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U.S. Geological Survey Manual

U.S. Geological Survey

General Records Disposition Schedule

Prepared by the Geospatial Information Office

432-1-S1

May 2009

U.S. Department of the Interior
U.S.Geological Survey


Foreword and Table of Contents | Record of Posted Changes | Information on Official Records | How to use Records Disposition Schedules | Changes in this Issuance | Chapter 100 | Chapter 200 | Chapter 300 | Chapter 400 | Chapter 500 | Chapter 600 | Chapter 700 | Chapter 800 | Chapter 900 | Chapter 1000 | Chapter 1100 | Chapter 1200 | Chapter 1300 | Appendix 1 | Appendix 2

Chapter 400. Human Capital Program (Including Payroll and Time And Attendance Records), Equal Employment Opportunity, and Employee Development Records

Records relating to all areas involved in the oversight and management of Federal civilian personnel.

Chapter 400 Topics This section provides for the disposition of the following:
  401. Human Capital Program Files
  402. Official Personnel Folders (OPF)
  403. Volunteer Personnel Files
  404. Employment Files
  405. Employee Performance and Awards Files
  406. Position Classification and Job Evaluation Files
  407. Employee Relations and Service Files
  408. Benefits and Workplace Enhancement Program Records
  409. Ethics and Employee Standards of Conduct
  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


401. Human Capital Program Files include the following records:
401-01 Human Capital Program Plans and General Records – Correspondence, program planning records, and other general administrative and operational records.
401-02 Human Capital Management Analysis, Statistical, and Other Reports – Miscellaneous reports relating to Human Capital management activities.
401-03 Human Resources Initiatives (HRI) Proposal Awards – Files and related records on project proposals and funding.


402. Official Personnel Folders (OPF) include the following records:
402-01 OPF of Federal Employees – Records, copies, correspondence, and other forms maintained in the OPF.
402-02 Supervisor’s Personnel Files and Duplicate OPF Documentation – Correspondence and other related records on individual employees duplicated or not appropriate for the OPF and maintained for convenience.


403. Volunteer Personnel Files include the following records:
403-01 Volunteer Files – Files and related documents for volunteer personnel.
403-02 Volunteer Program Administrative Files – General correspondence, reports, and other materials which document the activities of the Volunteer Program.


404. Employment Files include the following records:
404-01 Appointment Information and Employment Staffing and Analysis Files – Materials pertaining to appointments.
404-02 Offers of Employment Files – Correspondence related to offering appointments to potential employees.
404-03 Certificates of Eligibles Files – Copies of certificates and related correspondence.
404-04 Employee Merit Promotion Case Files – Records relating to promotions.
404-05 Personnel Interview Records – Records relating to interviews.
404-06 Notifications of Personnel Actions – Records documenting personnel actions.
404-07 Employment Applications – Application records.
404-08 E-Mail Vacancy Notification System – USGS system which automatically sends out notifications, by e-mail, whenever jobs are available that meet employee specifications.
404-09 Vacancy Announcements (As Created and Maintained in Personnel Offices) – Postings used to notify employees of available jobs.
404-10 Recruitment Packages – Packets containing promotional materials on the USGS.
404-11 Prehire Test Files – Records used to measure suitability for hire.
404-12 Employment Examination and Certification Records – Records which allow for the examination and certification of applicants for employment.
404-13 Unemployment Compensation Records – Records documenting the unemployment process.
404-14 Reductions-in-Force Files – Correspondence and other related records pertaining to separation procedures.
404-15 Online Automated Recruitment System (OARS) – Computerized employment application processing system.
404-16 Exit Interviews – USGS web-based system to conduct exit interviews and gather statistical information from departing employees.
404-17 Volunteer for Science Program System – USGS system with information on perspective volunteers.


405. Employee Performance and Awards Files include the following records:
405-01 Employee Awards Files – Case files on employee awards and copies of letters of commendation and appreciation.
405-02 Employee Performance File System Records – Appraisal, performance plans, and ratings along with supporting documentation.


406. Position Classification and Job Evaluation Files include the following records:
406-01 Classification Files – Position classification standards, guidelines, and other review records.
406-02 FastClass – USGS web-based classification system that generates position descriptions.
406-03 Wage Survey Files – Records and related correspondence pertaining to area wages paid for employees.
406-04 Pay Comparability Records – Records documenting use of retention initiatives such as recruitment bonuses.
406-05 Classification Appraisals (Pay) Files – Documents the comparison of salaries.


407. Employee Relations and Service Files include the following records:
407-01 Employee Relations Case Files – Records relating to disciplinary and adverse actions.
407-02 Employee Investigative Files – Records of investigations conducted by and for personnel offices.
407-03 Leave Program Files – Records associated with bureau leave programs.
407-04 Employee Concerns Program – Case files which document employee allegations on such areas as environmental, safety, and health-related issues.
407-05 Conflict Resolution (CORE) Program – Records of program oversight and mediation.


408. Benefits and Workplace Enhancement Program Records include the following records:
408-01 Physical Fitness Program – Records on all aspects of local and bureau programs and employee reimbursements.
408-02 Alternate Worksite/Flexiplace Telecommuting Program – Miscellaneous records and reports and employee agreement records.
408-03 Transportation Fringe Benefit Program – Miscellaneous records and employee participation records.
408-04 Federally Run Day Care Centers – Records related to general administration and operation of centers.
408-05 General Workplace Enhancement Program Files – Miscellaneous records relating to employee programs.
408-06 Employee Assistance Program (EAP) Files – Program files and general records relating to general health and wellness topics.
408-07 Federal Employees Health Benefits Program – Records related to eligibility.
408-08 Employee Benefits Files – Records on retirements and death cases.


409. Ethics and Employee Standards of Conduct Records include the following records:
409-01 Ethics and Employee Standards of Conduct Files – Records related to general standards of conduct and ethics topics.
409-02 Financial Disclosure Reports – Records and related documents submitted by individuals required to submit reports.
409-03 Stock Holding Conflicts and Advisories – Guidance and case files regarding all aspects of the USGS Conflict of Interest Policy and its compliance.
409-04 Conflict-of-Interest Files – Forms and records on outside work requests.
409-05 Serving in Official Duty Capacity in Outside Organizations – Employee records on serving as officers or members of Boards of outside organizations.
409-06 Ethics Training Records – Records on required mandatory annual training requirements for individuals filing financial disclosure reports.
409-07 Acreage Report Files – Miscellaneous reports related to individuals and companies holding Federal oil, gas, or mining leases.


410. Federal Workplace Drug Testing Records include the following records:
410-01 Federal Workplace Drug Testing Program Files – Drug testing program records.
410-02 Federal Workplace Drug Awareness Program Files – General documents pertaining to administration of the bureau drug awareness program.


411. Special Appointment Files include the following records:
411-01 Americans with Disabilities Act Files – Files describing and documenting work environment issues.


412. Educational and Student Program Files include the following records:
412-01 Academic and Outreach Programs – Records that document educational outreach.
412-02 Apprenticeship Program Files – Records and related documents developed during apprenticeship terms.
412-03 Tuition Reimbursement Records – Records relating to employees involved in a tuition assistance program.
412-04 Student Recruitment System (SRS) – USGS system that allows students to learn about the USGS.
412-05 Student Placement Assistance (SPA) System – Interactive website which assists current students in locating alternate positions.


413. Employee Training Files include the following records:
413-01 Learning Management System (LMS) – Employee records of training.
413-02 Training Records – Records associated with the coordination of training courses.
413-03 USGS Programs Designed to Help USGS Employees – Records and other documents related to employee programs.
413-04 Training Support Databases – System used to support administrative or housekeeping functions.


414. Employee Health Files include the following records:
414-01 Individual Non-Occupational Health Record Files – Records documenting an individual employee’s medical history.
414-02 Health Unit Control Files – Records reflecting visits to health units.
414-03 Employee Medical Folders (EMF) – Individual employee medical files.
414-04 Employee Health Statistical Summaries – Records pertaining to employee health statistics and smoking issues and policies.
414-05 Worker’s Compensation Files – Records relating to on-the-job injuries.
414-06 Occupational Injury and Illness Files – Records documenting occupational injuries and illnesses.


415. Labor Relations Files include the following records:
415-01 Labor Management Relations – Records relating to relationship between management and employee unions or other groups.
415-02 Certification/Decertification Files – Files documenting management’s actions relating to the response to union membership organizing drives.


416. EEO files include the following records:
416-01 EEO Official Discrimination Records – Case files of complaints.
416-02 EEO Compliance Records – Records relating to contractor employment practices and reports on compliance.
416-03 EEO Employment Statistics Files – Records relating to employment statistics.
416-04 EEO Affirmative Action Plans (AAPs) – Records of reports and other related documents.
416-05 Special Emphasis Programs and Project Records – Records on all aspects of special emphasis programs and projects.
416-06 EEO General Files – General correspondence related to the EEO program.


417. Payroll and Time and Attendance Files include the following records:
417-01 Individual Employee Pay Records – Employee pay records.
417-02 Non-Current Payroll Files – Copies of non-current payroll data.
417-03 Time and Attendance – Leave Application Files – Approvals of employee leave requests.
417-04 Time and Attendance Source Records – Records which leave input data are based on.
417-05 Time and Attendance Input Records – Records used to input time into a payroll system.
417-06 Flexitime Attendance – Background records used for time under flexitime systems.
417-07 Leave Record Files – Records of employee leave.
417-08 Tax Files – Copies of employee tax information.
417-09 Savings Bond Purchase Files – Records regarding savings bond purchases.
417-10 Combined Federal Campaign and Other Allotment Authorizations – Employee authorization records.
417-11 Payroll Levy and Garnishment Files – Official notices and related correspondence.
417-12 Payroll Administration – Payroll System Reports – Reports and data used for agency workload and/or personnel management purposes.
417-13 Payroll Adjustment and Change Files – Corrections or adjustments to pay.
417-14 Payroll Correspondence – Copies of correspondence between the USGS and payroll and any general payroll records.


What records in this chapter 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 records in this section are considered temporary USGS records?
  • Human Capital Program files.
  • HRI proposal 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.
  • Employment files.
  • Employment examination files.
  • Employee awards files.
  • Position classification files.
  • Wage and pay records.
  • Employee relations and service files.
  • Employee investigative files.
  • Employee concerns files.
  • Workplace enhancement program materials.
  • Employee benefits files.
  • Employee Assistance Program files.
  • Standards of conduct files.
  • Ethics files.
  • Federal workplace drug testing files.
  • Special appointment files.
  • Educational and student outreach program records.
  • Employee training files.
  • Miscellaneous health files not pertaining or found in EMFs.
  • Labor relation files.
  • EEO files after resolution of cases and various compliance and review files.
  • Miscellaneous files relating to leave, time and attendance, and payroll.


Questions? Contact the USGS Records Manager or your discipline or regional Records Liaison Officer - http://internal.usgs.gov/gio/irm/fmassis2.html.


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Chapter 400. Human Capital Program (Including Payroll and Time And Attendance Records), Equal Employment Opportunity, and Employee Development Records

401 Human Capital Program Files || 402 Official Personnel Folders (OPF) || 403 Volunteer Personnel Files || 404 Employment Files || 405 Employee Performance and Awards Files || 406 Position Classification and Job Evaluation Files || 407 Employee Relations and Service Files || 408 Benefits and Workplace Enhancement Program Records || 409 Ethics and Employee Standards of Conduct || 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

Item No. Record Item / Description of Records Disposition Instructions Authority
401 Human Capital Program Files.    
401-01 Human Capital Program Plans and General Records. Correspondence, memoranda, announcements, and other records relating to the Human Capital Strategic Plan, Human Capital Program plans, and general administration and operation records of the Office of Human Capital functions. Excludes records specifically described elsewhere in this schedule and records maintained at agency staff planning levels. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff, or when no longer needed, whichever is sooner. N1-57-02-02, Item 401-01
401-02 Human Capital Management Analysis, Statistical, and Other Reports. Miscellaneous reports generated in the Office of Human Capital and subordinate units relating to Human Capital management activities. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff, or when no longer needed, whichever is sooner. RCS/Item 401-05 and GRS 1, Item 16
401-03 Human Resources Initiatives (HRI) Proposal Awards. Project funds available for the support of education and training by USGS employees.    
401-03a 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. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. N1-57-02-02, Item 405-03a
401-03b HRI proposals received for consideration from bureauwide call.    
401-03b(1) Approved Proposals. Destroy 3 years after proposal is approved and funds have been distributed. N1-57-02-02, Item 405-03b(1)
401-03b(2) Unapproved Proposals. Destroy 1 year after proposal is rejected. N1-57-02-02, Item 405-03b(2)
401-03c 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. N1-57-02-02, Item 405-03c

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Item No. Record Item / Description of Records Disposition Instructions Authority
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. RCS/Item 401-02a and GRS 1, Item 1a
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. RCS/Item 401-02b and GRS 1, Item 1b
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 405-02 for disposition of temporary performance-related records. N1-57-02-02, Item 402-01c
402-01d Immigration and Naturalization Service Forms I-9. Destroy 3 years after employee separates from service or transfers to another agency. N1-57-02-02, Item 402-01d
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; performance plans and reviews; 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 (e-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. RCS/Item 401-04a and GRS 1, Item 18a
402-02b Duplicate Documentation. Other copies of documents duplicated in OPFs not provided for elsewhere in this schedule. Destroy when 6 months old. RCS/Item 401-04b and GRS 1, Item 18b
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. N1-57-02-02, Item 402-02c

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Item No. Record Item / Description of Records Disposition Instructions Authority
403 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.    
403-01 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. Cutoff at the end of the fiscal year in which services are terminated. Destroy 3 years after cutoff. N1-57-02-02, Item 404-01a
403-02 Volunteer Program Administrative Files. General correspondence, annual reports, and other material documenting the routine administration, internal procedures, and general activities of the volunteer program. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-02-02, Item 404-01b

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Item No. Record Item / Description of Records Disposition Instructions Authority
404 Employment Files.    
404-01 Appointment Information and Employment Staffing and Analysis Files. Material pertaining to the appointment and tenure or career, career-conditional, temporary, indefinite employees and to employment staffing methods, procedures, and practices. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. N1-57-02-02, Item 403-01
404-02 Offers of Employment Files. Correspondence, including letters and telegrams, offering appointments to potential employees.    
404-02a Accepted Offers Destroy when appointment is effective. N1-57-02-02, Item 403-03a and GRS 1, Item 4a
404-02b Declined offers for Federal employment:    
404-02b(1) When name is received from certificate of eligibles. Return to Office of Personnel Management (OPM) with reply and application. N1-57-02-02, Item 403-03b(1) and GRS 1, Item 4b(1)
404-02b(2) Temporary or Excepted Appointment. File with application. (See Item 404-07). N1-57-02-02, Item 403-03b(2) and GRS 1, Item 4b(2)
404-02b(3) All Others. Destroy immediately. N1-57-02-02, Item 403-03b(3) and GRS 1, Item 4b(3)
404-03 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. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. RCS/Item 402-01 and GRS 1, Item 5
404-04 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. In instances where a complaint has been filed concerning an action, file must be retained for a minimum of 2 years following resolution of the case. N1-57-02-02, Item 403-05
404-05 Personnel Interview Records. Correspondence, reports, and other records relating to interviews with employees. Destroy 6 months after transfer or separation of employee. RCS/Item 402-04 and GRS 1, Item 8
404-06 Notifications of Personnel Actions. Federal SF-50 and if available, fact sheets, documenting all individual personnel actions such as employment, promotions, transfers, and separation, exclusive of the copy in the OPF or in the supervisor’s reference file. Cutoff at the end of the fiscal year. Destroy when 2 years old. RCS/Item 402-07a and GRS 1, Item 14a
404-07 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. RCS/Item 402-08 and GRS 1, Item 15
404-08 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.    
404-08a 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. N1-57-02-02, Item 403-09a
404-08b 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. N1-57-02-02, Item 403-09b
404-08c 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. N1-57-02-02, Item 403-09c
404-08d System Documentation. All material relating to the system resides on the web site. Cutoff when system is replaced. Destroy any printed documentation 6 years after cutoff. N1-57-02-02, Item 403-09d
404-08e 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. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 403-09e
404-09 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 cutoff date for accepting employment applications. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. N1-57-02-02, Item 403-10
404-10 Recruitment Packages. Packets containing original promotional material, blank forms giving investigative authorization, and general philosophy, benefits, and other incentives. Cutoff at the end of the fiscal year. Destroy when superseded, obsolete, or no longer needed. N1-57-02-02, Item 403-11
404-11 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.    
404-11a Successful prehire applicant test files, where an offer of employment was made. Transfer to OPF after date of hire. N1-57-02-02, Item 403-12a
404-11b Successful prehire applicant test files, where no employment offer was made. Destroy 2 years after date of test. N1-57-02-02, Item 403-12b
404-11c Unsuccessful prehire applicant test. Destroy 1 year after date of test. N1-57-02-02, Item 403-12c
404-12 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.    
404-12a Delegated Agreements. Destroy 3 years after termination of agreement. RCS/Item 402-09a and GRS 1, Item 33a
404-12b Correspondence concerning applications, eligibles certification, and all other examining and recruiting operations. Includes, 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. Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. N1-57-02-02, Item 403-13b and GRS 1, Item 33b
404-12c 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. RCS/Item 402-09b and GRS 1, Item 33d
404-12d Application Record Card (OPM Form 5000A, or equivalent). Cutoff after examination. Destroy no later than 90 days after cutoff. N1-57-02-02, Item 403-13d and GRS 1, Item 33e
404-12e 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. Cutoff after termination of related register or inventory or after final action is taken on the certificate generated by case examining procedures. Destroy 2 years after cutoff. N1-57-02-02, Item 403-13e and GRS 1, Item 33f
404-12f Register of Eligibles (OPM Form 5001-C or equivalent, documenting eligibility of an individual for Federal jobs). Destroy 2 years after the date on which the register of inventory is terminated. N1-57-02-02, Item 403-13f and GRS 1, Item 33g
404-12g Letters to applicants denying transfer of eligibility (OPM Form 4896 or equivalent). Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. N1-57-02-02, Item 403-13g and GRS 1, Item 33h
404-12h Canceled and ineligible applications, supplemental forms, and attachments. Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. N1-57-02-02, Item 403-13h and GRS 1, Item 33k
404-12i Test Answer Sheets. Written test answer sheets for both eligibles and ineligibles. Filed by date of processing. Destroy when 6 months old. N1-57-02-02, Item 403-13i and GRS 1, Item 33i
404-12j Lost or Exposed Test Material Case Files. Records showing the circumstances of loss, nature of the recovery action, and corrective action required. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. N1-57-02-02, Item 403-13j and GRS 1, Item 33j
404-12k Eligible Applications.    
404-12k(1) On Active Register. Destroy 90 days after termination of the register or inventory, (except for those applications that may be brought forward to a new register or inventory, if any). N1-57-02-02, Item 403-13k(1) and GRS 1, Item 33l(1)
404-12k(2) On Inactive Register. Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. N1-57-02-02, Item 403-13k(2) and GRS 1, Item 33l(2)
404-12l Request for prior approval of personnel actions taken by agencies. Relating to such matters as promotion, transfer, reinstatement, or change in status, submitted by SF-59, OPM 648, or equivalent form. Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. RCS/Item 402-09c and GRS 1, Item 33o
404-12m 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. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff date unless litigation has resulted. In those cases, retain until further notice from OPM. N1-57-02-02, Item 403-13m and GRS 1, Item 33p
404-12n Certification Request Control Index. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-02-02, Item 403-13n and GRS 1, Item 33q
404-12o Interagency Placement Program (IPP) applications, registration sheets, letters, and other documentation. Destroy upon expiration of employee’s DEP eligibility. N1-57-02-02, Item 403-13o and GRS 1, Item 33r
404-13 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, cutoff at termination and maintain for 3 years. Link file to its related OPF and follow the disposition in Item 402-01. N1-57-02-02, Item 403-14
404-14 Reductions-in-Force Files.    
404-14a 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. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. N1-57-02-02, Item 403-15a
404-14b Retention Registers.    
404-14b(1) Registers of eligibles and related records used to effect RIF actions. Destroy 3 years from the date the case closes. N1-57-02-02, Item 403-15b(1) and GRS 1, Item 17b(1)
404-14b(2) Registers from which no RIF actions have been taken and related records. Destroy when superseded or obsolete. N1-57-02-02, Item 403-15b(2) and GRS 1, Item 17b(2)
404-15 Online Automated Recruitment System (OARS). A computerized employment application processing system, which electronically prescreens candidates and ranks them according to specified criteria.    
404-15a 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. N1-57-02-02, Item 403-16a
404-15b 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. N1-57-02-02, Item 403-16b
404-15c Outputs. Provides management with lists of vacancy questions and candidates eligible to be considered for selection.    
404-15c(1) Electronic Copy. Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later. N1-57-02-02, Item 403-16c(1)
404-15c(2) Recordkeeping Copy (paper). Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. N1-57-02-02, Item 403-16c(2)
404-15d System Documentation. Consists of user manuals. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-02-02, Item 403-16d
404-15e All Other Copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the OARS and related website. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 403-16e
404-16 Exit Interviews. USGS web-based tool to conduct exit interviews and gather statistical information from departing USGS employees.    
404-16a 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. N1-57-02-02, Item 403-17a
404-16b 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. N1-57-02-02, Item 403-17b
404-16c Outputs. Provides management with a copy of the survey provided by employees that are leaving the USGS.    
404-16c(1) Electronic Copy. Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later. N1-57-02-02, Item 403-17c(1)
404-16c(2) Recordkeeping Copy (paper). Cutoff at the end of the fiscal year. Retire records to storage facility 2 years after cutoff. Destroy 6 years after cutoff. N1-57-02-02, Item 403-17c(2)
404-16d System Documentation. Consists of a Raosoft EZSurvey Project file. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-02-02, Item 403-17d
404-16e 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. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 403-17e
404-17 Volunteer for Science Program System. USGS system with information on the USGS Volunteer for Science Program.    
404-17a 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. N1-57-02-02, Item 404-02a
404-17b Master File. Consists of a database that contains volunteer applications. Delete records after 1 year. N1-57-02-02, Item 404-02b
404-17c Outputs. Provides management with volunteer application forms for consideration.    
404-17c(1) Electronic Copy. Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later. N1-57-02-02, Item 404-02c(1)
404-17c(2) Recordkeeping Copy (paper). Cutoff at the end of the fiscal year. Destroy 1 year after cutoff. N1-57-02-02, Item 404-02c(2)
404-17d System Documentation. Volunteer Handbook is available for managers. Applications are available online. Volunteer agreements and emergency care for minor forms are available for managers. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-02-02, Item 404-02d
404-17e 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. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 404-02e

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Item No. Record Item / Description of Records Disposition Instructions Authority
405 Employee Performance and Awards Files.    
405-01 Employee Awards Files.    
405-01a Case Files. Includes recommendations, 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, outstanding performance, length-of-service, and any awards from other Federal agencies or non-Federal organizations. Also, copies of letters of commendation and appreciation. Examples of internal awards include, but are not limited to, Safety and Health Awards, Going the Extra Mile Award, Unsung Hero Award. (Excludes official copy in the OPF). Cutoff at the end of the fiscal year. Destroy 2 years after approval or disapproval or after cutoff, whichever is sooner. RCS/Item 403-01a(1) and GRS 1, Items 12a, 12b, and 12c
405-01b Employee Awards Correspondence and Reports. Copies of e-mails, memoranda, reports, and any other correspondence relating to the bureau Incentive Awards Program. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. RCS/Item 403-02 and GRS 1, Item 13
405-01c 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. RCS/Item 403-01d and GRS 1, Item 12d
405-02 Employee Performance File System Records.    
405-02a Non-SES appointees (as defined in 5 U.S.C. 4301(2)).    
405-02a(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. RCS/Item 403-03a(1) and GRS 1, Item 23a(1)
405-02a(2) Performance records superseded through an administrative, judicial, or quasi-judicial procedure. Destroy when superseded. RCS/Item 403-03a(2) and GRS 1, Item 23a(2)
405-02a(3) Performance-related records pertaining to former employees.    
405-02a(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 405-02a(3)(b) below. RCS/Item 403-03a(3)(a) and GRS 1, Item 23a(3)(a)
405-02a(3)(b) All other performance plans and ratings. Destroy when 4 years old. RCS/Item 403-03a(3)(b) and GRS 1, Item 23a(3)(b)
405-02a(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. RCS/Item 403-03a(4) and GRS 1, Item 23a(4)
405-02a(5) Supporting documents. Destroy 4 years after date of appraisal. RCS/Item 403-03a(5) and GRS 1, Item 23a(5)
405-02b SES appointees (as defined in 5 U.S.C. 3132a(2)).    
405-02b(1) Performance records superseded through an administrative, judicial, or quasi-judicial procedure. Destroy when superseded. RCS/Item 403-03b(1) and GRS 1, Item 23b(1)
405-02b(2) Performance-related records pertaining to a former SES appointee.    
405-02b(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 405-02b(2)(b) below. RCS/Item 403-03b(2)(a) and GRS 1, Item 23b(2)(a)
405-02b(2)(b) All other performance plans and ratings. Destroy when 5 years old. RCS/Item 403-03b(2)(b) and GRS 1, Item 23b(2)(b)
405-02b(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. RCS/Item 403-03b(3) and GRS 1, Item 23b(3)
405-02(b)(4) Supporting documents. Destroy 5 years after date of appraisal. RCS/Item 403-03b(4) and GRS 1, Item 23b(4)

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Item No. Record Item / Description of Records Disposition Instructions Authority
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. This also includes internal USGS classification guidance on interpreting OPM classification guidelines. Destroy when superseded or obsolete. RCS/Item 404-01a(1) and GRS 1, Item 7a(1)
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. RCS/Item 404-01b and GRS 1, Item 7b
406-01c Classification Review Files. Position review and audit files including correspondence, memoranda, reports and other records related to organizational and occupational reviews, desk audits, and position evaluations. Destroy when 3 years old or 2 years after regular inspection, whichever is sooner. RCS/Item 404-01c(1) and GRS 1, Item 7c(1)
406-01d Appeals Files.    
406-01d(1) Case files relating to classification appeals, excluding OPM classification certificate. Destroy 3 years after case is closed. RCS/Item 404-01d(1) and GRS 1, Item 7d(1)
406-01d(2) Certificates of classification issued by OPM. Destroy after the affected position is abolished or superseded. RCS/Item 404-01d(2) and GRS 1, Item 7d(2)
406-02 FastClass. USGS web-based classification system that will generate 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. N1-57-02-02, Item 406-02a
406-02b 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. N1-57-02-02, Item 406-02b
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. N1-57-02-02, Item 406-02c(1)
406-02c(2) Recordkeeping Copy (paper). Destroy record 2 years after the position is abolished or description is superseded. N1-57-02-02, Item 406-02c(2)
406-02d System Documentation. Consists of a user manual and developmental documentation such as specifications and requirements. Cutoff when system is replaced. Transfer to records storage facility 1 year after cutoff. Destroy 6 years after cutoff. N1-57-02-02, Item 406-02d
406-02e FastClass Related Files. Includes e-mails, announcements, memoranda, and other documents related to developing, implementing, and using the FastClass System and related website. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 406-02e
406-03 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. RCS/Item 704-22 and GRS 1, Item 38
406-04 Pay Comparability Records. Written narratives and computerized transaction registers documenting use of retention, relocation and recruitment bonuses, allowances, and supervisory differentials under Federal Employees Pay Comparability Act. Destroy 3 years following the date of approval or upon completion of the relevant service agreement or allowance, whichever is later. RCS/Item 704-08 and GRS 1, Item 41
406-05 Classification Appraisals (Pay) Files. Files, which document the comparison of salaries, paid locally and nationally to established salary percentage increase, comparative grade studies, guidelines, and justification base for employee performance assessments. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 417-12

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Item No. Record Item / Description of Records Disposition Instructions Authority
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 Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432). Case files and records related to adverse actions and performance-based actions (removal, suspension, reduction-in-grade, furlough) against employees. The file includes a copy of the proposed adverse action with supporting documents; statements of witnesses; employee’s reply; hearing notices, reports and decisions; reversal of action; and appeal records, excluding letters of reprimand which are filed in the OPF. Destroy 5 years after date of last entry. RCS/Item 405-01a and NC1-57-81-2, Item 15a and GRS 1, Item 30b
407-01b Appeals of Disciplinary/Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432). Case files and records related to adverse actions and performance-based actions (removal, suspension, reduction-in-grade, furlough) against employees. The file includes a copy of the proposed adverse action with supporting documents: statements of witnesses; employee’s reply; hearing notices, reports and decisions; reversal of action; and appeal records, excluding letters of reprimand which are filed in the Official Personnel Folder. Destroy 5 years after date of last entry. RCS/Item 405-01c and NC1-57-81-2, Item 15c
407-01c Administrative Grievance Files (5 CFR 771). Records relating to grievances raised by agency employees, except Equal Employment Opportunity (EEO) complaints. These case files include statements of witnesses, reports of interviews and hearings, examiner’s findings and recommendations, a copy of the original decision related correspondence and exhibits, and records relating to a reconsideration request. Destroy 5 years after date of last entry. RCS/Item 405-01d and NC1-57-81-2, Item 15d and GRS 1, Item 30a
407-01d Separation of Probationary employees. Destroy 5 years after separation. RCS/Item 405-01e and NC1-57-81-2, Item 15e
407-01e 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. RCS/Item 405-01f and NC1-57-81-2, Item 15f
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 EEO case files). Destroy 1 year after case is closed. RCS/Item 405-02 and NC1-57-81-2, Item 17
407-03 Leave Program Files. Includes, but not limited to, Family Friendly leave, restored leave, jury duty, leave without pay, military leave, and blood leave.    
407-03a General Administrative Records. Correspondence or subject files in the office responsible for overseeing employee leave programs. Files should include such items as bureau policy, procedures for governing, and correspondence to employees. Files should be separated by program and filed alphabetically. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 417-09a
407-03b Correspondence or Subject Files. For all other offices that receive e-mails, correspondence, pamphlets, or information on these other leave programs. Files should be separated by program and filed alphabetically. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 417-09b
407-03c Leave Transfer Program Case Files. Case files documenting the receipt and donation of leave for medical emergencies, including recipient applications, agency approvals or denials, medical or physician certifications, leave donation records or Optional Form 630-A, supervisor and timekeeper approvals, leave transfer records, payroll notification records, and leave program termination records. Beginning in January 1994, destroy 1 year after the end of the year in which the file is closed. RCS/Item 704-19 and GRS 1, Item 37
407-04 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.    
407-04a Official Employee Concerns Program Files.    
407-04a(1) Concerns relating to security, environmental, safety, and health-related issues. Cutoff at the close of the fiscal year in which the case was closed. Destroy 10 years after cutoff. N1-57-02-02, Item 407-06a(1)
407-04a(2) All other concerns. Cutoff at the close of the fiscal year in which the case was closed. Destroy 4 years after cutoff. N1-57-02-02, Item 407-06a(2)
407-04b Records Documenting Concerns that do not Develop into Official Cases.    
407-04b(1) Security-related concerns. Cutoff at the end of the fiscal year. Destroy 4 years after cutoff. N1-57-02-02, Item 407-06b(1)
407-04b(2) All other concerns. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff. N1-57-02-02, Item 407-06b(2)
407-05 Conflict Resolution (CORE) Program. CORE Program offers an ideal forum of opportunity for early resolution of workplace conflicts.    
407-05a Mediation Files. CORE Program Manager 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. N1-57-02-02, Item 407-07a
407-05b All Other Records, Notes, Work Products, or the Like Developed During the Mediation Process. Destroy after the completion of the mediation process. N1-57-02-02, Item 407-07b
407-05c Other Records. General administrative records, memoranda, e-mails, and such that pertain to the CORE Program and its benefits to USGS employees. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 407-07c

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Item No. Record Item / Description of Records Disposition Instructions Authority
408 Benefits and Workplace Enhancement Program Records. Records relating to employee retirement, life insurance, health benefits, death benefits, and 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 Physical Fitness Program. The USGS is committed to providing its employees with opportunities to achieve and maintain physical fitness to the fullest extent possible within budgetary constraints. The Physical Fitness Program is designed to provide interested employees access to fitness training while not dictating the form and source of that training.    
408-01a Physical Fitness Program Handbook. Provides information on the USGS Physical Fitness Program for local implementation to meet the needs of USGS employees, regardless of their geographic location. Destroy when 3 years old or when superseded, obsolete, or no longer needed, whichever is later. N1-57-08-1, Item 408-01a
408-01b Copies of the Waiver and Informed Consent Statement (Attachment 2 of Handbook) and substantiating reimbursement receipts. Maintain on file in the office where approval for cost sharing or employee reimbursement is exercised. Cutoff at the end of the fiscal year. Destroy 6 years after cutoff. N1-57-08-1, Item 408-01b
408-01c Copies of Employee E-mails and Other Materials. Relates to the Physical Fitness Program, including, but not limited to, updates on the initiative received and actions taken. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when no longer needed, whichever is later. N1-57-08-1, Item 408-01c
408-02 Alternate Worksite/Flexiplace Telecommuting Program.    
408-02a Approved requests or applications to participate in an alternate worksite/ flexiplace program. Includes 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. N1-57-02-02, Item 408-02a and GRS 1, Item 42a
408-02b Unapproved requests. Destroy 1 year after request is rejected. N1-57-02-02, Item 408-02b and GRS 1, Item 42b
408-02c Miscellaneous Forms and Reports. 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. N1-57-02-02, Item 408-02c and GRS 1, Item 42c
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. N1-57-02-02, Item 408-03a
408-03b Unapproved requests. Destroy 1 year after request is rejected. N1-57-02-02, Item 408-03b
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. N1-57-02-02, Item 408-03c
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. Cutoff at the end of the fiscal year. Destroy 6 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 408-04
408-05 General Workplace Enhancement Program Files. Miscellaneous correspondence, memoranda, e-mail, updates, reports, guides, booklets, publications, and other records relating to Workplace Enhancement Programs for employees at the USGS. Includes, but not limited to Federal Employee Express and the Thrift Savings Plan. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 408-05
408-06 Employee Assistance Program (EAP) Files.    
408-06a Files Concerning the Planning, Coordination, and Direction of the EAP. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff, or when no longer needed for reference, whichever is later. N1-57-08-1, Item 408-06a
408-06b Correspondence, memoranda, and other records relating to general health and wellness topics. Usually sent out by USGS employee health units. Examples include, but not limited to, notices of flu shots, announcements of health-related topics and visits, and health insurance information and visits. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 414-04a
408-07 Federal Employees Health Benefits Program. Denied eligibility files consisting of applications, court orders, denial letters, appeal letters, and related papers.    
408-07a Health benefits denied, not appealed. Destroy 3 years after denial. RCS/Item 407-07a and GRS 1, Item 35a
408-07b Health benefits denied, appealed to OPM for reconsideration.

408-07b(1) Appeal successful - benefits granted. Create enrollment file in accordance with Section 11 of the Federal Employee Health Benefits (FEHB) Handbook. RCS/Item 407-07b(1) and GRS 1, Item 35b(1)
408-07b(2) Appeal unsuccessful - benefits denied.

NOTE: Pursuant to Section 11 of the FEHB Handbook, enrollment files of spouses eligible for benefits are transferred to OPM when former spouse cancels the enrollment, when enrollment is terminated by the employing office, or when former spouse begins receiving an annuity payment.
Destroy 3 years after denial. RCS/Item 407-07b(2) and GRS 1, Item 35b(2)
408-08 Employee Benefits Files.    
408-08a 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. RCS/Item 405-03a and NC1-57-81-2, Item 20a
408-08b Estimated Annuity Computations. Destroy upon retirement. RCS/Item 405-03b and NC1-57-81-2, Item 20b
408-08c Retirement Assistance Files. Correspondence, memoranda, and other records used to assist retiring employees or survivors claim insurance or retirement benefits. Destroy when 1 year old. N1-57-02-02, Item 407-03c and GRS 1, Item 39
408-08d 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. RCS/Item 405-03c and NC1-57-81-2, Item 20c

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Item No. Record Item / Description of Records Disposition Instructions Authority
409 Ethics and Employee Standards of Conduct.    
409-01 Ethics and Employee Standards of Conduct Files. Correspondence, memoranda, advisories, e-mails, and other records relating to general standards of conduct and ethics topics other than those referenced in Item 409-02 through Item 409-07 below. Topics include, but not limited to: A-76 studies, awards, contractors in the workplace, contributions to USGS, cooperative agreements, court testimony, endorsements, Federal advisory committees, fiscal law issues, fundraising, gift acceptance, gambling, honoraria, Intergovernmental Personnel Act employees, limitations while seeking employment, lobbying, misuse of position, nepotism, outside work, political activity, post-Government employment, representational restrictions, teaching, speaking and writing, technology transfer, technical assistance agreements, training, and the use of Government resources. Cutoff at the end of the calendar year. Destroy 6 years after cutoff or when superseded, obsolete, or no longer needed. RCS/Item 405-05 and GRS 25, Item 1b
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. N1-57-02-02, Item 409-02a(1) and GRS 25, Item 2a(1), 2b(1), and 2c(1)
409-02a(2) Public Financial Disclosure Reports (SF 278) and Confidential Supplemental Financial Disclosure Reports (DI-278) as well as Confidential Financial Disclosure Reports (OGE Form 450) and Confidential Supplemental Financial Disclosure Reports (DI-1993 and DI-1993-A). Destroy when 6 years old, except those documents needed in an ongoing investigation will be retained until no longer needed in the investigation. N1-57-02-02, Item 409-02a(2) and GRS 25, Item 2a(2), 2b(2), and 2c(2)
409-03 Stock Holding Conflicts and Advisories. The USGS Organic Act prohibits USGS employees from owning stock in entities holding substantial Federal leases for 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, pursuant to USGS Conflict of Interest Policy. Through guidance issued in the Financial guide for USGS employees, 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, recusal memoranda, divestiture orders and certificates of divestitures, appeals, and remediation information. Cutoff at the end of the calendar year in which the case was closed. Destroy 5 years after cutoff. N1-57-02-02, Item 409-03
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 and ethics opinions for specific employee situations. All of these forms and records are reviewed and analyzed to make conflict-of-interest determinations in accordance with Federal statutes, the Code of Federal Regulations (CFR), DOI and Survey Manual requirements. Cutoff at the end of the calendar year. Destroy 6 years after cutoff. N1-57-02-02, Item 409-04 and GRS 25, Item 3
409-05 Serving in Official Duty Capacity in Outside Organizations. Employees who serve as officers or members of boards of Boards of Directors of outside organizations in their official USGS capacities, must have Memorandums of Understanding (MOUs) between the USGS and the outside organizations, waivers of conflict of interest under 18 U.S.C. 208(b)(1) and recusal memoranda. Cutoff at the end of the calendar year. Destroy 6 years after cutoff. N1-57-02-02, Item 409-05
409-06 Ethics Training Records. Federal regulations require that all individuals filing financial disclosure reports must receive a minimum of 1 hour of ethics training per year. New employees must receive initial ethics orientation training. Cutoff at the end of the calendar year. Destroy 6 years after cutoff. N1-57-02-02, Item 409-06 and GRS 25, Item 8
409-07 Acreage Report Files. The Ethics Office uses from the Bureau of Land Management (BLM) and the Minerals Management Service (MMS) to compile a consolidated report of individuals and companies holding Federal oil, gas, or mining leases. Cutoff at the end of the calendar year. Destroy 6 years after cutoff. N1-57-08-1, Item 409-07

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Item No. Record Item / Description of Records Disposition Instructions Authority
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.

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).


410-01a 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 above.) RCS/Item 405-06a and GRS 1, Item 36a
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 above). RCS/Item 405-06b and GRS 1, Item 36b
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 above). RCS/Item 405-06c and GRS 1, Item 36c
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. N1-57-02-02, Item 410-01d(1) and GRS 1, Item 36d(1)
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. N1-57-02-02, Item 410-01d(2) and GRS 1, Item 36d(2)
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. N1-57-02-02, Item 410-01e(1)(a) and GRS 1, Item 36e(1)(a)
410-01e(1)(b) Applicants not accepted for employment. Destroy when 3 years old. N1-57-02-02, Item 410-01e(1)(b) and GRS 1, Item 36e(1)(b)
410-01e(2) Negative Results. Destroy when 3 years old. RCS/Item 405-06d(2) and GRS 1, Item 36e(2)
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. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 410-02

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Item No. Record Item / Description of Records Disposition Instructions Authority
411 Special Appointment Files.    
411-01 Americans with Disabilities Act Files. Files that describe and document work environment issues related to employees with disabilities.

411-01a Routine Files. Contains employee requests for reasonable accommodations, including related working files, reports, exhibits and corrective actions, in accordance with the American with Disabilities Act. Cutoff at case closure. Destroy 3 years after cutoff. N1-57-02-02, Item 411-01a
411-01b Originating Agency's Files. Contains complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearing and meetings, and other records as described in 29 CFR 1613.222, in accordance with the Americans with Disabilities Act. Cutoff at case closure. Destroy 4 years after cutoff. N1-57-02-02, Item 411-01b

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Item No. Record Item / Description of Records Disposition Instructions Authority
412 Educational and Student Program Files.    
412-01 Academic and Outreach Programs. Records created to document educational outreach program transactions between the USGS and its contractors and schools, colleges, universities, community groups, and various State and Federal agencies for the purpose of generating and tracking interest in careers with the USGS and its contractors. Includes records relating to the oversight of the program such as informational guides, training aids, instructions, and other related documents. Also, includes records relating to tracking the impact of educational programs on the people involved and for measuring the success rate of each program; contract or funding information records such as MOUs with the schools, colleges and any grant, scholarship, or budget information; and records containing any contact information with the school or community group. Cutoff at the end of the fiscal year. Destroy 6 years after cutoff or project completion, whichever is later. N1-57-02-02, Item 412-01c
412-02 Apprenticeship Program Files. Apprentice program files consist of external training classroom and practical instruction records and reports of progress such as correspondence, testing, evaluations, and other pertinent information developed during the apprenticeship term.

412-02a Files of employees who successfully complete all aspects of apprenticeship program. Cutoff at separation or transfer of employee. Destroy 4 years after cutoff. N1-57-02-02, Item 412-02a
412-02b Files of employees who terminate or are terminated from the program prior to completion. Cutoff at termination. Destroy 10 years after cutoff. N1-57-02-02, Item 412-02b
412-03 Tuition Reimbursement Records. Records relating to tuition reimbursement for employees taking part in a tuition assistance program offered by the employers. The tuition reimbursement is provided for work related undergraduate certificate, and graduate level courses taken at an accredited college, university, or vocational school. The records consist of original, signed tuition request forms, notification of grades, proofs of payments, and related correspondence. Cutoff at the end of the fiscal year. Destroy 6 years and 3 months after cutoff. N1-57-02-02, Item 410-03
412-04 Student Recruitment System (SRS). A USGS system that allows students using the Internet to learn about the USGS, explore the benefits of working for the USGS and the Federal Government, and view information about applying for vacancies. Destroy when no longer needed for current business. N1-57-08-1, Item 412-04
412-05 Student Placement Assistance (SPA) System. Interactive website designed to assist current USGS student employees in locating alternate positions in the event the students are no longer available for their location, are switching career fields, or when their current appointment is scheduled to expire within the next 120 days.

412-05a Inputs. Electronic inputs consisting of Federal Personnel Payroll System (FPPS) data, student resumes and availability data, and supervisor evaluation. 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. N1-57-02-02, Item 412-05a
412-05b Master File. Consists of a database that tracks students through their resignation or conversion to permanent appointment. Delete records 5 years after student is converted to a permanent appointment or separated from the USGS, whichever is earlier. N1-57-02-02, Item 412-05b
412-05c Outputs. Provides management with electronic copies of student resumes for consideration for employment. Delete after no longer needed by management for employment consideration. N1-57-02-02, Item 412-05c
412-05d System Documentation. Step-by-step information is available electronically directly on the website. Documentation used in the development of the system as well as paper copy user guides are available. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-02-02, Item 412-05d
412-05e All Other Copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the SPA System Website as well as all aspects of students working for the USGS. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 412-05e

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Item No. Record Item / Description of Records Disposition Instructions Authority
413 Employee Training Files.    
413-01 Learning Management System (LMS). DOI employee record of training that tracks all investment in training and developmental experiences for Department employees. It can be used to plan for employee development via an Individual Development Plan (IDP), obtain approval for training, register students for training with the DOI-provider/vendor, track training investment/experiences, report employee development investment information to management, and obtain training investment at various organizational levels.

413-01a Inputs. Electronic inputs consisting of training information that is on the SF-182. 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. N1-57-08-1, Item 413-01a
413-01b Master File. Consists of a database of basic employee records that are uploaded from FPPS every two weeks. Upload allows identification of new USGS employees and flags employees who have left USGS in order to inactivate records. Electronic records of individual employees are inactivated as employees are separated from the agency. Records are deleted 6 years after inactivation, or when no longer needed for data analysis, whichever is later. N1-57-08-1, Item 413-01b
413-01c Outputs. Provides management with all training requests for approval and reports on what types of training and development is taken and how much is invested on training and development at the USGS.

413-01c(1) Electronic copy. Delete after recordkeeping copy is produced or no longer needed for operational purposes, whichever is later. N1-57-08-1, Item 413-01c(1)
413-01c(2) Recordkeeping Copy (paper). Cutoff at the end of the fiscal year. Retire records to storage facility 2 years after cutoff. Destroy 6 years after cutoff. N1-57-08-1, Item 413-01c(2)
413-01d System Documentation. Consists of system requirements analysis and design documents. Cutoff when system is replaced. Destroy 6 years after cutoff. N1-57-08-1, Item 413-01d
413-01e All Other Copies. Informational copies of employee e-mails, announcements, memoranda, and such relating to implementation and use of the Learning Management System website. Cutoff at the end of the fiscal year. Destroy 2 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-08-1, Item 413-01e
413-02 Training Records. Records associated with the coordination of courses excluding records of formally established Office of Employee Development programs including Orientation, Mentoring, Supervisory/Management, and Leadership.

413-02a General files of agency-sponsored training, excluding record copy of manuals, syllabuses, textbooks, and other training aids developed by the bureau. Correspondence, memoranda, agreements, authorizations, reports, requirement reviews, plans, working files, and objectives relating to the establishment and operation of training courses and conferences. Examples include, but not limited to, Field Water Quality Methods for Ground Water and Surface Water and the Joint Fact-Finding Seminar. Destroy when 5 years old or 5 years after completion of a specific training program. RCS/Item 406-01a(1) and GRS 1, Item 29a(1) and 29a(2)
413-02b Employee Training Other than USGS. Correspondence, memoranda, reports, and other records relating to the availability of training and employee participation in training programs sponsored by other Federal agencies or non-Federal institutions. Destroy when 5 years old or when superseded or obsolete, whichever is sooner. RCS/Item 406-01b and GRS 1, Item 29b
413-03 USGS Programs Designed to Help USGS Employees. Examples include the Orientation Program, Mentoring Program, Supervisory/Management Program, and Leadership Program. Records include information copies of employee e-mails, announcements, memoranda, handbooks, training materials, guidelines, instructions, and any other material related to the program. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 413-02a
413-04 Training Support Databases. PC-based system used to support administrative or housekeeping functions, containing information derived from paper copy records or from other electronic data systems disposable under the NARA General Records Schedules or approved agency records disposition schedule. Examples of these databases include participant database in Office of Employee Development (OED) -sponsored/managed programs, course listings/schedules for the web, and property management.

413-04a When the electronic record replaces hard copy records that support administrative housekeeping functions. Use 210-03b(1) GRS 20, Item 3b(1)

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Item No. Record Item / Description of Records Disposition Instructions Authority
414 Employee Health Files.    
414-01 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 non-work related purposes, excluding records covered by Item 414-03 of this schedule. Destroy 6 years after date of last entry. RCS/Item 407-01 and GRS 1, Item 19
414-02 Health Unit Control Files. Logs or registers reflecting daily number of visits to dispensaries, first aid rooms, and health units.

414-02a If information is summarized on statistical report. Destroy 3 months after last entry. RCS/Item 407-02a and GRS 1, Item 20a
414-02b If information is not summarized. Destroy 2 years after last entry. RCS/Item 407-02b and GRS 1, Item 20b
414-03 Employee Medical Folders (EMF).

414-03a Long-term medical records as defined in 5 CFR, Part 293, Subpart E.

414-03a(1) Transferred employees. See 5 CFR, Part 293, Subpart E for instructions. RCS/Item 407-03a(1) and GRS 1, Item 21a(1)
414-03a(2) Separated employees. Transfer to NPRC, St. Louis, Missouri, 30 days after separation. NPRC will destroy 75 years after birth date of employee, 60 years after date of the earliest document in the folder if the date of birth cannot be ascertained, or 30 years after latest separation, whichever is later. RCS/Item 407-03a(2) and GRS 1, Item 21a(2)
414-03b Temporary or short-term records as defined in the Federal Personnel Manual. Destroy 1 year after separation or transfer of employee. RCS/Item 407-03b and GRS 1, Item 21b
414-03c Individual Employee Health Case Files created prior to the establishment of the EMF System that have been retired to a FRC. Destroy 60 years after retirement to FRC. RCS/Item 407-03c and GRS 1, Item 21c
414-04 Employee Health Statistical Summaries. Miscellaneous statistical summaries and reports with related papers pertaining to employee health and retained by the reporting unit. Destroy 2 years after date of summary or report. RCS/Item 407-04 and GRS 1, Item 22
414-04a Smoking Issues and Policies. Correspondence, memorandums, and other records relating to USGS smoking issues and policies. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff or when superseded, obsolete, or no longer needed, whichever is later. N1-57-02-02, Item 414-04b
414-05 Personal Injury Files. Forms, reports, correspondence, and related medical and investigatory records relating to on-the-job injuries, including volunteer-related incidents, whether or not a claim for compensation was made, excluding copies filed in the EMF and copies submitted to the Department of Labor. Cutoff on termination of compensation or when deadline for filing a claim has passed. Destroy 3 years after cutoff or after file is no longer active, whichever is longer. RCS/Item 407-05 and GRS 1, Item 31
414-06 Occupational Injury and Illness Files. Reports and logs (including volunteer occupational injury and illness reports, 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. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. RCS/Item 407-06 and GRS 1, Item 34

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Item No. Record Item / Description of Records Disposition Instructions Authority
415 Labor Relations Files.    
415-01 Labor Management Relations. Correspondence, memoranda, reports, case files, and other records relating to the relationship between management and employee unions or other groups.    
415-01a General Correspondence. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff or when no longer needed, whichever is later. RCS/Item 408-01a and N1-57-87-2, Item 408-01a and GRS 1, Item 28b
415-01b Office Negotiating Agreement. Destroy 5 years after expiration of agreement or when no longer needed, whichever is later. RCS/Item 408-01b and N1-57-87-2, Item 408-01b and GRS 1, Item 28a(1)
415-01c Negotiated Grievance Files (5 CFR 771). Records relating to grievances raised by employees covered under a negotiated grievance system. These case files include statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original decision, related correspondence and exhibits, and records relating to a reconsideration request. Destroy 5 years after date of last entry. N1-57-02-02, Item 415-01d
415-01d Labor Management Relations. Reports required by OPM, the Department of the Interior, or the bureau for management of the program.

415-01d(1) Bargaining unit status reports. Destroy when obsolete or superseded. N1-57-87-2, Item 408-01d(1)
415-01d(2) Labor Agreement Information Retrieval System and Official Time Reports. Destroy when 5 years old or when no longer needed, whichever is later. N1-57-87-2, Item 408-01d(2)
415-02 Certification/Decertification Files. These files document meeting minutes, correspondence, and other records documenting managemen's actions relating to the response to union membership organizing drives. Destroy 10 years after decertification of the union. N1-57-02-02, Item 415-03

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Item No. Record Item / Description of Records Disposition Instructions Authority
416 EEO Files.    
416-01 EEO Official Discrimination Records.    
416-01a Official Discrimination Complaint Case Files. Originating agency's file containing complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described in 29 CFR 1613.222. Cases resolved within the agency, by the DOI, by the Equal Employment Opportunity Commission, or by a U.S. Court. Destroy 4 years after resolution of case. RCS/Item 409-01a and GRS 1, Item 25a
416-01b Copies of EEO Complaint Case Files. Duplicate case files or documents pertaining to case files retained in official Discrimination Complaint Case files. Destroy 1 year after resolution of case. RCS/Item 409-01b and GRS 1, Item 25b
416-01c EEO Preliminary and Background Records.

416-01c(1) Background records not filed in the official Discrimination Complaint Case files. Destroy 2 years after final resolution of case. RCS/Item 409-01c(1) and GRS 1, Item 25c(1)
416-01c(2) Records documenting complaints that do not develop into official Discrimination Complaint Cases. Destroy when 2 years old. RCS/Item 409-01c(2) and GRS 1, Item 25c(2)
416-01d Discrimination Complaint Status Reports. Documents created in reporting data on the number of discrimination complaints on hand, received during the reporting period, closed during the reporting period, and number of cases in progress. Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. N1-57-02-02, Item 416-01d
416-02 EEO Compliance Records.    
416-02a EEO Compliance Review Files. Reviews, background documents, and correspondence relating to contractor employment practices. Cutoff at the end of the fiscal year. Destroy 7 years after cutoff. RCS/Item 409-01d(1) and GRS 1, Item 25d(1)
416-02b EEO Compliance Reports. Cutoff at the end of the fiscal year. Destroy 3 years after cutoff. RCS/Item 409-01d(2) and GRS 1, Item 25d(2)
416-03 EEO Employment Statistics Files. Record copies of statistics relating to race and sex. (See NOTE below).

NOTE: Electronic master files and databases created to supplement or replace the records covered by this sub-item are not authorized for disposal under the General Records Schedule. Such files must be scheduled on an SF-115.

Cutoff at the end of the fiscal year. Destroy 5 years after cutoff. RCS/Item 409-01f and GRS 1, Item 25f
416-04 EEO Affirmative Action Plans (AAPs).    
416-04a Agency copy of consolidated AAPs. Destroy 5 years from date of plan. RCS/Item 409-01h(1) and GRS 1, Item 25h(1)
416-04b Agency feeder plans to consolidated AAPs. Destroy 5 years from date of feeder plan or when administrative purposes have been served, whichever is sooner. RCS/Item 409-01h(2) and GRS 1, Item 25h(2)
416-04c Record copies of reports of on-site reviews of AAPs. Destroy 5 years from date of report. RCS/Item 409-01h(3) and GRS 1, Item 25h(3)
416-04d Agency copy of annual reports of Affirmative Action Accomplishments. Destroy 5 years from date of report. RCS/Item 409-01h(4) and GRS 1, Item 25h(4)
416-05 Special Emphasis Programs and Project Records. Documents accumulated in planning, administering, conducting, and assisting in special emphasis programs and projects nationwide that are not identified with other projects, and programs listed elsewhere in this schedule. Included are projects or programs that may be requested by managers or employees as a means of keeping informed of local, regional, and national minority, women's, or disability services programs. Cutoff at the end of the fiscal year. Destroy when no longer needed for administrative purposes. N1-57-02-02, Item 416-05
416-06 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, 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. RCS/Item 409-01g and GRS 1, Item 25g

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Item No. Record Item / Description of Records Disposition Instructions Authority
417 Payroll and Time and Attendance Files.    
417-01 Individual Employee Pay Records.    
417-01a Pay record for each employee as maintained in an electronic database. This database may be a standalone payroll system or part of a combined personnel/payroll system. Update elements and/or entire record as required. RCS/Item 704-01a and GRS 2, Item 1a
417-01b Individual Pay Record, containing pay data on each employee within an agency. This record may be in paper or microform but not in machine-readable form. Transfer to the NPRC. Destroy when 56 years old. RCS/Item 704-01b and GRS 2, Item 1b
417-02 Non-Current Payroll Files. Copy of non-current payroll data as maintained by payroll service bureaus in either microform or machine-readable form. Destroy 15 years after close of pay year in which generated. RCS/Item 704-02 and GRS 2, Item 2
417-03 Time and Attendance - Leave Application Files. SF-71, e-mails with approval by supervisor for requested leave, or any other equivalent plus any supporting documentation for requests and approvals of leave.    
417-03a If employee initials time card or equivalent. Destroy at end of following pay period. RCS/Item 704-03a and GRS 2, Item 6a
417-03b If employee has not initialed time card or equivalent. Destroy after General Accounting Office (GAO) audit or when 3 years old, whichever is sooner. RCS/Item 704-03b and GRS 2, Item 6b
417-04 Time and Attendance Source Records. All time and attendance records upon which leave input data are based, such as time or sign-in sheets; time cards (such as OF-1130); flexitime records; leave applications for jury and military duty; and authorized premium pay or overtime, maintained at duty post, upon which leave input data are based. Records may be in either machine-readable or paper form. Destroy after GAO audit or when 6 years old, whichever is sooner. RCS/Item 704-04 and GRS 2, Item 7
417-05 Time and Attendance Input Records. Records in either paper or machine-readable form used to input time and attendance data into a payroll system, maintained either by agency or payroll processor. Destroy after GAO audit or when 6 years old, whichever is sooner. RCS/Item 704-05 and GRS 2, Item 8
417-06 Flexitime Attendance. Supplemental time and attendance records and any other background materials used for time accounting under flexitime systems. Destroy after GAO audit or when 6 years old, whichever is sooner. N1-57-02-02, Item 417-06 and GRS 2, Item 7
417-07 Leave Record Files.    
417-07a Record of employee leave, such as SF-1150, prepared upon transfer or separation. File on right side of the OPF. See Item 402-01 for disposition. RCS/Item 704-06a and GRS 2, Item 9a
417-07b Creating agency copy, when maintained. Destroy when 3 years old. RCS/Item 704-06b and GRS 2, Item 9b
417-08 Tax Files.

417-08a Employee withholding allowance certificate such as Internal Revenue Service (IRS) Form W-4 and state equivalents. Destroy 4 years after superseded or obsolete or upon separation of employee. RCS/Item 704-07a and GRS 2, Item 13a
417-08b Agency copy of employee wages and tax statements, such as IRS Form W-2 and state equivalents, maintained by agency or payroll processor. Destroy when 4 years old. RCS/Item 704-07b and GRS 2, Item 13b
417-08c Agency copy of employer reports of Federal tax withheld, such as IRS Form W-3, with related papers including reports relating to income and social security tax, and state equivalents, maintained by agency or payroll processor. Destroy when 4 years old. RCS/Item 704-07c and GRS 2, Item 13c
417-09 Savings Bond Purchase Files.    
417-09a Authorization for Purchase and Request for Change - U.S. Savings Bonds, SB 2152, or equivalent. Destroy when superseded or after separation of employee. RCS/Item 704-09a and GRS 2, Item 14a
417-09b Bond registration files: issuing agent's copies of bond registration stubs. Destroy 4 months after date of issuance of bond. RCS/Item 704-09b and GRS 2, Item 14b
417-09c Bond receipt and transmittal files: receipts for and transmittals of U.S. Savings Bonds. Destroy 4 months after date of issuance of bond. RCS/Item 704-09c and GRS 2, Item 14c
417-10 Combined Federal Campaign and Other Allotment Authorizations.    
417-10a Authorization for individual allotment to the Combined Federal Campaign. Destroy after GAO audit or when 3 years old, whichever is sooner. RCS/Item 704-10a and GRS 2, Item 15a
417-10b Other authorizations, such as union dues and savings. Destroy after GAO audit or when 3 years old, whichever is sooner. RCS/Item 704-10b and GRS 2, Item 15b
417-11 Payroll Levy and Garnishment Files. Official Notice of Levy or Garnishment (IRS Form 668A or equivalent), change slip, work papers, correspondence, release and other forms, and other records relating to charge against retirement funds or attachment of salary for payment of back taxes or other debts of Federal employees. Destroy 3 years after garnishment is terminated. RCS/Item 704-13 and GRS 2, Item 18
417-12 Payroll Administration - Payroll System Reports.    
417-12a Error reports, ticklers, and system operation reports. Destroy when related actions are completed or when no longer needed, not to exceed 2 years. RCS/Item 704-14a and GRS 2, Item 22a
417-12b Reports and data used for agency workload and/or personnel management purposes. Cutoff at the end of the fiscal year. Destroy when 2 years old. RCS/Item 704-14b and GRS 2, Item 22b
417-12c Reports providing fiscal information on agency payroll. Destroy after GAO audit or when 3 years old, whichever is sooner. RCS/Item 704-14c and GRS 2, Item 22c
417-13 Payroll Adjustment and Change Files. Records forwarded to payroll operations to direct a change or correction of an individual pay transaction whether created and maintained by paying agency or payroll processor.    
417-13a Copies subject to GAO audit. Destroy after GAO audit or when 3 years old, whichever is sooner. RCS/Item 704-15a and GRS 2, Item 23a
417-13b All Other Copies. Destroy 1 month after end of related pay period. RCS/Item 704-15b and GRS 2, Item 23b
417-14 Payroll Correspondence. Correspondence between agency and payroll processor regarding general routine administrative issues that do not relate to individual payments and general correspondence, e-mail, or memoranda to employees on all aspects of bureau timekeeping. Cutoff at the end of the fiscal year. Destroy when 2 years old. RCS/Item 704-16 and GRS 2, Item 24

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