USGS General Records Disposition Schedule, 432-1-S1 (Revised April 2003) Change Issue #1 - August 2003

The National Archives and Records Administration (NARA) General Records Schedule (GRS) was the base document used by the USGS in drafting the USGS General Records Disposition Schedule (GRDS). The NARA has issued changes to the GRS and the USGS is required to incorporate those changes to our schedule. Therefore, please make the following changes to your copy of the USGS GRDS.

Chapter 300. Administrative Support Records:

304-06. Non-Federally Funded Travel Files.

304-06a. Agency copies of Semiannual Expense Reports for Non-Federally Funded Travel submitted by all Executive Branch agencies to the Office of Government Ethics. Reports summarize payments made to the agency from non-Federal sources for travel, subsistence, and related expenses for an employee who attends a meeting or similar function relating to official duties.

• Destroy when 4 3 years old.

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

403-13e. Examination Announcement Case Files. Correspondence regarding examination requirements, original drafts of examination, and announcements issued excluding records concerning qualification standards, job specifications, and their development.

• Destroy 5 2 years after termination of related register cut-off.

403-13f. Register of eligibles (OPM Form 5001-C or equivalent, documenting eligibility of an individual for Federal jobs).

• Cut-off records at the end of the fiscal year on individuals with terminated eligibility. Destroy 5 2 years after cut-off the date on which the register of inventory is terminated.

403-13h. Canceled and ineligible applications, supplemental forms, and attachments.

• Ineligible applications may be returned to the applicant with the notice of ineligibility, unless otherwise directed by the local OPM area office. Destroy ineligible applications not returned and canceled applications 90 days after date of action or when register is terminated, whichever is sooner. Cut-off annually. Destroy 1 year after cut-off.

403-13k. Eligible applications.

403-13k(1). On active register.

• Destroy upon 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).

403-13k(2). On inactive register.

• Destroy 1-12 months after eligibles are placed on inactive register, depending on space availability and difficulty of replacing the application for restoration. Cut-off annually. Destroy 1 year after cut-off.

403-13m. Certificate Files. SF-39, SF-39A, or equivalent, and all papers upon which the certification was based: detailed rating schedule, record of selective and quality ranking factors used, list of eligibles screened for the vacancies, rating assigned, availability statements, and other documentation material designated by the examiner of retention. It is recommended that both the file copy and the audited report copy of the certificate be kept in this file. Files should be arranged to permit reconstruction or validation of actions taken in the event of appeal or legal action.

• Cut-off annually. at the end of the fiscal year. Destroy 5 2 years after cut-off.

403-13n. Certification request control index.

• Cut-off annually. at the end of the fiscal year. Destroy 1 2 years after cut-off.

405-04a(3). Performance-related records pertaining to a former employee.

405-04a(3)(a). Latest rating of record 3 years old or less and performance plan upon which it is based, and any summary rating.

• Place records on left side of the OPF and forward the OPF to gaining Federal agency upon transfer or to NPRC if employee separates. An agency retrieving an OPF from NPRC will dispose of these documents in accordance with Item 405-04a(3)(b) below.

405-04a(3)(b). All other performance plans and ratings.

• Destroy when 4 years old.or no longer needed, whichever is sooner.

405-04a(4). All other summary performance appraisal records, including performance appraisals and job elements and standards upon which they are based.

• Destroy 4 years after date of appraisal.

405-04a(5). Supporting documents.

• Destroy 4 years after date of appraisal.or when no longer needed, whichever is sooner.

405-04b. SES appointees (as defined in 5 U.S.C. 3132a(2)).

405-04b(1). Performance records superseded through an administrative, judicial, or quasi-judicial procedure.

• Destroy when superseded.

405-04b(2). Performance-related records pertaining to a former SES appointee.

405-04b(2)(a). Latest rating of record that is less than 5 years old and performance plan upon which it is based and any summary rating.

• Place records on the left side of the OPF and forward the OPF to the gaining Federal agency upon transfer or to NPRC if employee leaves Federal service. An agency retrieving an OPF from NPRC will dispose of those documents in accordance with Item 405-04b(2)(b) below.

405-04b(2)(b). All other performance ratings and plans.

• Destroy when 5 years old.or when no longer needed, whichever is sooner.

405-04b(3). All other performance appraisals, along with job elements and standards (job expectations) upon which they are based, EXCLUDING those for SES appointees serving on a Presidential appointment (5 CFR 214).

• Destroy 5 years after date of appraisal.

405-04b(4). Supporting documents.

• Destroy 5 years after date of appraisal. or when no longer needed, whichever is sooner.

407-03c. Retirement Assistance Files. Correspondence, memoranda, and other records used to assist retiring employees or survivors claim insurance or retirement benefits.

• Cut-off files at the end of the fiscal year. Destroy when superseded, obsolete, or no longer needed 1 year old.

413-01a. General files of agency-sponsored training, excluding record copy of manuals, syllabuses, textbooks, and other training aids developed by the bureau.

413-01a(1). Correspondence, memoranda, agreements, authorizations, reports, requirement reviews, plans, and objectives relating to the establishment and operation of training courses and conferences. Examples include, but not limited to, New Leaders Program and the Executive Leadership Program for Mid-Level Employees.

• Destroy when 5 years old or 5 years after completion of a specific training program. whichever is later.

413-01a(2). Background and working files.

• Destroy when 3 years old.

413-01b. 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 later sooner.

417-08. Donated Leave 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.

• Destroy 6 years after the end of the year in which the file is closed. Beginning in January 1994, destroy 1 year after the end of the year in which the file is closed.

417-11. 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 after 3 subsequent reports have been filed years following the date of approval or upon completion of the relevant service agreement or allowance, whichever is later.

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