resolution of case. Cut off inactive files annually. Destroy 4 years after cutoff. (GRS 1, item 25a)
332-2 Copies of Complaint Case Files. Duplicate case files or documents pertaining to case files retained in Official Discrimination Complaint Case Files. Remove and place in inactive files after resolution of case. Cut off inactive files annually. Destroy 1 year after cutoff. (GRS 1, item 25b)
332-3 Preliminary and Background Files.
a. Background records NOT filed in the Official Discrimination Complaint Case Files.
Remove and place in inactive files after resolution of case. Cut off inactive files annually. Destroy 2 years after cutoff. (GRS 1, item 25c[1])
b. Records documenting complaints that do NOT develop into Official Discrimination Complaint Cases.
Cut off inactive files annually. Destroy when 2 years old. (GRS 1, item 25c[2])
332-4 Compliance Records.
a. Compliance Review Files. Reviews, background documents, and correspondence relating to contractor employment practices.
Cut off annually. Destroy when 7 years old. (GRS 1, item 25d[1])
b. EEO Compliance Reports.
Cut off annually. Destroy when 3 years old. (GRS 1, item 25d[2])
332-5 Employee Housing Requests. Forms requesting agency assistance in housing matters, such as rental or purchase. Cut off annually. Destroy when 1 year old. (GRS 1, item 25e)
332-6 Employment Statistics Files. Employment statistics relating to race and sex.

NOTE: Electronic master files and databases created to supplement or replace the records covered by file no. 332-6 are NOT authorized for disposal under General Records Schedule (GRS) 1 ("Civilian Personnel Records"), item 25f. Such files must be scheduled on an SF 115.		 Cut off annually. Destroy when 5 years old. (GRS 1, item 25f)
332-7 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. (GRS 1, item 25g)
332-8 EEO Affirmative Action Plans (AAP).
a. Agency copy of consolidated AAPs.
Cut off annually. Destroy 5 years from date of plan. (GRS 1, item 25h[1])
b. Agency feeder plans to consolidated AAPs.
Cut off annually. Destroy 5 years from date of feeder plan OR when administrative purposes have been served, whichever is sooner. (GRS 1, item 25h[2])
c. Report of on-site reviews of Affirmative Action Programs.
Cut off annually. Destroy 5 years from date of report. (GRS 1, item 25h[3])
d. Agency copy of annual report of Affirmative Action accomplishments.
Cut off annually. Destroy 5 years from date of report. (GRS 1, item 25h[4])

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Employee Health

File #DescriptionDisposition
333 Employee Medical Folder (EMF)
333-1 Long-term medical records as defined in 5 CFR part 293, subpart E.
a. Transferred employees.
See 5 CFR part 293, subpart E for instructions. (GRS 1, item 21a[1])
b. Separated employees.
Transfer to NPRC, St. Louis, MO, 30 days after separation. NPRC will destroy EMF on whichever date is later - either:
  • 75 years after birth date of employee;
  • 60 years after date of earliest document in EMF, if date of birth cannot be ascertained; OR
  • 30 years after latest separation. (GRS 1, item 21a[2])
333-2 Temporary or short-term records as defined in the Federal Personnel Manual. Destroy 1 year after separation or transfer of employee. (GRS 1, item 21b)
333-3 Individual employee health case files created prior to establishment of the EMF system that have been retired to a NARA records storage facility.

NOTE: Electronic master files and databases created to supplement or replace the records covered by file no. 333 are NOT authorized for disposal under GRS 1, item 21. Such files must be scheduled on an SF 115.		 Destroy 60 years after retirement to the NARA records storage facility. (GRS 1, item 21c)
334 Individual Non-Occupational Health Record Files
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 Employee Medical Folder material (file no. 333). Cut off after date of last entry. Destroy 6 years after cutoff. (GRS 1, item 19)
335 Occupational Injury and Illness Files
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. (GRS 1, item 34)
336 Personal Injury Files
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 (file no. 333). Cut off on termination of compensation OR when deadline for filing a claim has passed. Destroy 5 years after cutoff. (N1-64-01-2, item 4).
337 Health Unit Control Files
Logs or registers reflecting daily number of visits to dispensaries, first aid rooms, and health units.
337-1 If information is summarized on statistical report. Cut off after last entry. Destroy 3 months after cutoff. (GRS 1, item 20a)
337-2 If information is NOT summarized. Cut off after last entry. Destroy 2 years after cutoff. (GRS 1, item 20b)
338 Health Summaries
Copies of statistical summaries and reports with related papers pertaining to employee health, retained by the reporting unit.

NOTE: Electronic master files and databases created to supplement or replace the records covered by file no. 338 are NOT authorized for disposal under GRS 1, item 22. Such files must be scheduled on an SF 115.		 Cut off annually. Destroy 2 years after cutoff. (GRS 1, item 22)
339 Denied Health Benefits Requests Under Spouse Equity
Denied eligibility files consisting of applications, court orders, denial letters, appeal letters, and related papers.
339-1 Health benefits denied, NOT appealed. Destroy 3 years after denial. (GRS 1, item 35a)
339-2 Health benefits denied and then appealed to OPM for reconsideration.
a. Appeal successful - benefits granted.
Create enrollment file in accordance with Subchapter S17 of the FEHB Handbook. (GRS 1, item 35b[1])
b. Appeal unsuccessful - benefits denied.
Destroy 3 years after denial. (GRS 1, item 35b[2])

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, enrollment is terminated by the employing office, OR former spouse begins receiving an annuity payment.

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Examining and Certification

File #DescriptionDisposition
340 Examining and Certification Records
Delegated agreements and related records (created under the authority of 5 U.S.C. 1104) between OPM and NARA, allowing for the examination and certification of applicants for employment. DISPOSAL NOT AUTHORIZED. Disposition to be determined at a later date.

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Flexiplace

File #DescriptionDisposition
345 Flexiplace Program Records
345-1 Approved requests or applications to participate in the flexiplace program; agreements between NARA and the employee; and records relating to the safety of the worksite; 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. (GRS 1, item 42a)
345-2 Unapproved requests. Destroy 1 year after request is rejected. (GRS 1, item 42b)
345-3 Forms and other records generated by NARA or the participating employee in evaluating the flexiplace program. Destroy when 1 year old OR when no longer needed, whichever is later. (GRS 1, item 42c)

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Electronic Copies of Records Contained in this Chapter

File #DescriptionDisposition
399 Word Processing Files and Electronic Mail (E-mail) Records
399-1 Word Processing Files. Documents such as letters, memoranda, reports, handbooks, directives, and manuals recorded on electronic media, such as hard disks or floppy diskettes, after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the word processing system when no longer needed for updating or revision. (GRS 20, item 13 and N1-64-01-2, item 5a)
399-2 E-mail Records. Senders' and recipients' versions of e-mail messages that meet the definition of Federal records, and any attachments to the record messages after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the e-mail system after copying to a recordkeeping system. (GRS 20, item 14 and N1-64-01-2, item 5b)

NOTE: Along with the message text, the recordkeeping system must capture the names of sender and recipients and date (transmission data for recordkeeping purposes) and any receipt data when required.
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