U.S. Geological Survey Manual

Chapter 400. Personnel Management, Equal Employment Opportunity, and Payroll and Time and Attendance Records

Records relating to the supervision over, and management of, Federal civilian personnel.

Chapter 400 Topics	This section provides for the disposition of the following USGS Personnel Management, Equal Employment Opportunity (EEO), and Payroll and Time and Attendance Records.
	401.	Personnel Program Files.
	402.	Official Personnel Folders.
	403.	Employment Files.
	404.	Volunteer Personnel Files.
	405.	Employee Performance and Utilization Files.
	406.	Position Classification and Job Evaluation Files.
	407.	Employee Relations and Service Files.
	408.	Workplace Enhancement Programs.
	409.	Employee Standards of Conduct and Codes of Ethics Files.
	410.	Federal Workplace Drug Testing.
	411.	Special Appointment Files.
	412.	Educational and Student Program Files.
	413.	Employee Training Files.
	414.	Employee Health Files.
	415.	Labor Relations Files.
	416.	EEO Files.
	417.	Payroll and Time and Attendance Files.
	418.	Electronic Mail (E-mail) and Word Processing System Copies in the Personnel Management, EEO, and Payroll and Timekeeping Records.

401. Personnel Program files include the following records:

401-01	General Federal Personnel Correspondence Files.
401-02	Personnel Operations Statistical Reports.

402. Official Personnel Folders (OPF) include the following records:

402-01	OPF of Federal Employees.
402-02	Supervisor's Personnel Files and Duplicate OPF Documentation.

403. Employment files include the following records:

403-01	Appointment Information Files.
403-02	Employment Staffing and Analyses.
403-03	Offers of Employment Files.
403-04	Certificates of Eligibles Files.
403-05	Employee Merit Promotion Case Files.
403-06	Personnel Interview Records.
403-07	Notifications of Personnel Actions.
403-08	Employment Applications.
403-09	E-mail Vacancy Notification System.
403-10	Vacancy Announcements (as created and maintained in personnel offices).
403-11	Recruitment Packages.
403-12	Prehire Test Files.
403-13	Employment Examination and Certification Records.
403-14	Unemployment Examination and Certification Records.
403-15	Reductions-in-Force Files.
403-16	Online Automated Recruitment System (OARS).
403-17	Exit Interviews.
403-18	Federal Employee Express.
403-19	Thrift Savings Plan (TSP) Files.

404. Volunteer Personnel files include the following records:

404-01	Volunteer Personnel Files.
404-02	Volunteer for Science Program System.

405. Employee Performance and Utilization files include the following records:

405-01	Employee Awards Files.
405-02	Employee Incentive Awards Program Reports.
405-03	Human Resources Initiatives (HRI) Proposal Awards.
405-04	Employee Performance File System Records.

406. Position Classification and Job Evaluation files include the following records:

406-01	Classification Files.
406-02	FastClass.

407. Employee Relations and Services files include the following records:

407-01	Employee Relations Case Files.
407-02	Employee Investigative Files.
407-03	Employee Benefits Files.
407-04	Wage Survey Files.
407-05	Personnel Counseling Records.
407-06	Employee Concerns Program.
407-07	Conflict Resolution (CORE) Program.

408. Workplace Enhancement Programs include the following records:

408-01	Bright Ideas.
408-02	Alternate Worksite/Flexiplace/Telecommuting Program.
408-03	Transportation Fringe Benefit Program.
408-04	Federally Run Daycare Centers.
408-05	General Workplace Enhancement Program Files.

409. Employee Standards of Conduct and Codes of Ethics files include the following records:

409-01	Employee Standards of Conduct and Codes of Ethics Files.
409-02	Financial Disclosure Reports.
409-03	Stock Holding Conflicts and Advisories.
409-04	Conflict-of-Interest Files.
409-05	Serving as Officers in Outside Organizations.
409-06	Ethics Training Records.

410. Federal Workplace Drug Testing files include the following records:

410-01	Federal Workplace Drug Testing Program Files.
410-02	Federal Workplace Drug Awareness Program Files.

411. Special Appointment files include the following records:

411-01	Americans with Disabilities Act Files.

412. Educational and Student Program files include the following records:

412-01	Academic and Outreach Programs.
412-02	Apprenticeship Program Files.
412-03	Tuition Reimbursement Records.
412-04	Student Recruitment System (SRS).
412-05	Student Placement Assistance (SPA) System.

413. Employee Training files include the following records:

413-01	Training Records.
413-02	Orientation Program.
413-03	Mentoring Program.
413-04	Individual Development Plans (IDPs).
413-05	Training Management System (TMS).
413-06	International Visitor and Training Files.

414. Employee Health files include the following records:

414-01	Individual Non-Occupational Health Record Files.
414-02	Health Unit Control Files.
414-03	Employee Medical Folders (EMF).
414-04	General Health and Wellness Correspondence Files.
414-05	Employee Health Statistical Summaries.
414-06	Personal Injury (Accident) Case Files.
414-07	Occupational Injury and Illness Files.
414-08	Denied Health Benefits Requests Under Spouse Equity.

415. Labor Relations files include the following records:

415-01	Labor Management Relations.
415-02	Seniority Rosters.
415-03	Certification/Decertification Files.

416. EEO files include the following records:

416-01	EEO Official Discrimination Records.
416-02	EEO Compliance Records.
416-03	EEO Employment Statistics Files.
416-04	EEO Affirmative Action Plans (AAPs).
416-05	Special Emphasis Programs and Project Records.
416-06	EEO General Files.

417. Payroll and Time and Attendance files include the following records:

417-01	Individual Employee Pay Records.
417-02	Non-current Payroll Files.
417-03	Time and Attendance - Leave Application Files.
417-04	Time and Attendance Source Records.
417-05	Time and Attendance Input Records.
417-06	Flexitime Attendance.
417-07	Leave Record Files.
417-08	Donated Leave Program Case Files.
417-09	Other Leave Program Files.
417-10	Tax Files.
417-11	Pay Comparability Records.
417-12	Classification Appraisals (Pay) Files.
417-13	Savings Bond Purchase Files.
417-14	Combined Federal Campaign and Other Allotment Authorizations.
417-15	Payroll Levy and Garnishment Files.
417-16	Payroll Administration - Payroll System Reports.
417-17	Payroll Adjustment and Change Files.
417-18	Payroll Correspondence.

418. E-mail and Word Processing System Copy records for Personnel Management, EEO, and Payroll and Timekeeping Records include the following records:

418-01	Electronic copies of e-mail and word processing records created solely to produce the recordkeeping copy and electronic copies of e-mail and word processing records that are needed in addition to the recordkeeping copy for dissemination, revision, or updating.

What files in this section are important or considered permanent USGS records?	•   All records that are filed in the OPFs of Federal employees. •   All records that are filed in the Official EMFs. •   Official payroll files found in an agency personnel/payroll system.

What files in this section are considered temporary USGS records?

•   Employee informational materials relating to personnel management, EEO, and payroll and timekeeping. •   Employee files which are created and do not belong in the OPFs. •   Volunteer files. •   Employee award files. •   Position classification files. •   Employee relations and service files. •   Workplace enhancement program materials. •   Standards of conduct files. •   Federal workplace drug testing files. •   Special appointment files. •   Educational and student outreach program records. •   Miscellaneous health files not pertaining or found in EMFs. •   Labor relation files. •   EEO files after resolution of cases. •   Miscellaneous files relating to time and attendance and payroll related information files.

Questions?	Contact the USGS Records Manager or your discipline or regional Records Liaison Officer.

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400. Personnel Management, Equal Employment Opportunity, and Payroll and Time and Attendance Records.

Item No.	Description of Records	Disposition Instructions
401	Personnel Program Files.
401-01	General Federal Personnel Correspondence Files. Correspondence, memoranda, 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.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
401-02	Personnel Operations Statistical Reports. Miscellaneous statistical reports in the operating personnel office and subordinate units relating to personnel management activities.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.

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Item No.	Description of Records	Disposition Instructions
402	Official Personnel Folders (OPF).
402-01	OPF of Federal Employees. Records filed on the right side of the OPF. (See Item 402-01c below for temporary papers on the left side of the OPF). Folders covering employment terminated after December 31, 1920, excluding those selected by the National Archives and Records Administration (NARA) for permanent retention.
402-01a	Transferred employees.	See Chapter 7 of The Guide to Personnel Recordkeeping for instructions relating to folders of employees transferred to another agency.
402-01b	Separated employees.	Transfer folder to the National Personnel Records Center (NPRC), St. Louis, Missouri, 30 days after latest separation. NPRC will destroy 65 years after separation from Federal service.
402-01c	OPF 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 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 402-01d for disposition of I-9 forms and Item 405-04 for disposition of temporary performance-related records.
402-01d	Immigration and Naturalization Service Form I-9.	Destroy 3 years after employee separates from service or transfers to another agency.
402-02	Supervisor's Personnel Files and Duplicate OPF Documentation.
402-02a	Supervisor's Personnel Files. Correspondence, memoranda, forms, and other records relating to positions, authorizations, pending actions; copies of position descriptions; requests for personnel action, and records on individual employees duplicated in or not appropriate for the OPF. Also, include any electronic copies of correspondence, memoranda, forms, and such that are created on electronic mail and word processing systems and printed solely for recordkeeping copies.	Review annually and destroy superseded or obsolete documents; or destroy file relating to an employee within 1 year after separation or transfer.
402-02b	Duplicate Documentation. Other copies of documents duplicated in OPFs not provided for elsewhere in this schedule.	Destroy when 6 months old.
402-02c	Non-supervisory Desk Copy Files. Duplicate copies of files found in Item 402-02a above and maintained, for convenience, by supervisor's office human resource personnel, with supervisor's knowledge.	Review annually and destroy superseded or obsolete documents; or destroy file relating to an employee within 1 year after separation or transfer.

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Item No.	Description of Records	Disposition Instructions
403	Employment Files.
403-01	Appointment Information Files. Material pertaining to the appointment and tenure or career, career-conditional, temporary, and indefinite employees. Include information on such related considerations as the employment of relatives (nepotism), conversion of career and career-conditional employment from other types of employment, probationary periods, employment restatement, term of employment and duration authority, appointments and separations of summer and part-time employees, appointments to unclassified or ungraded positions, appointments through special means such as political endorsements and presidential appointments, and selective placement program.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
403-02	Employment Staffing and Analyses. Material pertaining to employment staffing methods, procedures, and practices: reviews and determinations of ceilings and limitations; loans of positions under ceilings; staffing adjustments; work staff analyses; review, establishment, or abolishment of positions; clearances required to fill key positions outside register of eligible and key positions; employment forecasts; furloughs or agency freezes; employment in the excepted service, competitive service, and executive assignment system; overseas employment; employment of experts and consultants; and other related topics.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
403-03	Offers of Employment Files. Correspondence, including letters and telegrams, offering appointments to potential employees.
403-03a	Accepted offers.	Destroy when appointment is effective.
403-03b	Declined offers for Federal employment.
403-03b(1)	When name is received from certificate of eligibles.	Return to Office of Personnel Management (OPM) with reply and application.
403-03b(2)	Temporary or excepted appointment.	File with application. (See Item 403-08).
403-03b(3)	All others.	Destroy immediately.
403-04	Certificates of Eligibles Files. 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 non-preference eligible.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
403-05	Employee Merit Promotion Case Files. 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.
403-06	Personnel Interview Records. Correspondence, reports, and other records relating to interviews with employees.	Destroy 6 months after transfer or separation of employee.
403-07	Notifications of Personnel Actions. Federal SF-50, documenting all individual personnel actions such as employment, promotions, transfers, and separation, exclusive of the copy in the OPF.
403-07a	Chronological file copies, including fact sheets, maintained in personnel offices.	Cut-off at the end of the fiscal year. Destroy when 2 years old.
403-07b	All other copies maintained outside of the headquarters Personnel Office. Copies maintained only for the convenience of the office where the employee works.	Destroy when 1 year old.
403-08	Employment Applications. Applications, including OF-612, resumes, and any other application that an agency may develop for unique jobs with specialized requirements, and related records, excluding records relating to appointments requiring Senatorial confirmation and applications resulting in appointment which are filed in the OPF.	Destroy upon receipt of OPM Inspection report or when 2 years old, whichever is earlier.
403-09	E-mail Vacancy Notification System. USGS system by which notifications are automatically sent out by e-mail whenever the kind of job a person desires opens in the USGS.
403-09a	Inputs. Electronic inputs consisting of personnel e-mail addresses and their preferences for any vacancies that meet their criteria.	Delete or destroy after input and verification of data into master file or when no longer needed to support the reconstruction of the master file, whichever is later.
403-09b	Master File. Consists of a database that contains all users current preferences and the OPM's USAJobs control numbers of the vacancies that they have already been notified about. Users update elements and/or entire record as required, and delete their own records from the master file when they no longer require the service. The system automatically deletes a file when the user's e-mail address is unusable or becomes invalid.	Delete record at the request of the user, or when the user's e-mail address is no longer valid, whichever is sooner.
403-09c	Outputs. E-mail notifications are received by USGS employees who have registered with the system. E-mail notifications are a consolidated listing of each new vacancy at the USGS, found in the OPM's USAJobs that meets the criteria provided by the employee.	Destroy when superseded, obsolete, or no longer needed.
403-09d	System Documentation. All material relating to the system resides on the web site.	Cut-off when system is replaced. Destroy any printed documentation 6 years after cut-off.
403-09e	All other copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the E-mail Vacancy Notification System.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.
403-10	Vacancy Announcements (as created and maintained in personnel offices). Information used to notify employee population of the availability of a particular job opening. Postings contain general description of duties, requirements, salary range, and cut-off date for accepting employment applications.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
403-11	Recruitment Packages. Packets containing original promotional material, blank forms giving investigative authorization, and general philosophy, benefits, and other incentives.	Cut-off at the end of the fiscal year. Destroy when superseded, obsolete, or no longer needed.
403-12	Prehire Test Files. Prehire test files consist of, but are not limited to, written and practical job-skill/proficiency pass/fail tests administered by labor management personnel to measure suitability for hire. Includes pre-placement physical examination.
403-12a	Successful prehire applicant test files, where an offer of employment was made.	Transfer to OPF after date of hire.
403-12b	Successful prehire applicant test files, where no employment offer was made.	Destroy 2 years after date of test.
403-12c	Unsuccessful prehire applicant test.	Destroy 1 year after date of test.
403-13	Employment Examination and Certification Records. 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.
403-13a	Delegated agreements.	Destroy 3 years after termination of agreement.
403-13b	Correspondence concerning applications, eligibles certification, and all other examining and recruiting operations including, but not limited to, correspondence from the Congress, White House, and general public, and correspondence regarding accommodations for holding examinations and shipment of test materials.	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
403-13c	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.
403-13d	Application Record Card (OPM Form 5000A, or equivalent).	Cut-off after examination. Destroy no later than 90 days after cut-off.
403-13e	Examination Announcement Case Files. Correspondence regarding examination requirements, original drafts of examination, and announcements issued excluding records concerning qualification standards, job specifications, and their development.	Destroy 5 years after termination of related register.
403-13f	Register of eligibles (OPM Form 5001-C or equivalent, documenting eligibility of an individual for Federal jobs).	Cut-off records at the end of the fiscal year on individuals with terminated eligibility. Destroy 5 years after cut-off.
403-13g	Letters to applicants denying transfer of eligibility (OPM Form 4896 or equivalent).	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
403-13h	Canceled and ineligible applications, supplemental forms, and attachments.	Ineligible applications may be returned to the applicant with the notice of ineligibility, unless otherwise directed by the local OPM area office. Destroy ineligible applications not returned and canceled applications 90 days after date of action or when register is terminated, whichever is sooner.
403-13i	Test Answer Sheets. Written test answer sheets for both eligibles and ineligibles. Filed by date of processing.	Destroy when 6 months old.
403-13j	Lost or Exposed Test Material Case Files. Records showing the circumstances of loss, nature of the recovery action, and corrective action required.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
403-13k	Eligible applications.
403-13k(1)	On active register.	Destroy upon termination of the register (except applications that may be brought forward to new register, if any).
403-13k(2)	On inactive register.	Destroy 1-12 months after eligibles are placed on inactive register, depending on space availability and difficulty of replacing the application for restoration.
403-13l	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 at the end of the fiscal year. Destroy 1 year after cut-off.
403-13m	Certificate Files. SF-39, SF-39A, or equivalent, and all papers upon which the certification was based: detailed rating schedule, record of selective and quality ranking factors used, list of eligibles screened for the vacancies, rating assigned, availability statements, and other documentation material designated by the examiner of retention. It is recommended that both the file copy and the audited report copy of the certificate be kept in this file. Files should be arranged to permit reconstruction or validation of actions taken in the event of appeal or legal action.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
403-13n	Certification request control index.	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
403-13o	Special Selection Program (SSP) application, registration sheets, letters, and other documentation.	Destroy upon expiration of employee's SSP eligibility.
403-14	Unemployment Compensation Records. Records documenting all aspects of the unemployment process from notification of termination and administrative review to any dispute hearings that may occur prior to or immediately following the termination process. These records include correspondence, compensation enrollment forms, employment verification, employee depositions, computation of benefit amounts, and related working papers between the compensating state and the personnel office.	If filed separately, cut-off at termination and maintain for 3 years. Link file to its related OPF and follow the disposition in Item 402-01.
403-15	Reductions-in-Force Files.
403-15a	Correspondence and related materials. Correspondence and related material pertaining to reductions-in-force (RIF) and separation procedures, exit interviewing, and resignation processes. Includes such things as appeal procedures and actions, assignment rights, scope of competition, competitive levels involuntary separations and furloughs other than military, surplus employee lists, and reemployment rights.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
403-15b	Retention Registers.
403-15b(1)	Registers of eligibles and related records used to effect RIF actions.	Destroy 3 years from the date the case closes.
403-15b(2)	Registers from which no RIF actions have been taken and related records.	Destroy when superseded or obsolete.
403-16	Online Automated Recruitment System (OARS). A computerized employment application processing system, which electronically prescreens candidates and ranks them according to specified criteria.
403-16a	Inputs. Electronic inputs consisting of registrant, vacancy announcement, and applicant information (answers to vacancy questions).	Delete or destroy after input and verification of data into master file or when no longer needed to support the reconstruction of the master file, whichever is later.
403-16b	Master File. Consists of a database that retains registrant, vacancy and applicant information, and does not interface with any other database.	Delete vacancy records that are over 3 years old and registrant records that have been inactive over 3 years.
403-16c	Outputs. Provides management with lists of vacancy questions and candidates eligible to be considered for selection.
403-16c(1)	Electronic Copy.	Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later.
403-16c(2)	Recordkeeping Copy (paper).	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
403-16d	System Documentation. Consists of user manuals.	Cut-off when system is replaced. Destroy 6 years after cut-off.
403-16e	All other copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the OARS and related website.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.
403-17	Exit Interviews. USGS web-based tool to conduct exit interviews and gather statistical information from departing USGS employees.
403-17a	Inputs. Electronic inputs consisting of survey information and answers to survey questions that exiting employees fill out before they leave the USGS.	Delete or destroy after input and verification of data into master file or when no longer needed to support the reconstruction of the master file, whichever is later.
403-17b	Master File. Consists of a database that houses the survey results and does not interface with any other database.	Delete records only when data is no longer statistically significant for doing trend analysis.
403-17c	Outputs. Provides management with a copy of the survey provided by employees that are leaving the USGS.
403-17c(1)	Electronic Copy.	Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later.
403-17c(2)	Recordkeeping Copy (paper).	Cut-off at the end of the fiscal year. Retire records to storage facility 2 years after cut-off. Destroy 6 years after cut-off.
403-17d	System Documentation. Consists of a Raosoft EZSurvey Project file.	Cut-off when system is replaced. Destroy 6 years after cut-off.
403-17e	All other copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the Exit Interview System and related website.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.
403-18	Federal Employee Express. An automated website connection where USGS and other participating Federal employees can make certain changes to personnel/payroll information 24 hours a day, seven days a week. Change types including, but not limited to, changes to Federal or State taxes, changes to direct deposits, address changes, Thrift Savings Plan changes, and health benefit changes.
403-18a	Information guides, booklets, publications, and such, maintained by USGS personnel offices for reference by USGS employees interested in how the Employee Express is used.	Cut-off at the end of the fiscal year. Destroy material of no further reference value.
403-18b	Employee informational e-mails, announcements, memoranda, and such, which provide information on the Employee Express including what it can be used for and how to obtain pin numbers.	Cut-off at the end of the fiscal year. Destroy material of no further reference value.
403-19	Thrift Savings Plan (TSP) Files.
403-19a	Information guides, booklets, publications, and such, maintained by USGS personnel offices for reference by USGS employees interested about the TSP.	Cut-off at the end of the fiscal year. Destroy material of no further reference value.
403-19b	Employee informational e-mails, announcements, memoranda, and such, which provide information on the TSP such as open season information, changing the amount or reallocating TSP contributions, investment guidelines, eligibility information, and items of interest.	Cut-off at the end of the fiscal year. Destroy material of no further reference value.

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Item No.	Description of Records	Disposition Instructions
404	Volunteer Personnel Files
404-01	Volunteer Personnel Files. Documenting the administration and operation of the volunteer program and the activities of individuals or organized groups who voluntarily and without compensation or reimbursement provide services to USGS.
404-01a	Volunteer Files. Personnel files as described in FPM 308.7-6d containing volunteer application, service agreement, performance evaluation, certificate of appreciation, correspondence, and related materials.	Cut-off at the end of the fiscal year in which services are terminated. Destroy 3 years after cut-off.
404-01b	Volunteer Program Administrative Files. General correspondence, annual reports, and other material documenting the routine administration, internal procedures, and general activities of the volunteer program.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
404-02	Volunteer for Science Program System. USGS system with information on the USGS Volunteer for Science Program.
404-02a	Inputs. Electronic inputs consisting of applications from perspective volunteers to apply for volunteer opportunities at the USGS and opportunities from managers.	Delete or destroy after input and verification of data into master file or when no longer needed to support the reconstruction of the master file, whichever is later.
404-02b	Master File. Consists of a database that contains volunteer applications.	Delete records after 1 year.
404-02c	Outputs. Provides management with volunteer application forms for consideration.
404-02c(1)	Electronic Copy.	Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later.
404-02c(2)	Recordkeeping Copy (paper).	Cut-off at the end of the fiscal year. Destroy 1 year after cut-off.
404-02d	System Documentation. Volunteer Handbook is available for managers. Applications are available online. Volunteer agreements and emergency care for minor forms are available for managers.	Cut-off when system is replaced. Destroy 6 years after cut-off.
404-02e	All other copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the Volunteer for Science Program website.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.

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Item No.	Description of Records	Disposition Instructions
405	Employee Performance and Utilization Files.
405-01	Employee Awards Files.
405-01a	General Awards Correspondence.
405-01a(1)	Case files including recommendations, approved nominations, memoranda, correspondence, reports, and related handbooks pertaining to agency-sponsored cash and non-cash awards such as incentive awards, within-grade merit increases, suggestions, and outstanding performance. Examples include, but are not limited to, Safety and Health Awards, Going the Extra Mile Award, and the Unsung Hero Award.	Destroy 2 years after approval or disapproval.
405-01a(2)	Correspondence or memoranda pertaining to awards from other Federal agencies or non-Federal organizations.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
405-01a(3)	Miscellaneous Employee Awards Correspondence. Copies of e-mails, memoranda, and other correspondence relating to employee awards.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
405-01b	Length of Service Awards Files. Records including correspondence, reports, computations of service, and lists of Length of Service awardees.	Destroy when 1 year old.
405-01c	Letters of Commendation and Appreciation. Copies of letters recognizing such things as employee retirement, letters of appreciation and commendation for performance, and thank you letters for services or assistance. Excludes copies filed in the OPF.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
405-01d	Lists of, or indexes to, agency award nominations. Lists of nominees and winners and indexes of nominations.	Destroy when superseded, obsolete, or no longer needed.
405-02	Employee Incentive Awards Program Reports. Miscellaneous reports pertaining to the operation of the bureau Incentive Awards Program.	Cut-off at the end of the fiscal year. Destroy 3 years after cut-off.
405-03	Human Resources Initiatives (HRI) Proposal Awards. Project funds available for the support of education and training by USGS employees.
405-03a	Files and records related to the USGS process for HRI Proposal Awards. These include, but are not limited to, records such as criteria to be used for selections, announcements to call for proposals, selection of a panel to review the proposals submitted, and determination of level at which approved proposals are funded.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
405-03b	HRI proposals received for consideration from bureauwide call.
405-03b(1)	Approved proposals.	Destroy 3 years after proposal is approved and funds have been distributed.
405-03b(2)	Unapproved proposals.	Destroy 1 year after proposal is rejected.
405-03c	Forms and other records generated by the agency to track and evaluate the process and review the results from the proposals chosen for conformance to criteria.	Destroy when 1 year old or when no longer needed, whichever is later.
405-04	Employee Performance File System Records.
405-04a	Non-SES appointees (as defined in 5 U.S.C. 4301(2)).
405-04a(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 notice.
405-04a(2)	Performance records superseded through an administrative, judicial, or quasi-judicial procedure.	Destroy when superseded.
405-04a(3)	Performance-related records pertaining to a former employee.
405-04a(3)(a)	Latest rating of record 3 years old or less and performance plan upon which it is based, and any summary rating.	Place records on left side of the OPF and forward the OPF to gaining Federal agency upon transfer or to NPRC if employee separates. An agency retrieving an OPF from NPRC will dispose of these documents in accordance with Item 405-04a(3)(b) below.
405-04a(3)(b)	All other performance plans and ratings.	Destroy when 4 years old or no longer needed, whichever is sooner.
405-04a(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.
405-04a(5)	Supporting documents.	Destroy 4 years after date of appraisal or when no longer needed, whichever is sooner.
405-04b	SES appointees (as defined in 5 U.S.C. 3132a(2)).
405-04b(1)	Performance records superseded through an administrative, judicial, or quasi-judicial procedure.	Destroy when superseded.
405-04b(2)	Performance-related records pertaining to a former SES appointee.
405-04b(2)(a)	Latest rating of record that is less than 5 years old and performance plan upon which it is based and any summary rating.	Place records on the left side of the OPF and forward the OPF to the gaining Federal agency upon transfer or to NPRC if employee leaves Federal service. An agency retrieving an OPF from NPRC will dispose of those documents in accordance with Item 405-04b(2)(b) below.
405-04b(2)(b)	All other performance ratings and plans.	Destroy when 5 years old or when no longer needed, whichever is sooner.
405-04b(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.
405-04b(4)	Supporting documents.	Destroy 5 years after date of appraisal or when no longer needed, whichever is sooner.

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Item No.	Description of Records	Disposition Instructions
406	Position Classification and Job Evaluation Files.
406-01	Classification Files.
406-01a	Position Classification Standards Files. Standards and guidelines issued or reviewed by OPM and used to classify and evaluate positions (including GS/GM and wage grade employees) within the agency.	Destroy when superseded or obsolete.
406-01b	Position Descriptions. Record copies 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.
406-01c	Survey Files.
406-01c(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.
406-01c(2)	Inspection, audit, and survey files including correspondence, memoranda, reports and other records relating to inspections, surveys, desk audits, and evaluations.	Destroy when superseded or obsolete.
406-01d	Appeals Files.
406-01d(1)	Case files relating to classification appeals, excluding OPM classification certificate.	Destroy 3 years after case is closed.
406-01d(2)	Certificates of classification issued by OPM.	Destroy after the affected position is abolished or superseded.
406-02	FastClass. USGS web-based classification system that will automate the process of developing and classifying position descriptions.
406-02a	Inputs. Electronic inputs consisting of duty and factor statements that are used to create position related documentation.	Delete or destroy after input and verification of data into master file or when no longer needed to support the reconstruction of the master file, whichever is later.
406-02b	Master File. Consists of a database that contains position descriptions of record and standardized position descriptions. This system interfaces with the task statements housed in the OARS database.	Delete position descriptions of record 2 years after the position is abolished or the description is superseded. Standard position descriptions may be deleted when no longer needed.
406-02c	Outputs. Provides management with position related documentation such as position descriptions and position description coversheets.
406-02c(1)	Electronic Copy.	Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later.
406-02c(2)	Recordkeeping Copy (paper).	Destroy record 2 years after the position is abolished or description is superseded.
406-02d	System Documentation. Consists of a user manual and developmental documentation such as specifications and requirements.	Cut-off when system is replaced. Transfer to records storage facility 1 year after cut-off. Destroy 6 years after cut-off.
406-02e	All other copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the FastClass System and related website.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.

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Item No.	Description of Records	Disposition Instructions
407	Employee Relations and Service Files.
407-01	Employee Relations Case Files. Records relating to disciplinary and adverse actions, performance-based actions, appeals, grievances, denials of within-grade increases, and cases in which discussions were held but no action was taken.
407-01a	Disciplinary and adverse actions.	Destroy 5 years after case is closed.
407-01b	Performance-based actions (including denial of within-grade increases).	Destroy 5 years after case is closed.
407-01c	Appeals of disciplinary/adverse actions and performance-based actions.	Destroy 5 years after case is closed.
407-01d	Grievances.	Destroy 5 years after case is closed.
407-01e	Separation of probationary employees.	Destroy 5 years after separation.
407-01f	Cases in which no action was taken.	Destroy 1 year after date of last contact or 6 months after employee's separation, whichever is earlier.
407-02	Employee Investigative Files. Records of investigations conducted by and for the personnel office pertaining to allegations of violations and misconduct of employees (exclusive of Equal Employment Opportunity (EEO) case files).	Destroy 1 year after case is closed.
407-03	Employee Benefits Files. Records relating to employee retirement, life insurance, health benefits, and death benefits programs.
407-03a	Retirement Case Files. Duplicate copies of retirement applications and all other forms forwarded to OPM for adjudication of employee's retirement.	Destroy 2 years after effective date of retirement.
407-03b	Estimated annuity computations.	Destroy upon retirement.
407-03c	Retirement Assistance Files. Correspondence, memoranda, and other records used to assist retiring employees or survivors claim insurance or retirement benefits.	Cut-off files at the end of the fiscal year. Destroy when superseded, obsolete, or no longer needed.
407-03d	Death case files. Duplicate copies of claim forms forwarded to OPM and the Office of Federal Employee Group Life Insurance for adjudication of survivor benefits.	Destroy 2 years after date of death.
407-03e	Retirement "call-up" cards. Summarized information on 3" x 5" cards about employees who have retired or died.	Retain cards indefinitely for reference purposes. Destroy when no longer needed for reference purposes.
407-04	Wage Survey Files. Wage survey reports and data, background documents, and related 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.
407-05	Personnel Counseling Records.
407-05a	Counseling Files. Reports of interviews, analyses, and related records.	Destroy 3 years after termination of counseling.
407-05b	Alcohol and Drug Abuse Program Files. Records created in planning, coordinating, and directing an alcohol and drug abuse program.	Destroy when 3 years old.
407-06	Employee Concerns Program. Employee Concerns Program Case Files, which serve to document employee allegations of impropriety or inadequacy of USGS and/or contractor-managed activities. Subjects include, but not strictly limited to, environmental, safety, and health-related issues; fraud; waste; and abuse; personnel and management matters; quality; security conditions; or incidents of retaliation. Supporting documents include employee statements or declarations, witness testimonials, investigation reports, and corrective actions to mitigate potential risks to the public, the environment, employees of the USGS, or relevant contractor entities.
407-06a	Official Employee Concerns Program Files.
407-06a(1)	Concerns relating to security, environmental, safety, and health-related issues.	Cut-off at the close of the fiscal year in which the case was closed. Destroy 10 years after cut-off.
407-06a(2)	All other concerns.	Cut-off at the close of the fiscal year in which the case was closed. Destroy 4 years after cut-off.
407-06b	Records documenting concerns that do not develop into official cases.
407-06b(1)	Security-related concerns.	Cut-off at the end of the fiscal year. Destroy 4 years after cut-off.
407-06b(2)	All other concerns.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off.
407-07	Conflict Resolution (CORE) Program. CORE Program offers an ideal forum of opportunity for early resolution of workplace conflicts.
407-07a	Mediation Files. Mediator retains the following records: intake form, agreement to mediate, notice of results and options, participant evaluation form, and original copy of written agreements.	Destroy 5 years after termination of mediation.
407-07b	All other records, notes, work products, or the like developed during the mediation process.	Destroy after the completion of the mediation process.
407-07c	Other records. General administrative records, memoranda, e-mails, and such that pertain to the CORE Program and its benefits to USGS employees.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.

 Return to Start of Chapter 400 Schedule

Item No.	Description of Records	Disposition Instructions
408	Workplace Enhancement Programs. USGS programs designed to improve work environment and to help provide employees with the tools they need to meet the USGS mission goals.
408-01	Bright Ideas. USGS Quality of Worklife initiative to help find ways to improve the USGS work environment to make the USGS environment as comfortable, pleasant, and employee-oriented as possible.
408-01a	Record copies of employee suggestions, replies to the suggestions, and results of any actions taken in response to the suggestions.	Cut-off at the end of the fiscal year. Destroy 5 years after cut-off.
408-01b	Copies of employee e-mails and other materials relating to Bright Ideas, including, but not limited to, updates on the initiative, updates on suggestions received, and actions taken. Copies of suggestions and responses thereto retained by employees.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when no longer needed, whichever is later.
408-02	Alternate Worksite/Flexiplace/Telecommuting Program.
408-02a	Approved requests or applications to participate in an alternate worksite/flexiplace program; agreements between the agency and the employee and/or telecommuting center; and records relating to the safety of the worksite, the installation and use of equipment, hardware, and software, and if required, the use of secure, classified information, or data subject to the Privacy Act.	Destroy 1 year after the end of the employee's participation in the program.
408-02b	Unapproved requests.	Destroy 1 year after request is rejected.
408-02c	Miscellaneous forms, reports, and such generated by the agency or the participating employee evaluating the alternate worksite/flexiplace/telecommuting program.	Destroy when 1 year old, or when no longer needed, whichever is later.
408-03	Transportation Fringe Benefit Program. For USGS employees who use public transportation for commuting to and from work, or who commute in a commuter highway vehicle on a regular, ongoing basis and are eligible to receive tax benefits for qualifying transportation expenditures.
408-03a	Approved requests or applications to participate in the Transportation Fringe Benefit Program.	Destroy 1 year after the end of the employee's participation in the program.
408-03b	Unapproved requests.	Destroy 1 year after request is rejected.
408-03c	Forms and other records generated by the agency and the participating employee in evaluating the program.	Destroy when 1 year old, or when no longer needed, whichever is later.
408-04	Federally Run Day Care Centers. Correspondence, reports, and any other records pertaining to the general administration, operation, financing, budgeting, personnel, hiring, and such associated with USGS oversight or association with a Federally run day care center.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.
408-05	General Workplace Enhancement Program Files. Miscellaneous correspondence, reports, and other records relating to bureau general announcements, memoranda, e-mails, updates, and such on Workplace Enhancement Programs for employees at the USGS.	Cut-off at the end of the fiscal year. Destroy 2 years after cut-off or when superseded, obsolete, or no longer needed, whichever is later.

 Return to Start of Chapter 400 Schedule

Item No.	Description of Records	Disposition Instructions
409	Employee Standards of Conduct and Codes of Ethics Files.
409-01	Employee Standards of Conduct and Codes of Ethics Files. Correspondence, memoranda, advisories, and other records relating to general standards of conduct and ethics topics other than those referenced in Item 409-02 through Item 409-06 below. Topics include, but not limited to, gambling, political activities, dual compensation, expert witness, lobbying, nepotism, misuse of Government property, and misuse of position, fund raising, post employment, representational activities, and gift acceptance.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off or when superseded, obsolete, or no longer needed.
409-02	Financial Disclosure Reports.
409-02a	Reports and related documents submitted by individuals as required under the Ethics in Government Act of 1978 (Public Law 95-521).
409-02a(1)	Records, including SF-278A, for individuals filing according to Section 201b of the Act, and not subsequently confirmed by the U.S. Senate.	Destroy 1 year after nominee ceases to be under consideration for appointment, except those documents needed in an ongoing investigation will be retained until no longer needed in the investigation.
409-02a(2)	All other records, including SF-278.	Destroy when 6 years old, except those documents needed in an ongoing investigation will be retained until no longer needed in the investigation.
409-02b	All other statements of employment and financial interest and related records, including confidential statements filed under Executive Order 11222.	Destroy when 6 years old, except those documents needed in an ongoing investigation will be retained until no longer needed in the investigation.
409-03	Stock Holding Conflicts and Advisories. The USGS Organic Act prohibits USGS employees from owning some stock in the areas of oil, gas, or mining activities in the United States and other stocks are subject to dollar limitations on the value of shares that may be held. Through guidance issued in the USGS Financial Guide, employees are responsible to ensure they are in compliance by periodically reviewing their holdings or when changes occur through inheritance or gifts. When conflicts arise, case files are created containing information appropriate to the case. Depending on the aspects of the case, files could contain such things as written waivers, recusals, divestiture orders and certificates of divestitures, appeals, and remediation information.	Cut-off at the end of the fiscal year in which the case was closed. Destroy 5 years after cut-off.
409-04	Conflict-of-Interest Files. These files contain outside work requests (USGS Form 9-1510); Reports of Payments from Non-Federal sources (DI-2000); gift acceptance documentation; and conflict-of-interest determinations/opinions for specific employee situations. All of these forms and records are reviewed and analyzed to make conflict-of-interest determinations in accordance with Code of Federal Regulations (CFR) and Department of the Interior requirements.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off.
409-05	Serving as Officers in Outside Organizations. Department of the Interior policy requires that employees who serve as officers or Board of Directors members of outside organizations, and who represent these organizations in their official USGS capacities, complete Memorandums of Understanding (MOUs) between the USGS and the outside organizations. The policy also requires that 18 USC 208(b)(1) waivers be completed for these same individuals.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off.
409-06	Ethics Training Records. CFR requirements mandate that all individuals filing financial disclosure reports complete a minimum of 1 hour of ethics training per year. New employees are also expected to complete a minimum of 1 hour of ethics training.	Cut-off at the end of the fiscal year. Destroy 6 years after cut-off.

 Return to Start of Chapter 400 Schedule

Item No.	Description of Records	Disposition Instructions
410	Federal Workplace Drug Testing.
410-01	Federal Workplace Drug Testing Program Files. Drug testing program records created under Executive Order 12564 and Public Law 100-71, Section 503 (101 Stat. 468), including annual reports to Congress, as required by Public Law 100-71, § 503(f). Excluded are consolidated statistical and narrative reports concerning the operation of bureau programs.
410-01a	Drug test plans and procedures, excluding documents that are filed in record sets of formal issuances (directives, procedures handbooks, operating manuals, and the like). Bureau 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, obsolete, or no longer needed, whichever is later. (See NOTE below.)
410-01b	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 below).
410-01c	Drug Test 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 below).
410-01d	Records relating to the collection and handling of specimens.
410-01d(1)	"Permanent" 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.
410-01d(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.
410-01e	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.
410-01e(1)	Positive results.
410-01e(1)(a)	Employees.	Destroy when employee leaves the agency or when 3 years old, whichever is later.
410-01e(1)(b)	Applicants not accepted for employment.	Destroy when 3 years old.
410-01e(2)	Negative results.	Destroy when 3 years old. NOTE: Any records covered by Item 410-01a. through Item 410-01e., that are relevant to litigation or disciplinary actions should be disposed of no earlier than the related litigation or adverse action case file(s).
410-02	Federal Workplace Drug Awareness Program Files. Materials pertaining to the administration of drug awareness and control programs. Includes such things as notices of bureau or departmental drug awareness training programs, all employee notifications regarding drug awareness at the USGS, and procedures for drug incident reporting.	Cut-of