A-04-001-01a
Official Personnel Files
Description:
a. Foreign Service Administrative Folders on separated FS employees.
Official personnel actions and related administrative records of Foreign Service employees, excluding performance ratings and related records, documenting their service with the Department and any prior Federal service.
Disposition:
Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 3)
DispAuthNumber:
DAA-GRS-2017-0007-0001 (GRS 2.2, item 010)
A-04-001-01b
Official Personnel Files
Description:
b. Foreign Service Performance Folders on separated Foreign Service Employees. Performance ratings, commendations, training reports, Inspector reports, official reprimands, end use summary reports, etc., of Foreign Service employees.
Disposition:
Retire to RSC 1 year after separation of employee. Destroy 15 years after separation.
DispAuthNumber:
NN-174-029, item 1
A-04-001-01c
Official Personnel Files
Description:
c. Official Personnel Folders of Civil Service Employees.
Consists of record copies of documents covering their entire Federal service as prescribed in the Federal Personnel Manual and related Departmental guidelines.
Long-term records. Records of separated employees saved to the “permanent” folder in the eOPF or filed on the right side of the hardcopy OPF.
Exclusion: OPFs for employees separated prior to December 31, 1973. It is the responsibility of OPM to schedule these records.
Exclusion: Agencies not subject to OPM recordkeeping requirements under title 5, U.S. Code, should apply their own agency-specific schedule.
Note 1: For transferred employees, see Chapter 7 of The Guide to Personnel Recordkeeping for instructions.
Note 2: Hardcopy original personnel folders scanned into the Enterprise Human Resource Integration (EHRI) eOPF Database are covered by GRS 5.2, Transitory and Intermediary Records, item 020.
Disposition:
Temporary. Destroy when survivor or retirement claims are adjudicated or when records are 129 years old, whichever is sooner, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 1b)
DispAuthNumber:
DAA-GRS-2017-0007-0004 (GRS 2.2, item 040)
A-04-001-03
Official Personnel Folder - Policy and Precedent File
Description:
Includes files relating to content and use of Official Personnel Folders, including such matters as employee taxes, emergency visitation, travel, court appearances, legal opinions, proposed changes to FAM, retirement, etc.
Disposition:
Retire inactive files to Personnel Policy Reference File (PER/MGT/RR).
DispAuthNumber:
NC-059-75-05, item 1a
A-04-001-04
Personnel Files Survey Records
Description:
Background and studies for the reorganization of the PER files including reports and recommendations, approved plans for implementing the files project, progress reports, disposal authorizations, etc.
Disposition:
Retire inactive files to Personnel Policy Reference File (PER/MGT/RR).
DispAuthNumber:
NC-059-75-05, item 1b
A-04-001-06
Overseas Employment (OE) Claims
Description:
Claims by current or former FSN employees pertaining to personnel issues requesting compensation. Consists of a wide variety of copies of claim forms and a wide range of copies of personnel paperwork that may cover several decades. Contains copies of: correspondence, personnel forms, superior reports of injury, request for change of classification or designation, unpaid compensation, etc. Also contains copies of official records, legislation enacted by Congress, legal documents supporting relationship of claimant to the FSN, agency investigation of claim, recommendations, and final decisions.
a. Recordkeeping copy (paper.)
Disposition:
Temporary. Retire to RSC 1 year after all claims in folder have been totally resolved on that individual. Destroy when 7 years old. (N1-059-88-30)
DispAuthNumber:
N1-059-00-14, item 5
A-04-002-02
Applicant Control Card (DS-905)
Description:
Card reference file containing information on status of applicant while being processed for employment.
Disposition:
Destroy when no longer needed for reference purposes.
DispAuthNumber:
NN-173-128, item 1
A-04-002-03a
Trip Files (GTM/TAC)
Description:
Correspondence, reports and other documentation of recruitment trips, conferences, and speaking engagements.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 5 years old. (NC1-59-80-5, item 2)
DispAuthNumber:
N1-059-00-07, item 2a
A-04-002-04a
Applicant Files (GTM/CSTM)
Description:
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. Files include applications for employment (SF-171 or similar form) related forms, and correspondence, i.e. students.
a. Cancelled and ineligible applications for positions filled from a register or inventory. Such documents include Optional form (OF) 612, resumes, supplemental forms, and attachments, whether in hard copy or electronic format.
Disposition:
TEMPORARY. Cut off annually. Destroy 1 year after cutoff (Supersedes GRS 1, item 33k)
DispAuthNumber:
DAA-GRS-2014-0002-0011 (GRS 2.1, item 060)
A-04-002-04b
Job Application Packages (GTM/CSTM)
Description:
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. Files include applications for employment (SF-171 or similar form) related forms, and correspondence, i.e. students.
a. Eligible applications for positions filled from a register or inventory, including OF 612, resumes, supplemental forms, and attachments, whether in hard copy or electronic format.
(1) On active/inactive register or inventory.
b. Eligible applications for positions filled by case examining that either are not referred to the hiring official or are returned to the examining office by the hiring official. Such documents include OF 612, resumes, supplemental forms, and attachments, whether in hard copy or electronic format.
C. Ineligible or incomplete applications for positions filled by case examining. Such documents include OF 612, resumes, supplemental forms, whether in hard copy or electronic format.
Note: This item is only for copies of materials submitted to and maintained in systems that receive job applications. Copies of these records used to fill job vacancies are covered under job vacancy case files (Items 050 and 051).
Disposition:
Temporary. Destroy 1 year after date of submission. (Supersedes GRS 1, item 33l(1) and GRS 1, item 33l(2))
DispAuthNumber:
DAA-GRS-2014-0002-0011 (GRS 2.1, item 060)
A-04-002-05
Dossiers - Successful Career (FSO) Candidates (GTM/TAC)
Description:
Dossiers of officer candidates who were certified for and accepted appointment. Includes correspondence with applicant, report of Oral Assessment, and information on experience.
a. Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 2 years after the year of appointment for transfer to WNRC. Destroy when 7 years old. (NC1-059-80-05, Item 3)
DispAuthNumber:
N1-059-00-07, Item 14
A-04-002-06
Dossiers - Unsuccessful Career (FSO) Candidates (GTM/TAC)
Description:
Dossiers of officer candidates who, after having taken the Written Examination, were determined to be eligible for the Oral Assessment but were not appointed. Includes correspondence with applicant, report of any Oral Assessment, and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 2 years after the year of the Written Examination for transfer to WNRC. Destroy when 7 years old. (NC1-059-80-05, Item 4)
DispAuthNumber:
N1-059-00-07, item 15
A-04-002-07a(1)
Dossiers-Foreign Service Reappointment Candidates (GTM/TAC)
Description:
a. Dossiers of Foreign Service Reappointment Candidates who took the oral examination. Correspondence and other documentation concerning reappointment to the Foreign Service including Qualifications Evaluation Report and report of oral examination.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of reappointment for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-07, item 3a(1)
A-04-002-07b(1)
Dossiers-Foreign Service Reappointment Candidates (GTM/TAC)
Description:
b. Dossiers of Foreign Service Reappointment Candidates who did not take the oral examination. Correspondence and other documentation concerning reappointment to the Foreign Service including Qualifications Evaluation Report.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 2 years from the date of most recent documentation.
DispAuthNumber:
N1-059-00-07, item 3b(1)
A-04-002-08
Pre-employment Correspondence - Successful Applicants (Excluding those covered by Items 040205 and 040207)
Description:
Correspondence, forms, form letters, telegrams, etc., concerning applications for employment, security and medical clearances, job requirements, status of application, etc. Includes chronology sheets, interview reports, and Applicant Processing Form.
Disposition:
Destroy 2 years after applicant has been appointed.
DispAuthNumber:
NN-173-168, item 1
A-04-002-09
Affirmative Action System
Description:
Affirmative Action Master - An on-line information system used to track the employment process of screened applicants to the Foreign Service for Affirmative Action purposes. Data includes personal information about the applicant.
Disposition:
Destroy when active agency use ceases.
DispAuthNumber:
NC1-059-83-04, item 1
A-04-002-10
Foreign Service Nationals Master
Description:
Position Control System - An on-line information system containing information on each foreign national employed by the State Department and is used to make resource decisions for overseas posts. Data includes name, position identification, location, grade level, skill codes, and salary.
Disposition:
Destroy when active agency use ceases.
DispAuthNumber:
NC1-059-83-04, item 22
A-04-002-11a
Dossiers-Foreign Service Non-career Appointees
Description:
Includes correspondence and other documentation concerning appointment to the Foreign Service outside the examination process.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 2 years from the date of most recent documentation.
DispAuthNumber:
N1-059-00-07, item 4a
A-04-002-12a
Recruitment and Employment Policy and Procedure Files (GTM/TAC)
Description:
Correspondence, reports, reference material, policy documentation, and procedural matters relating to the development and administration of Recruitment and Employment.
a. Recordkeeping copy (paper).
Disposition:
PERMANENT: Retire to RSC when 10 years old for transfer to WNRC. Transfer to NARA when 20 years old.
DispAuthNumber:
N1-059-00-07, item 5a
A-04-002-13a
Diplomat-in-Residence General Subject Files (GTM/TAC)
Description:
Consists of general information regarding the Diplomat-in-Residence Program, correspondence with university officials regarding the program, participants report on the program.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 3 years old.
DispAuthNumber:
N1-059-00-07, item 6a
A-04-002-14a
Diplomat-in-Residence Case Files (GTM/TAC)
Description:
Correspondence with university and ambassador regarding appointment of Diplomat-in-Residence, and reports on evaluation of activities on campus.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 3 years old.
DispAuthNumber:
N1-059-00-07, item 7a
A-04-002-16a
Employee Drug Test Plans, Procedures, and Scheduling Records
Description:
Drug testing program records pertaining to the development of procedures, such as the determination of testing incumbents in designated positions and selection of specific employees/applicants for testing. Includes:
• agency copies of plans and procedures, with related drafts, correspondence, and memoranda
• lists of selectees
• notification letters
• testing schedules
Exclusion 1: Documents filed in record sets of formally issued documents, such as directives, procedure handbooks, and operating manuals. Schedule these on agency-specific schedules.
Exclusion 2: Consolidated statistical and narrative reports concerning the operation of agency programs, including annual reports to Congress, as required by Pub. L. 100-71, 503(f), are covered in GRS 5.7, Agency Accountability Records.
Exclusion 3: Oversight program records of the Department of Health and Human Services, the Office of Personnel Management, the Office of Management and Budget, the Office of National Drug Control Policy, and the Department of Justice. Schedule these on agency-specific schedules.
Disposition:
Temporary. Destroy when 3 years old or when superseded or obsolete. (Supersedes GRS 1, item 36a and GRS 1, item 36c)
DispAuthNumber:
DAA-GRS-2017-0010-0016 (GRS 2.7, item 100)
A-04-002-16b
Employee Drug Test Acknowledgment of Notice Forms
Description:
Forms completed by employees whose positions are designated sensitive for drug testing purposes, acknowledging they have received notice and they may be tested.
Disposition:
Temporary. Destroy when employee separates from testing-designated position. (Supersedes GRS 1, item 36b)
DispAuthNumber:
DAA-GRS-2017-0010-0017 (GRS 2.7, item 110)
A-04-002-16c
Employee Drug Testing Specimen Records
Description:
Identifying data on each specimen, recorded at each collection site in the order in which the specimen was collected. Includes records used to maintain control and accountability of specimens from the point of collection to final disposition, e.g., chain-of-custody records.
Disposition:
Temporary. Destroy 3 years after date of last entry or when 3 years old, whichever is later. (GRS 1, item 36d2)
DispAuthNumber:
DAA-GRS-2017-0010-0018 (GRS 2.7, item 120)
A-04-002-16d
Employee Drug Test Results
Description:
Records documenting individual test results, including testing reports, notification of employees and employing offices, and documents relating to follow-up testing.
(1) Positive Results.
Exclusion: Drug test results of applicants for employment are covered by GRS 2.1, Employee Acquisition Records, items 050 and 051.
Disposition:
Temporary. Destroy when employee leaves the agency or when 3 years old, whichever is later. (Supersedes GRS 1, item 36e(1)a)
DispAuthNumber:
DAA-GRS-2017-0010-0019 (GRS 2.7, item 130)
A-04-002-16e
Employee Drug Test Results
Description:
Records documenting individual test results, including testing reports, notification of employees and employing offices, and documents relating to follow-up testing.
(1) Negative Results.
Exclusion: Drug test results of applicants for employment are covered by GRS 2.1, Employee Acquisition Records, items 050 and 051.
Disposition:
Temporary: Destroy when 3 years old. (Supersedes GRS 1, item 36e(2))
DispAuthNumber:
DAA-GRS-2017-0010-0020 (GRS 2.7, item 131)
A-04-002-17
Job Vacancy Case Files
Description:
Case files an agency creates when posting and filling competitive job
vacancies. Also known as case examining, competitive examination, or merit
case files. Includes:
• request for lists of eligible candidates
• job announcement
• examination announcement
• job analysis, assessment criteria, and crediting plan
• basis for certification
• applications, resumes, supplemental forms, other attachments
• list of eligible candidates or applicants screened, ranking or ratings assigned,
and basis for certification
• certificates, registers or lists of eligible candidates issued to selecting
officials
• job-related test records
• mandatory applicant drug test records
• annotated certificates of eligible candidates returned by selecting officials
• job offers
• records of job offer being accepted or declined
• correspondence/documentation of announcement or recruiting operation
Legal citation: 5 CFR 335.103
Disposition:
Temporary. Destroy 2 years after termination of register. (Supersedes GRS 1, item 36e(1)b.
DispAuthNumber:
DAA-GRS-2017-0011-0002 (GRS 2.1, item 051)
A-04-002-18
Civil Service Administrative Grievance Case Files (GTM/G)
Description:
• Records of grievance case files including:
o statement of grievance, supporting documentation, and evidence
o statements of witnesses, records of interviews and hearings
o examiner’s findings, recommendations, decisions
Disposition:
Temporary. Destroy 4 years after case is closed or final settlement on appeal, as appropriate.
DispAuthNumber:
DAA-GRS-2018-0002-0006 (GRS 2.3, item 060)
A-04-002-19
Civil Service Personnel Disciplinary, Performance-based, and Adverse Action Case Files (GTM/ER/CSD)
Description:
• Records of disciplinary and performance-based actions against employees. Includes:
o performance appraisal, performance improvement plan, and supporting documents
o recommended action, employee’s reply
o records of hearings and decisions
o records of appeals
o tracking and reporting information
• Records of adverse actions (suspension, removal, reduction in grade, reduction in pay, or furlough) against employees. Includes:
o proposed adverse action, employee's reply
o statements of witnesses
o records of hearings and decisions
o letters of reprimand
o records of appeals
o tracking and reporting information
Disposition:
Temporary. Destroy 7 years after case is closed or final settlement on appeal, as appropriate.
DispAuthNumber:
DAA-GRS-2018-0002-0006 (GRS 2.3, item 060)
A-04-002-20
Recruitment Records
Description:
Records documenting agency in-person and on-line recruitment efforts at career fairs, job fairs, visits to colleges, and similar venues. Includes:
• records documenting planning and logistics of individual recruitment events
• record copy of advertisement and materials for distribution
• contact information and interest areas collected from potential job candidates
• recruitment event reports
• correspondence with prospective candidates
Disposition:
Temporary. Destroy when 1 year old, but longer retention is authorized if required for business use.
DispAuthNumber:
DAA-GRS-2018-0008-0003 (GRS 2.1, Item 180)
A-04-003-01a
FSO Written Examination Master File
Description:
Consist of one copy of the FSO Written Examination for each year.
Disposition:
PERMANENT: Retire to RSC every 5 years for transfer to the WNRC. Transfer to the National Archives when 25 years old. (NC1-59-80-20, items 1a and 1b)
DispAuthNumber:
N1-059-00-07, item 9
A-04-003-02a
Master File of Agenda and Minutes of the Board of Examiners of the Foreign Service
Description:
a. Recordkeeping copy (paper).
Disposition:
PERMANENT: Retire to RSC when 10 years old for transfer to WNRC. Transfer to National Archives when 25 years old.
DispAuthNumber:
N1-059-00-07, item 10a
A-04-003-03a
Examination General Subject Files
Description:
Arranged by subject. Includes correspondence and memoranda relating to preparation and grading of Written Examination by a contract testing service; procedures for oral examinations; lists of candidates designated for appointment; press releases or other publicity on examinations; and any other pertinent reports or studies.
a. Recordkeeping copy (paper).
Disposition:
PERMANENT. Retire to RSC when 5 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-80-20, item 3)
DispAuthNumber:
N1-059-00-07, item 11a
A-04-003-05
Summary and Oral Examination Rating Sheets
Disposition:
Destroy 5 years after date of examination.
DispAuthNumber:
NN-171-171, item 2
A-04-003-07a
Application for Designation to Take Written Examination - Includes applications, biographic and other data submitted by candidate
Description:
a. Applicants ruled ineligible to take or who are designated to take the written examination but withdraw or fail to appear for examination.
Disposition:
Destroy 6 months from date of examination.
DispAuthNumber:
II-NNA-400, items 9a and 9b
A-04-003-07b
Application for Designation to Take Written Examination - Includes applications, biographic and other data submitted by candidate
Description:
b. Applicants who fail to pass written examination.
Disposition:
Destroy 1 year after date of examination.
DispAuthNumber:
II-NNA-400, item 9c
A-04-003-08a
Dossiers - Successful FSO Candidates
Description:
Dossiers of officer candidates who were certified for and accepted appointment. Includes correspondence with applicant, report of Oral Assessment, and information on experience.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of appointment for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-07, item 14a
A-04-003-09a(1)
Dossiers - Unsuccessful FSO Candidates
Description:
a. Dossiers of officer candidates who, after having taken the Written Examination, were determined to be eligible for the Oral Assessment but were not appointed. Includes correspondence with applicant, report of any Oral Assessment, and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of the Written Examination for transfer to WNRC. Destroy when 7 years old. (NC1-59-83-6, item 3)
DispAuthNumber:
N1-059-00-07, item 15a(1)
A-04-003-09b(1)
Dossiers - Unsuccessful FSO Candidates
Description:
b. Dossiers of officer candidates who, after having passed the Qualifications Evaluation Panel process, took the oral examination but were not appointed. Includes correspondence with applicant, report of the oral examination, and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 2 years from the date of the most recent documentation.
DispAuthNumber:
N1-059-00-07, item 15b(1)
A-04-003-09c(1)
Dossiers - Unsuccessful FSO Candidates
Description:
c. Dossiers of officer candidates who failed the Qualifications Evaluation Panel Process or who, having passed that process, failed to take the oral examination. Includes correspondence with applicant and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of the oral examination for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-07, item 15c(1)
A-04-003-10
Declaration Sheets
Description:
Includes name and address of candidate and serial number of examination.
Disposition:
Destroy after candidates have been notified of grades and grades have been recorded on permanent record card.
DispAuthNumber:
II-NNA-400, item 12
A-04-003-11
Dossiers - Unsuccessful Applicants, Wriston Program
Description:
Dossiers of personnel who were occupying positions in the Department which were declared dual service. These employees were never integrated into the Foreign Service because of failure to pass physical or oral examinations, were under age, lacked service time or voluntarily declined integration.
Disposition:
Destroy all folders of candidates who are 55 years old or older.
DispAuthNumber:
II-NN-3412, item 2
A-04-003-12
Lateral Entry General Subject File
Description:
Consists of correspondence, reports and other documentation pertaining to policy and procedural matters affecting the Lateral Entry Program.
Disposition:
Retire policy documents to RSC when 5 years old for permanent retention. Destroy all non-policy material when 2 years old.
DispAuthNumber:
NN-171-171, item 4
A-04-003-13
Lateral Entry Case File
Description:
Consists of application, correspondence, Qualifications Evaluation Report, oral examination report and approved recommendations of Board.
Disposition:
Retire to RSC after 2 years. Destroy 8 years thereafter.
DispAuthNumber:
NN-173-062, item 3
A-04-003-14a
Dossiers-Successful Specialist Candidates
Description:
Dossiers of specialist candidates who were certified for and accepted appointment. Includes correspondence with applicant, report of oral examination, and information on experience.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of appointment for transfer to WNRC. Destroy when 7 years old. (NC1-59-83-6, item 4)
DispAuthNumber:
N1-059-00-07, item 16a
A-04-003-15a(1)
Dossiers - Unsuccessful Specialist Candidates
Description:
a. Dossiers of specialist candidates who, having passed the Qualification Evaluation Panel process, took the oral examination but were not appointed. Includes correspondence with applicant, report of oral assessment, and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after the year of the oral examination for transfer to WNRC. Destroy when 7 years old. (NC1-59-83-6, item 5)
DispAuthNumber:
N1-059-00-07, item 17a(1)
A-04-003-15b(1)
Dossiers - Unsuccessful Specialist Candidates
Description:
b. Dossiers of specialist candidates who failed the Qualification Evaluation Panel process or who, having passed that process, failed to take the oral examination. Includes correspondence with applicant and information on experience.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 2 years from the date of the most recent documentation.
DispAuthNumber:
N1-059-00-07, item 17b(1)
A-04-003-18
FSO Written Examination Applications and Answer Sheets
Description:
Applications for FSO Written Examination and answer sheets for applicants who take that examination.
Disposition:
TEMPORARY: Destroy after 6 months.
DispAuthNumber:
N1-059-00-07, item 13
A-04-003-19a
Examination Policy and Procedure File
Description:
Consist of correspondence, reports, reference material, policy documentation and procedural matters relating to the development and administration of the Examination process.
a. Recordkeeping copy (paper).
Disposition:
PERMANENT: Retire to RSC when 10 years old for transfer to WRNC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-07, item 19a
A-04-003-20
FSO Written Examination Results
Description:
Registers of candidate names and statistical tabulations submitted by the contract testing service.
Disposition:
TEMPORARY: Retire to RSC when 7 years old for transfer to WNRC. Destroy when 20 years old.(NC1-59-80-20, item 4b)
DispAuthNumber:
NC1-059-00-07, item 12
A-04-004-01a
General Subject File
Description:
Correspondence, proposals, memoranda and other papers relating to the automation of various personnel programs, including inter-office correspondence between PER and Payroll.
Major policy, plans and procedures regarding PER reports including PER input into ADP.
1. Recordkeeping copy (paper)
Disposition:
TEMPORARY: Retire inactive files when 5 years old to RSC for transfer to WNRC. Destroy when 15 years old. (NC-59-75-7, item 11a)
DispAuthNumber:
N1-059-00-08, item 1(1)
A-04-004-03
Global Employment Management System (GEMS)
Description:
This corporate on-line system will provide comprehensive employment data for all direct-hire Department of State (DOS) employees and will be the primary system for processing DOS SF-50, personnel actions. Employment and position data are updated for each personnel-related action. The system will provide the most current information, as well as, maintain a complete chronological history on all employees. Data includes name, social security number, sex, citizenship, marital status, number and birth dates of eligible family numbers, date and place of employee birth, career data such as educational levels, colleges attended, major subjects, skill codes, foreign language training and examination scores; job history data such as current position, title, grade, location and inclusive dates, previous assignments, including grades and dates, and data on employees and potential employees whose assignments are pending; organizational hierarchies, including accounting information; and additional data, such as awards, disciplinary actions, etc.
Disposition:
See each item for specific NARA approved disposition.
DispAuthNumber:
N1-059-00-08
A-04-004-03a
Global Employment Management System (GEMS)
Description:
a. Information reflecting monthly personnel and position data for each calendar year, beginning 1998. This information reflects monthly transactions and end-of-year December personnel data for each calendar year, beginning December 1971 and information reflecting this data for each calendar year, beginning o/a January 1991.
Disposition:
PERMANENT. Transfer data reflecting December personnel data for each calendar year beginning December 1971 in a format that meets NARA transfer requirements for electronic media at the time of transfer. (NC1-59-83-4, item 25a)
DispAuthNumber:
N1-059-00-08, item 4a
A-04-004-03b
Global Employment Management System (GEMS)
Description:
b. All other storage media.
Disposition:
TEMPORARY. Destroy when active agency use ceases. (NC1-59-83-4, item 25b)
DispAuthNumber:
N1-059-00-08, item 4b
A-04-004-03c(1)
Global Employment Management System (GEMS)
Description:
c. Outputs
(1) Employee Profile - GEMS output that consist of ADP reports that reflect an employee employment history during their tenure with the Department of State. Reviewed for corrections and ultimately entered into the automated Central Personnel System.
Disposition:
TEMPORARY. Destroy when 2 years old. (NC-59-75-6, item 2)
DispAuthNumber:
N1-059-00-08, item 4c(1)
A-04-004-03c(2)
Global Employment Management System (GEMS)
Description:
c. Outputs
(2) Table of ADP Codes
GEMS output that consist of Monthly computer printout used in conjunction with the Office of Personnel Management for entering data in the automated Central Personnel System.
Disposition:
TEMPORARY. Destroy when superseded. (NC-59-75-6, item 3)
DispAuthNumber:
N1-059-00-08, item 4c(2)
A-04-004-03c(3)
Employee Management Administrative Records
Description:
Global Employment Management System (GEMS) outputs such as Staffing Patterns, Monthly Action Reports, and Report of Federal Civilian Employment (SF-113-A).
Records on routine office program support, administration, and human resources operations. Includes:
• reports, including annual reports to the Department of State concerning the number of official passports issued and related matters
• reports from subordinate units regarding statistics and other reporting measures
• general correspondence with internal agency offices and with OPM
• general correspondence with travelers regarding official passport application procedures and documentation requirements
• statistics, including lists of official passport holders
Exclusion: Agency reports received by the Department of State document the Department's mission and must be scheduled by the Department.
Disposition:
Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 16)
DispAuthNumber:
DAA-GRS-2017-0007-0001 (GRS 2.2, item 010)
A-04-004-03c(4)
Global Employment Management System (GEMS)
Description:
Output - General Personnel Statistical Studies.
Includes Geographic Survey, Grade Breakdown by Organization, FSO Positions by Functions, Foreign Service Accessions, Men and Women Count by Grade, Excepted Positions, Labor Department Reports and Foreign Service Separations.
Disposition:
TEMPORARY. Delete when 2 years old or when no longer needed for reference purposes, whichever is later. (NC-59-75-6, item 2)
DispAuthNumber:
N1-059-00-08, item 4c(4)
A-04-004-04a
Personnel Action Handbook
Description:
Master File set and history or background documents.
1. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire when superseded to Records Service Center for transfer to WNRC. Destroy when 20 years old. (NC-59-75-6, item 4a)
DispAuthNumber:
N1-059-00-08, item 2(1)
A-04-004-05
OPM Input Actions (CPDF)
Description:
Office of Personnel Management Computer Printout of State Department Personnel Actions.
Disposition:
TEMPORARY. Destroy when 1 year old. (NC-59-75-6, item 5)
DispAuthNumber:
N1-059-00-08, item 3
A-04-004-15
Monthly Federal Employment Statistics Bulletins issued by the Office of Personnel Management
Disposition:
TEMPORARY. Destroy when no longer needed for reference.
DispAuthNumber:
Non-Record
A-04-004-16a
Personnel From Side (PERFS)
Description:
PERFS is an automated computer system used to prepare SF-52 (Request for Personnel Action) forms, electronically route them for all required approvals, and automatically update the central personnel and payroll databases. (System discontinued in April 1999)
a. Master file maintained on network server.
Disposition:
TEMPORARY. File may be deleted when 10 years old. (N1-059-88-16)
DispAuthNumber:
N1-059-00-08, item 5a
A-04-004-16b
Personnel From Side (PERFS)
Description:
b. System tapes retained by IRM. Magnetic tape copies reflecting daily and monthly transactions of personnel data for each calendar year, beginning December 1985.
Disposition:
TEMPORARY. Destroy after approval of this schedule.
DispAuthNumber:
N1-059-00-08, item 5b
A-04-004-17a
Notifications of Personnel Actions
Description:
Copies of Standard Form 50, documenting all individual personnel actions such as hiring, promotions, transfers, and separation. Includes chronological files, fact sheets, general correspondence, and forms about pending personnel actions maintained by agency Human Resources offices.
Exclusion: SF-50s filed in the OPF. Items 040 and 041 of this schedule cover these records.
Disposition:
Temporary. Destroy when business use ceases. (Supersedes GRS 1, item 14a and GRS 1, item 14b)
DispAuthNumber:
DAA-GRS-2017-0007-0006 (GRS 2.2, item 050)
A-04-004-18
Integrated Personnel Management System (IPMS) Foreign Service Assignment Management Application (IFSAMA)
Description:
IFSAMA is a computer system that replaced the Automated Personnel Transactions System (APTS) in November 1997 and controls all phases of the Foreign Service personnel assignment and travel process. It tracks and reports on employee assignment, employee travel history, and the Foreign Service bidding process. It also collects training data, eligible family member information, employee and eligible family member medical information, tour of duty data and pending assignment data.
Cartridge tape copies reflecting Foreign Service assignment and travel related data for each calendar month since November 1997.
Disposition:
TEMPORARY. Cut off annually. Delete when obsolete or no longer needed. (N1-059-88-15)
DispAuthNumber:
N1-059-00-08, item 7
A-04-004-19
Personnel Historical Information Storage House (PHISH)
Description:
PHISH is an information system that provides summarized information in specific areas of interest as identified by users in a graphical interface. It performs reporting, ad hoc queries, and maintenance and security for the reporting data. It captures both current and historical information on employee, position, and transaction data from 1992 to present.
Magnetic tape copies reflecting monthly transactions of personnel data for each calendar year.
Disposition:
TEMPORARY. Destroy when no longer needed to backup GEMS.
DispAuthNumber:
N1-059-00-08, item 8
A-04-004-20
Post Personnel System (PS)
Description:
PS is a computer system that tracks employee and position data on Foreign Service National employees and employees hired and/or serving at overseas posts from both the Department of State and other federal agencies. Magnetic tape.
Disposition:
TEMPORARY. Cut off annually. Retain at Post for 5 years then transfer to RSC. Destroy after 5 years at RSC.
DispAuthNumber:
N1-059-00-08, item 9
A-04-004-21
Automated Foreign Service Employment Recruitment System (AFSERS)
Description:
This system tracks employment applications for Foreign Service generalists and specialists. It maintains a register of qualified applicants for each program and includes security clearance and medical information on the applicant and family members.
Disposition:
TEMPORARY. Delete when no longer needed or superseded.
DispAuthNumber:
N1-059-00-08, item 10
A-04-004-22-25
Reserved for Future Use.
A-04-004-26a
Official Personnel Folders (OPF)
Description:
a. Foreign Service Administrative Folders.
Official personnel actions and related administrative records of Foreign Service employees, excluding performance ratings and related records documenting their service with the Department and any prior Federal service.
(1) Recordkeeping copy (paper).
Short-term records. Records of separated employees saved to the “temporary” folder in the eOPF or filed on the left side of the hardcopy OPF.
Exclusion: USCIS Form I-9 and performance-related records. See item 060 of this schedule for I-9 Forms and items 070, 071, 072, and 073 for disposition of temporary performance-related records.
Disposition:
Temporary. Destroy when superseded or obsolete, or upon separation or transfer of employee, whichever is earlier. (Supersedes GRS 1, item 10a)
DispAuthNumber:
DAA-GRS-2017-0007-0005 (GRS 2.2, item 041)
A-04-004-26b
Official Personnel Folders (OPF)
Description:
Foreign Service Performance Folders.
Performance ratings, commendations, training reports, Inspector reports, official reprimands, end-use summary reports, etc. of Foreign Service employees. (FS Act of 1980 as amended dated January 1992 P.L.. 96-465).
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire to RSC 1 year after separation of employee for transfer to WNRC. Destroy 15 years after separation.
DispAuthNumber:
N1-059-00-08, item 11b(1)
A-04-004-26c
Official Personnel Folders (OPF)
Description:
Civil Service Administrative Folders.
Recordkeeping copy (paper).
Official Personnel Folders of Civil Service employees, consisting of record copies of documents covering their entire Federal service as prescribed in the OPM operating manual, Guide to Personnel Recordkeeping and related Department guidelines.
Short-term records. Records of separated employees saved to the “temporary” folder in the eOPF or filed on the left side of the hardcopy OPF.
Exclusion: USCIS Form I-9 and performance-related records. See item 060 of this schedule for I-9 Forms and items 070, 071, 072, and 073 for disposition of temporary performance-related records.
Exclusion: Agencies not subject to OPM recordkeeping requirements under title 5, U.S. Code, should apply their own agency-specific schedule. Note 1: For transferred employees, see Chapter 7 of The Guide to Personnel Recordkeeping for instructions.
Note 2: Hardcopy original personnel folders scanned into the Enterprise Human Resource Integration (EHRI) eOPF Database are covered by GRS 5.2, Transitory and Intermediary Records, item 020.
Disposition:
Temporary. Destroy when superseded or obsolete, or upon separation or transfer of employee, whichever is earlier. (Supersedes GRS 1, item 10a)
DispAuthNumber:
DAA-GRS-2017-0007-0005 (GRS 2.2, item 041)
A-04-004-26d(1)(a)
Employee Performance File System Records
Description:
Acceptable performance appraisals of non-senior executive service employees. Performance records for employees as defined in 5 U.S.C. 4301(2)).
Employee performance records are ratings of record, the performance plans on which ratings are based, supporting documentation for those ratings, and any other performance-related material required by an agency’s performance appraisal system.
Exclusion 1: Performance records superseded through an administrative, judicial, or quasi-judicial procedure are covered by item 073 of this schedule.
Exclusion 2: Performance records of Presidential appointees are not covered by the GRS. Such records must be scheduled by submitting an agency-specific schedule to NARA.
Legal citation: 5 CFR Part 293.404
Disposition:
Temporary. Destroy no sooner than 4 years after date of appraisal, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 23; GRS 1, item 23a(1); GRS 1, item 23a(2); GRS 1, item 23a(3)(a); GRS 1, item 23a(3)(b); GRS 1, item 23a(4); and GRS 1, item 23a(5))
DispAuthNumber:
DAA-GRS-2017-0007-0008 (GRS 2.2, item 070)
A-04-004-26d(2)(a)
Employee Performance File System Records
Description:
Records of senior executive service employees. Performance records for employees as defined in 5 U.S.C. 3132a(2). Includes records of performance ratings boards.
Employee performance records are ratings of record, the performance plans on which ratings are based, supporting documentation for those ratings, and any other performance-related material required by an agency’s performance appraisal system.
Exclusion 1: Performance records of Presidential appointees are not covered by the GRS. Such records must be scheduled by submitting an agency-specific schedule to NARA.
Exclusion 2: Performance records superseded through an administrative, judicial, or quasi-judicial procedure are covered by item 073 of this schedule. Legal citation: 5 CFR Part 293.404
Disposition:
Temporary. Destroy no sooner than 5 years after date of appraisal, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 9)
DispAuthNumber:
DAA-GRS-2017-0007-0010 (GRS 2.2, item 072)
A-04-004-27a
Employee Service Record
Description:
a. Electronic Records.
Effective January 1995, an on-line information system has provided service card data for each Civil Service and Foreign Service employee who separated or transferred from the Department since 1988. Information contains the Personnel Audit Report (PAR) and information from the last separation Notification of Personnel Action (SF-50). Data is downgraded to magnetic tape to perform an annual backup of all data associated with the Folder System.
Disposition:
TEMPORARY. Retain on magnetic tape in the Department Human Resources Records Division (HR/EX/ADM/RM) until no longer needed for reference purposes. (NC1-059-80-16)
DispAuthNumber:
N1-059-00-08, item 12a
A-04-004-27b
Employee Service Record
Description:
b. Paper records 1976 thru 1994.
Information consists of Personnel Audit Report (PAR) and the last Notification of Personnel Action (SF-50).
Disposition:
TEMPORARY. Retain in the Department Human Resources Records Division (HR/EX/ADM/RM) until no longer needed for reference purposes.
DispAuthNumber:
N1-059-00-08, item 12b
A-04-004-27c
Employee Service Record
Description:
Microfilm Copies - 1940 to 1975.
Disposition:
PERMANENT: Transfer immediately to NARA upon approval of this schedule.
DispAuthNumber:
N1-059-00-08, item 12c
A-04-004-28
Administrative Clearances for Separation (DA-8A)
Description:
Contains original form prepared by administrative office in the Department or at post at the time employee separates from either the Foreign Service or Civil Service, indicating the return of security identification card, parking permit, dining room pass, or library card. This item does not include forms DS-8, Fiscal Clearance for Final Salary Payment, or OF-109, Separation Statement.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 6 months after separation of employee.
DispAuthNumber:
N1-059-00-08, item 13a
A-04-005-01a
Director General Messages
Description:
Communications between the Director General of the Foreign Service and the Principal Officer of a Foreign Service post on sensitive personnel matters (captioned DIRGEN CHANNEL). Also included are communications dealing with agreement requests for American Ambassadors and Ministers as well as matters relating to the appointment, resignation, or transfer of an American Chief of Mission or Charge dAffairs (captioned AGREMENT CHANNEL).
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 5 years old.(NC1-59-79-9)
DispAuthNumber:
N1-059-00-01, item 1a
A-04-005-02a
Correspondence Files
Description:
Consists of letters, telegrams, memoranda and miscellaneous correspondence, prepared by the Director General pertaining to administrative and sensitive personnel matters, etc.
a. Recordkeeping copy (paper)
Disposition:
TEMPORARY. Retire to RSC when 2 years old for transfer to WNRC. Destroy when 5 years old.
DispAuthNumber:
N1-059-00-01, item 2a
A-04-006-01a(1)
Civil Service Personnel Management
Official Position Descriptions.
Description:
a. Master
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 5 years after position is abolished or description is superseded.
DispAuthNumber:
N1-059-00-09, item 1a(1)
A-04-006-01b
Official Position Descriptions
Description:
b. All other copies.
Disposition:
TEMPORARY. Destroy 2 years after position is abolished or description is superseded. (GRS 1, item 7b)
DispAuthNumber:
N1-059-00-09, item 1b
A-04-006-02a
Merit Promotion Applicant Files
Description:
Files relate to Department employees and applicants outside the Department. Included are requests for personnel action (SF-52), vacancy announcements, crediting plans, applications for Federal employment, performance appraisals, panel ratings and summary sheets and related correspondence. Consist of DS-1740, Panel Evaluation Report, DS-1738, Application for Vacancy, request for Merit Promotion Certificate, DS-1737, Job Opportunity Announcement, DS-1739, Experience and Qualifications Statement for Top Ranking Candidates, DS-1297, Merit Promotion and Placement Certificate, position description and related correspondence.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire to RSC 1 year after personnel action. Destroy after OPM audit or 2 years after the personnel action is completed, whichever is sooner. (GRS 1, item 32)
DispAuthNumber:
N1-059-00-09, item 2a
A-04-006-04
Automated Staffing Control System
Description:
This on-line system facilitates the tracking of applicants. It provides access to pertinent applicant data, employment applications, vacancy announcement and position description numbers, qualifications and scores of applicants and action taken on selections/non selections.
Disposition:
TEMPORARY. Delete 2 years after the personnel action is completed.
DispAuthNumber:
N1-059-00-09, item 4
A-04-006-05a
Pre-Appointment Files
Description:
Files relate to Department employees and applicants outside the Department selected for vacancies. Included are copies of applications for employment, position descriptions, SF-52, Request for Personnel Action, finger print charts, security clearances, and other related correspondence.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Transfer documents appropriate for the Official Personnel Folder (OPF) and destroy remainder once individual enters on duty.
DispAuthNumber:
N1-059-00-09, item 5a
A-04-006-06a
Priority Consideration Files
Description:
Files relate to Department employees and applicants outside the Department. Included are applications for Federal employment, correspondence that documents eligibility for priority consideration, and other correspondence pertinent to the case.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Cut off files at end of calendar year in which person was placed in position. Destroy 1 year after cutoff.
DispAuthNumber:
N1-059-00-09, item 6a
A-04-006-08a
Senior Executive Service (SES) Staffing Files
Description:
Files relate to Department employees and applicants outside the Department. Included are requests for personnel action (SF-52), vacancy announcement, applications for Federal employment, performance appraisals, panel rating and summary sheets and related correspondence.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy after OPM audit or 2 years after personnel action is completed, whichever is sooner. (GRS 1, item 15)
DispAuthNumber:
N1-059-00-09, item 8a
A-04-006-09a(1)
Senior Executive Service (SES) Performance Documents
Description:
(1) Performance records superseded through an administrative, judicial, or quasi-judicial procedure.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when superseded. (GRS 1, item 23b(1))
DispAuthNumber:
N1-059-00-09, item 9(1)(a)
A-04-006-09b(1)(a)
Senior Executive Service (SES) Performance Documents
Description:
2. Performance-related records pertaining to a former SES appointee.
a. Latest rating of record that is less that 5 years old, performance plan upon which it is based, and any summary rating. (GRS 1, item 23b (2)(a))
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Place records on left side of the OPF and forward to gaining Federal agency upon transfer or to NPRC if employee leaves Federal service.
DispAuthNumber:
N1-059-00-09, item 9(2)(a)(1)
A-04-006-09b(2)(a)
Senior Executive Service (SES) Performance Documents
Description:
b. All other performance ratings and plans.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 5 years old, or when no longer needed, whichever is sooner. (GRS 1, item 23b(2)(b))
DispAuthNumber:
N1-059-00-09, item 9(2)(b)(2)
A-04-006-09c(1)
Senior Executive Service (SES) Performance Documents
Description:
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.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 5 years after date of appraisal. (GRS 1, item 23b(3))
DispAuthNumber:
N1-059-00-09, item 9(3)(a)
A-04-006-09d(1)
Senior Executive Service (SES) Performance Documents
Description:
4. Supporting documents.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 5 years after date of appraisal or when no longer needed, whichever is sooner. (GRS 1, item 23b(4))
DispAuthNumber:
N1-059-00-09, item 9(4)(a)
A-04-006-10
Senior Executive Service Candidate Development Program (SESCDP) - Program records
Description:
Records documenting program scope, policies, planning, budget, and curriculum planning.
SESCDP is an OPM-approved training program designed to develop employees with strong executive potential to qualify them for and authorize their initial career appointment in the Senior Executive Service.
Disposition:
Temporary. Destroy when no longer needed for business use.
DispAuthNumber:
DAA-GRS-2016-0014-0004 (GRS 2.6, Item 040)
A-04-006-11
Senior Executive Service Candidate Development Program (SESCDP) - Participant Case Records
Description:
Records documenting training, developmental assignments, mentor agreements and evaluations, and SES Development Plans.
SESCDP is an OPM-approved training program designed to develop employees with strong executive potential to qualify them for and authorize their initial career appointment in the Senior Executive Service.
Disposition:
Temporary. Destroy 1 year after certification or separation from the program, but longer retention is authorized if required for business use.
DispAuthNumber:
DAA-GRS-2023-0005-0001 (GRS 2.6, Item 041)
A-04-007-01a(1)
Awards General Subject File
Description:
Consists of correspondence, reports, memoranda, staff studies and other documentation of the establishment and administration of awards.
a. Material documenting the establishment of specific awards.
(1) Recordkeeping copy (paper)
Disposition:
Temporary. Retire to RSC when 5 years old for transfer to WNRC. Destroy when 50 years old. (NC-59-75-8, item 1a)
DispAuthNumber:
N1-059-00-11, item 10a(1)
A-04-007-01b(1)
Awards General Subject File
Description:
b. All other material including vouchers and reports.
(1) Recordkeeping copy (paper)
Disposition:
Temporary. Destroy when 5 years old. (NC-59-75-8, item 1b)
DispAuthNumber:
N1-059-00-11, item 10b(1)
A-04-007-02a
Programs from Honor Awards Ceremonies
Description:
a. Recordkeeping copy (paper)
Disposition:
Temporary. Destroy when 10 years old. Earlier destruction is authorized if no longer needed for administrative use. (NC-59-75-8, item 2)
DispAuthNumber:
N1-059-00-11, item 11a
A-04-007-03a
Employee Suggestion Files
Description:
Suggestion Program Form (DS-1856) and related office and post correspondence submitted under the Department beneficial suggestions programs.
a. Recordkeeping copy (paper)
Disposition:
Temporary. Destroy 2 years after case is closed. (NC-59-75-8, item 3)
DispAuthNumber:
N1-059-00-11, item 12a
A-04-007-06a
Combined Federal Campaign Records
Description:
Including list of quotas, pink copy of Keyman report by office, and other related documents.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy after GAO audit or when 3 years old, whichever is sooner. (GRS 2, item 15)
DispAuthNumber:
N1-059-00-10, item 1a
A-04-007-07a
U.S. Savings Bond Drive Records
Description:
Including correspondence regarding participation, quotas, distribution, organization and publicity.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 2 years old. (NC-59-75-8, item 7)
DispAuthNumber:
N1-059-00-10, item 2a
A-04-007-09a
Discipline Case Files on Foreign Service Employees
Description:
Case files consisting of personnel sensitive reports of investigations concerning allegations of misconduct, disciplinary actions taken, various correspondence, memoranda, and other documentation pertaining to the case.
a. Recordkeeping copy (paper).
Disposition:
Temporary. Cut off file when case is closed. Retire to RSC 5 years after cutoff for transfer to WNRC. Destroy 20 years after cutoff.
DispAuthNumber:
N1-059-00-10, item 3a
A-04-007-10a
Alternative Dispute Resolution (ADR) Program Files
Description:
Documents reflect notes on ADR cases, agreements to mediate, settlement agreements, memorandums of understanding and case documentation.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Cut off file when dispute is resolved. Retire two RSC 5 years after cutoff for transfer to WNRC. Destroy 10 years after cutoff.
DispAuthNumber:
N1-059-00-10, item 5a
A-04-007-11
Grievance, Appeals and Disciplinary Tracking and Reporting (GADTRAKS)
Description:
This database provides historical and statistical data on conduct suitability and discipline case files on Foreign Service and Civil Service employees. Includes pertinent data on employee, type of case, received and resolved dates, specialist assigned to the case, action taken, and status.
Disposition:
TEMPORARY: Retain in HR/ER office. Delete individual case when active agency use ceases.
DispAuthNumber:
N1-059-00-10, item 6
A-04-007-12a(1)
Workers Compensation Claim Files
Description:
Consist of medical information, medical bill payments, reimbursement requests, Department of Labor Office of Workers Compensation Programs (OWCP) correspondence, agency and employee responses to OWCP requests for information. Excludes copies filed in the Employee Medical Folder and copies submitted to the Department of Labor.
a. Minor Claims Files
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Cut off on termination of compensation or when deadline for filing a claim has passed. Destroy 3 years after cutoff. (GRS 1, item 31)
DispAuthNumber:
N1-059-00-10, item 7a(1)
A-04-007-13
Workers Compensation Tracking System
Description:
This database system includes all workers compensation claims filed by employees. It allows for tracking the progress of claims and providing information in response to requests made by Office of Workers Compensation Program (OWCP). Included is pertinent data on employee, type of injury, status of claim, etc.
Disposition:
TEMPORARY: Retain in HR/ER office. Delete individual record when active agency use ceases.
DispAuthNumber:
N1-059-00-10, item 8
A-04-007-13b(1)
Workers’ Compensation (personnel injury compensation) Records
Description:
Records of agencies that forward case file material to DOL for retention in DOL’s master OWCP records.
Federal Employees’ Compensation Act case files on injuries Federal employees sustain, while performing their duties that result in lost time or death, whether or not the employee filed a workers’ compensation claim. Includes:
• forms, reports, correspondence, claims
• medical and investigatory records
• administrative determinations or court rulings
• payment records
Exclusion 1: Copies filed in the Employee Medical Folder.
Exclusion 2: Records created and maintained by the Department of Labor’s Office of Workers’ Compensation.
Disposition:
Temporary. Destroy 3 years after compensation ceases or when deadline for filing a claim has passed. (Supersedes GRS 1, item 31)
DispAuthNumber:
DAA-GRS-2016-0015-0012 (GRS 2.4, item 100)
A-04-007-14a
Reasonable Accommodations Case Files
Description:
Documents reflect requests by employees for reasonable accommodations. Includes Personnel Audit Report (PAR) printouts, intake forms (determinations of qualified disabled) accommodation efforts for disability retirement purposes, and related correspondence.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 3 years after separation of employee.
DispAuthNumber:
N1-059-00-10, item 9a
A-04-007-15
Reasonable Accommodations Tracking System
Description:
This database contains pertinent data on employees requesting reasonable accommodations including type of disability, nature of accommodation, etc.
Disposition:
TEMPORARY: Retain in HR/ER office. Delete individual record when active agency use ceases.
DispAuthNumber:
N1-059-00-10, item 10
A-04-007-16a
Federal Employees Health Benefits (FEHB) and Federal Employees Group Life Insurance (FEGLI) Subject Files
Description:
a. Procedures and guidelines for the FEHB and FEGLI programs.
Includes information on eligibility, FEHB open season, FEGLI open enrollment, Temporary Continuation of Coverage (TCC), grandchildren, leave without pay, dual enrollment, certificate of incapacity, refunds, etc.
Disposition:
TEMPORARY: Destroy when superseded.
DispAuthNumber:
N1-059-00-10, item 13a
A-04-007-16b(1)
Federal Employees Health Benefits (FEHB) and Federal Employees Group Life Insurance (FEGLI) Subject Files
Description:
b. Certificate of Incapacity Files.
Includes sensitive correspondence on dependent children who are incapable of self-support and continued FEHB coverage beyond age 22.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy upon separation of employee.
DispAuthNumber:
N1-059-00-10, item 13b(1)
A-04-007-16c(1)
Federal Employees Health Benefits (FEHB) and Federal Employees Group Life Insurance (FEGLI) Subject Files
Description:
c. Requests for Refund Files.
Includes correspondence regarding erroneous deductions of premiums for health and life insurance.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 1 year old.
DispAuthNumber:
N1-059-00-10, item 13c(1)
A-04-007-17
State Magazine Tracking System
Description:
This database contains names and addresses of employees who wish to receive the State Magazine.
Disposition:
TEMPORARY: Delete individual record when no longer needed. (GRS 13, item 4a)
DispAuthNumber:
N1-059-00-10, item 14
A-04-007-18a
Disability Retirement Case Files
Description:
Case files consisting of certification of reasonable access efforts, correspondence, and copies of standard forms used for disability retirement, such as SF-3102F.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 5 years old.
DispAuthNumber:
N1-059-00-10, item 15a
A-04-007-19
Awards Database
Description:
Information relates to Foreign Service and Civil Service employees and is used to update Personnel Audit Reports, for reporting as required by the consent decree in class action suits, and analysis and distribution of awards. Includes data such as name, social security number, grade, assignment, type of award, sex, approval date, dollar amount, hours (for time off), and basis of award.
Disposition:
Temporary. Retain in HR/PE office. Destroy when active agency use ceases.
DispAuthNumber:
N1-059-00-11, item 9
A-04-008-01a
Position Descriptions
Description:
Official record copy of position description.
Copy held at Human Resources office.
Records relating to developing, editing, classifying, and evaluating position descriptions, including information on title, series, grade, duties, and responsibilities.
Disposition:
Temporary. Destroy 2 years after position is abolished or description is superseded, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 7b)
DispAuthNumber:
DAA-GRS-2014-0002-0002 (GRS 2.1, item 020)
A-04-008-02
Staffing Patterns
Description:
Copies of staffing patterns for Departmental units and Foreign Service posts.
Disposition:
Destroy when superseded.
DispAuthNumber:
NN-166-054, item 1
A-04-008-03
Chronological Files
Description:
Extra copies of documents of outgoing communications of all types, arranged chronologically without regard to subject. The official record copy is filed in the designated recordkeeping program file.
Disposition:
Temporary. Destroy when 1 year old, or sooner if no longer needed for current operation.
DispAuthNumber:
N1-059-00-14, item 6
A-04-008-04a
Classification General Subject and Organizational Files - Correspondence, memoranda, reports, circulars, studies, audits and other papers on classification cases, reorganizations, Schedule C positions, Supergrades, Chief of Mission and other matters
Description:
a. Records on significant classification policies, procedures, studies, reports and surveys.
DispAuthNumber:
RRP-NN-464-7
A-04-008-04c
Classification General Subject and Organizational Files - Correspondence, memoranda, reports, circulars, studies, audits and other papers on classification cases, reorganizations, Schedule C positions, Supergrades, Chief of Mission and other matters
Description:
c. Case files on certain types of positions such as Schedule C, Supergrade, Chief of Mission, etc.
Disposition:
Destroy when superseded or when case ceases to have value as a precedent.
DispAuthNumber:
NN-173-138, item 1c
A-04-008-05a
Position Designation File
Description:
Correspondence, memorandums, reports, requests for changes and other papers on designation of positions as Civil Service or Foreign Service. Arranged by organizational unit and occupational group
a. Copies of completed studies and significant policies, procedures and organizational papers.
DispAuthNumber:
RRP-NN-464-7
A-04-008-05b
Position Designation File
Description:
Correspondence, memorandums, reports, requests for changes and other papers on designation of positions as Civil Service or Foreign Service. Arranged by organizational unit and occupational group
b. All papers other than those described in "a" above.
Disposition:
Destroy when superseded or obsolete.
DispAuthNumber:
NN-166-054, item 5
A-04-008-07a(1)
Classification Survey Data Files.
Description:
a. Consist of classification reports, conversion charts and surveys, and other related correspondence.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 1 year old for transfer to WNRC. Destroy when 10 years old.
DispAuthNumber:
N1-059-00-14, item 3a(1)
A-04-008-07b
Classification Survey Data Files.
Description:
b. Microfilm copies: Silver halide original and positive vesicular microfilm copy.
Disposition:
TEMPORARY: Destroy when 10 years old or when no longer needed for reference purposes.
DispAuthNumber:
N1-059-00-14, item 3b
A-04-008-07c(1)(a)
Classification Survey Data Files.
Description:
d. Background material including copies of communications, memoranda, worksheets, questionnaires and other material collected or created in preparing various classification reports, studies, and surveys.
(1) Routine cases.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 1 year after completion of related survey or study.
DispAuthNumber:
N1-059-00-14, item 3d(1)(a)
A-04-008-07c(2)(a)
Classification Survey Data Files.
Description:
(2) Precedent cases.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when of no further reference value.(NN-173-138, item 1b)
DispAuthNumber:
N1-059-00-14, Item 3d(2)(a)
A-04-008-08a
Position Reviews and Classification Appeals
Description:
Records an agency creates and receives when reviewing a position’s classification in response to a classification appeal to the agency Human Resources function or directly to OPM, including records of desk audits.
Disposition:
Temporary. Destroy 3 years after final decision, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 7d(1))
DispAuthNumber:
DAA-GRS-2014-0002-0004 (GRS 2.1, item 030)
A-04-008-09a
Subject Files.
Description:
Consist of correspondence, memorandum and reports documenting the development and implementation of policies, regulations, and procedures concerning the personnel management of all direct hire and personal services contract Foreign Service National (FSN) employees. Also includes correspondence documenting policies and procedures to offices in the Department, other Federal agencies and post overseas on personnel issues.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 10 years old.
DispAuthNumber:
N1-059-00-14, item 1a
A-04-008-10a
Country Files.
Description:
Consist of correspondence, memorandum, reports, telegrams from posts, studies, surveys, staffing patterns, cases, reorganizations, and other documents on salary/benefits and classification, etc.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 10 years old.
DispAuthNumber:
N1-059-00-14, item 2a
A-04-008-11a(1)
Wage Survey Files
Description:
Periodic surveys of wages paid to non-Government workers in a specified wage area to support and modify the Federal Wage System and records related to conducting these surveys.
Disposition:
Temporary. Destroy 7 years after survey completion, but longer retention is authorized if required for business use.
DispAuthNumber:
DAA-GRS-2023-0004-0002 (GRS 2.4, item 080)
A-04-008-11b
Wage Survey Files.
Description:
Consists of wage survey reports and data.
b. Microfilm copies: Silver halide original and positive vesicular microfilm copy.
Disposition:
Temporary. Retain in GTM/OE. Destroy when 10 years old or when no longer needed for reference purposes, whichever is sooner.
DispAuthNumber:
N1-059-00-14, item 4b
A-04-008-11c(1)
Wage Survey Files
Description:
Consists of wage survey reports and data.
c. Salary Schedules and Local Compensation Plans. Wage schedules for all established work weeks (40 hr.-48 hr. etc.); rates and rules pertaining to premium pay and holiday pay; and a full description of all authorized direct benefit plans such as severance pay plans, insurance plans, etc.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC when 3 years old for transfer to WNRC. Destroy when 25 years old.
DispAuthNumber:
N1-059-00-14, item 4c(1)
A-04-008-11c(3)
Wage Survey Files.
Description:
c. Salary Schedules and Local Compensation Plans. Wage schedules for all established work weeks (40 hr.-48 hr. etc.); rates and rules pertaining to premium pay and holiday pay; and a full description of all authorized direct benefit plans such as severance pay plans, insurance plans, etc.
(3) Microfilm copies: Silver halide original and positive vesicular microfilm copy.
Disposition:
Temporary. Retain in GTM/OE. Destroy when 10 years old or when no longer needed for reference purposes, whichever is sooner.
DispAuthNumber:
N1-059-00-14, item 4c(3)
A-04-009-01a
Performance Evaluation General Subject Files
Description:
Reports, memorandums, telegrams, correspondence, issuances, minutes of meetings, agendas for meetings, and other policy documentation documenting significant policy, procedural and organizational matters relating to the development and administration of the Department of State program for performance evaluation, promotion and separation of Foreign Service Officers, and other Foreign Service employees.
a. Recordkeeping copy (paper)
Disposition:
Permanent. Retain in Performance Evaluation Office (PER/PE) for 10 years. Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (N1-059-93-15, item 1)
DispAuthNumber:
N1-059-00-11, item 1a
A-04-009-02a
Foreign Service Selection Board Precepts
Description:
“Core” (aka Decision Criteria for Tenure and Promotion) and Procedural Precepts for tenure, promotion, performance pay and other Boards. Arranged by date and thereunder by type of records.
Disposition:
Permanent. Retain in office for 10 years. Retire to RSC in 1-year blocks for transfer to WNRC. Transfer to the National Archives when 25 years old in 5-year blocks. (Supersedes: N1-059-00-11, item 2a and N1-059-93-15, item 2)
DispAuthNumber:
DAA-0059-2016-0004-0001
A-04-009-02b
Foreign Service Selection Board Final Reports
Description:
Final Reports may include comments and recommendations, findings, rankings, promotion lists, class list, membership lists, and other records of Boards. Arranged by Board and thereunder by type of records.
Disposition:
Permanent. Retain in office for 10 years. Retire to RSC in 1-year blocks for transfer to WNRC. Transfer to the National Archives when 25 years old in 5-year blocks. (Supersedes: N1-059-00-11, item 2b)
DispAuthNumber:
DAA-0059-2016-0004-0002
A-04-009-02c
Foreign Service Selection Board – Working Files
Description:
Notes, drafts, reference material and related documentation used in the creation of final reports.
Disposition:
Temporary. Destroy when no longer needed.
DispAuthNumber:
DAA-0059-2016-0004-0003
A-04-009-04
Selection Board Administrative Correspondence File
Description:
Consists of correspondence regarding the selection of Board members, administrative arrangements, etc.
Disposition:
Destroy when 2 years old.
DispAuthNumber:
NN-173-131, item 4
A-04-009-05
Automated Score Card System
Description:
This on-line system is used to track the career status and progress of individuals in the Foreign Service. Information consists of the individual name, date of birth, social security number, tenure date, commission date, time-in-class and extensions, Selection Board rankings, promotion history, skill code, senior threshold board requests and related correspondence.
Disposition:
Temporary. Retain in HR/PE office. Delete when active agency use ceases. (NN-173-131, item 6)
DispAuthNumber:
N1-059-00-11, item 5
A-04-009-06
Automated Report Card System
Description:
This on-line system is used to account for the receipt of and to track evaluation reports. Information includes the names of the rated, rating and reviewing officers, the period covered by the report, the date received in the office, ranking of overall performance and potential, and the rated officer social security number.
Disposition:
Temporary. Retain in HR/PE office. Delete when active agency use ceases. (NN-173-131, item 6)
DispAuthNumber:
N1-059-00-11, item 6
A-04-009-07a
Threshold Review Files
Description:
1. Consists of threshold review panel statements, personnel audit reports (PARs) and related records on Class 6 officers considered for promotion by the Threshold Review Board. The 1973 files also contain administrative documents, such as copies of BEX letters transmitting interview statements, acknowledgements of receipt thereof, copies of letters concerning the Board findings, career counseling statements of cone preferences, etc. Some of these papers will no longer accumulate and the remainder will henceforth be maintained by BEX.
a. Files on Threshold candidates who are promoted to Class 5.
Disposition:
Destroy upon promotion.
DispAuthNumber:
NC-059-75-10, item 1a
A-04-009-07b
Threshold Review Files
Description:
1. Consists of threshold review panel statements, personnel audit reports (PARs) and related records on Class 6 officers considered for promotion by the Threshold Review Board. The 1973 files also contain administrative documents, such as copies of BEX letters transmitting interview statements, acknowledgements of receipt thereof, copies of letters concerning the Board findings, career counseling statements of cone preferences, etc. Some of these papers will no longer accumulate and the remainder will henceforth be maintained by BEX.
b. Files on Threshold candidates who fail to be promoted.
Disposition:
Destroy 1 year after candidate is separated from service for time in class.
DispAuthNumber:
NC-059-75-10, item 1b
A-04-009-08
Threshold Review Files
Description:
Administrative records relating to Threshold interviews conducted by BEX.
Disposition:
Destroy 1 year following interview.
DispAuthNumber:
NC-059-75-10, item 2
A-04-010-01a
Personnel Policy Historical File
Description:
Originals and copies of reports, studies, surveys, orders, circulars, bills, acts, hearings, committee documents, papers on policies, plans, organization, programs, procedures, systems and matters relating to personnel administration of the Department and the Foreign Service.
a. Recordkeeping copy (paper).
Disposition:
PERMANENT. Retain in the Policy Coordination Office (DPG/PC) for 10 years. Retire inactive files when 10 years old to RSC for transfer to WNRC. Transfer to the National Archives when 25 years old. (RRP-NN-464-7)
DispAuthNumber:
N1-059-00-12, item 01a
A-04-010-02
Card Index to Central Reference File
DispAuthNumber:
RRP-NN-464-7
A-04-010-03a
Task Force and Committee Records on the Herter Report - Copies of recommendations, progress reports and other papers of the task force Steering Committee and Executive Committee
Description:
a. Master Copy.
DispAuthNumber:
RRP-NN-464-7
A-04-010-03b
Task Force and Committee Records on the Herter Report - Copies of recommendations, progress reports and other papers of the task force Steering Committee and Executive Committee
Description:
b. Extra copies of papers, galley proofs and reproduction materials.
Disposition:
TEMPORARY. Destroy when no longer needed for reproduction or distribution purposes.
DispAuthNumber:
Non-Record
A-04-010-04a
Committee Records on the Wriston Report - Background information, copies of correspondence, study group reports and other related papers.
Description:
a. Master Copy.
DispAuthNumber:
RRP-NN-464-7
A-04-010-04b
Committee Records on the Wriston Report - Background information, copies of correspondence, study group reports and other related papers
Description:
b. Extra copies of papers, galley proofs and reproduction materials.
Disposition:
TEMPORARY. Destroy when no longer needed for reproduction or distribution purposes.
DispAuthNumber:
Non-Record
A-04-010-05a(1)
Project Reports on Personnel Policy and Planning
Description:
a. Master.
(1) Recordkeeping copy (paper).
Disposition:
PERMANENT. Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-12, item 2a(1)
A-04-010-05b
Project Reports on Personnel Policy and Planning
Description:
b. All other copies.
Disposition:
TEMPORARY. Destroy when no longer needed for reproduction or distribution purposes.
DispAuthNumber:
N1-059-00-12, item 2b
A-04-010-06a
Project Working Papers
Description:
Consist of questionnaires, copies of memoranda, reports, printed and processed materials, notes, and drafts collected or created in connection with each planning or policy project.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when project is completed.
DispAuthNumber:
N1-059-00-12, item 3a
A-04-010-07a(1)
Legislative Files
Description:
General subject files on personnel legislation. Includes draft bills and related memoranda, correspondence and supporting briefing data.
a. One copy of each draft justification, cost estimate and briefing data.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 15 years old.
DispAuthNumber:
N1-059-00-12, item 4a(1)
A-04-010-07b
Legislative Files
Description:
b. All other papers.
Disposition:
TEMPORARY. Destroy when superseded or obsolete.
DispAuthNumber:
N1-059-00-12, item 4b
A-04-010-08a(1)
FSRU Conversion Applicant File
Description:
Contains application for conversion, worksheets, medical clearance and other documentation pertaining to conversion; where conversion is approved, a copy of the letter of offer; where conversion is disapproved, the recommendations for disapproval and a copy of the letter of denial sent to the applicant.
a. Approved candidates.
(1) Paper records.
Disposition:
Destroy after it has been ascertained that reproduced copies have been made in accordance with GSA and NARA regulations and are adequate substitutes for the paper records.
DispAuthNumber:
NC1-059-79-08, item 1a(1)
A-04-010-08a(2)
FSRU Conversion Applicant File
Description:
Contains application for conversion, worksheets, medical clearance and other documentation pertaining to conversion; where conversion is approved, a copy of the letter of offer; where conversion is disapproved, the recommendations for disapproval and a copy of the letter of denial sent to the applicant.
a. Approved candidates.
(2) Microfilm records.
Disposition:
Destroy when 10 years old.
DispAuthNumber:
NC1-059-79-08, item 1a(2)
A-04-010-08b
FSRU Conversion Applicant File
Description:
Contains application for conversion, worksheets, medical clearance and other documentation pertaining to conversion; where conversion is approved, a copy of the letter of offer; where conversion is disapproved, the recommendations for disapproval and a copy of the letter of denial sent to the applicant.
b. Candidates who withdraw or separate prior to conversion or denial.
Disposition:
Destroy 1 year after withdrawal, separation or denial.
DispAuthNumber:
NC1-059-79-08, item 1b
A-04-010-08c
FSRU Conversion Applicant File
Description:
Contains application for conversion, worksheets, medical clearance and other documentation pertaining to conversion; where conversion is approved, a copy of the letter of offer; where conversion is disapproved, the recommendations for disapproval and a copy of the letter of denial sent to the applicant.
c. Candidates whose conversion is disapproved.
Disposition:
Destroy 1 year after separation of employee.
DispAuthNumber:
NC1-059-79-08, item 1c
A-04-010-10a
FSRU Program Files
Description:
Documentation defining the FSR/FAS Program and its establishment, related reports, correspondence and memoranda; and related precedent cases
a. Policy and precedent files.
Disposition:
Permanent. Offer to National Archives when 30 years old.
DispAuthNumber:
NC1-059-79-08, item 2a
A-04-010-10b
FSRU Program Files
Description:
Documentation defining the FSR/FAS Program and its establishment, reported reports, correspondence and memoranda; and precedent cases
b. All other records.
Disposition:
Destroy when 10 years old.
DispAuthNumber:
NC1-059-79-08, item 2b
A-04-010-11
Labor Management Relations Files
Description:
a. Labor Management Relations General and Case files.
Correspondence, memoranda, reports and other records relating to the relationship between management and employee unions or other groups:
(1) Office negotiating agreement.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 10 years after expiration of agreement.
DispAuthNumber:
N1-059-00-12, item 5a(1)(a)
A-04-010-12
Labor Arbitration (negotiated grievance procedure) Case Records
Description:
Records of workplace disputes processed under negotiated grievance procedures and settled by either agreement or binding arbitration.
Disposition:
Temporary. Destroy 3 years after close of case, but longer retention is authorized if required for business use. (Supersedes GRS 2.3, Item 052)
DispAuthNumber:
DAA-GRS-2018-0002-0010 (GRS 2.3, Item 090)
A-04-010-13
Labor Management Relations Agreement Negotiation Records
Description:
Records relating to negotiations with labor unions. Includes:
• negotiation agreements
• requests to bargain
• bargaining session records/notes
• correspondence, memoranda, forms
• reports
• other records relating to the negotiated agreements and general relationship between management, employee unions and other groups
Disposition:
Temporary. Destroy 5 years after expiration of agreement or final resolution of case, as appropriate, but longer retention is authorized if required for business use. (Supersedes GRS 2.3, Item 50 and GRS 2.3, Item 051)
DispAuthNumber:
DAA-GRS-2018-0002-0015 (GRS 2.3, item 130)
A-04-011-01a(1)
General Subject Files.
Description:
a. Major policy and procedural files documenting program management and policy-making pertaining to the Department career counseling and assignments functions.
(1) Recordkeeping copy (paper)
Disposition:
TEMPORARY: Retire inactive material to the RSC when 10 years old for transfer to WNRC. Destroy when 15 years old. (NN-172-202, item 1a)
DispAuthNumber:
N1-059-00-13, item 15a(1)
A-04-011-01b(1)
General Subject Files.
Description:
b. Administrative and operational correspondence files pertaining to the Department career counseling and assignments functions.
(1) Recordkeeping copy (paper)
Disposition:
TEMPORARY: Destroy when 3 years old. (NN-172-202, item 1b)
DispAuthNumber:
N1-059-00-13, item 15b(1)
A-04-011-01c(1)
General Subject Files.
Description:
c. Departmental circulars, printed and processed reference material, and other information or working papers relating to internal administration or program subjects.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when no longer needed for current operations. (NN-172-202, item 1c)
DispAuthNumber:
N1-059-00-13, item 15c(1)
A-04-011-10a(1)
Career Development Case Files on Foreign Service Officers and Staff Employees.
Description:
a. Records of long-term value on right side of folder, such as correspondence and memoranda relating to assignment preferences, career development, transfer between cones, and training.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after separation for transfer to WNRC. Destroy 7 years after employee is separated from the Foreign Service. (NN-172-202, item 4a)
DispAuthNumber:
N1-059-00-13, item 16a(1)
A-04-011-10b(1)
Career Development Case Files on Foreign Service Officers and Staff Employees.
Description:
b. Records of short-term value on left side of folder, such as telegrams relating to travel, etc.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 3 years old or upon transfer of folder to new counseling office or inactive file. (NN-172-202, item 4b)
DispAuthNumber:
N1-059-00-13, item 16b(1)
A-04-011-11
Staffing Patterns - Foreign Service Counseling and Assignments
Description:
Monthly tabulations of Foreign Service and domestic employees arranged alphabetically by name of FS employee, by post within geographic regions; and domestic employees arranged by staff office or bureau.
Disposition:
Destroy on receipt of next month copy.
DispAuthNumber:
NN-172-202, item 5
A-04-011-12a(1)
Front Pages showing FS assignments made by Panel B (Career FSOs) and Panel C (Staff employees).
Description:
a. Master set maintained by PER/CDA Office of Deputy Director.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 2 years old for transfer to WNRC. Destroy when 7 years old. (NN-172-202, item 6a)
DispAuthNumber:
N1-059-00-13, item 17a(1)
A-04-011-12b
Front Pages showing FS assignments made by Panel B (Career FSOs) and Panel C (Staff employees).
Description:
b. Copies maintained by other offices.
Disposition:
TEMPORARY: Destroy when 1 year old. (NN-172-202, item 6b)
DispAuthNumber:
N1-059-00-13, item 17b
A-04-011-13a(1)
Panel Agendas.
Description:
Information documenting transfer data of employees assigned to Foreign Service positions, i.e., assignments, estimate time of arrival at post, time of departure from post, length of tour of duty, position numbers, etc.
a. Master agenda maintained by PER/CDA Office of the Deputy Director.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 2 years old for transfer to WNRC. Destroy when 7 years old. (NN-172-202, item 7a)
DispAuthNumber:
N1-059-00-13, item 18a(1)
A-04-011-13b
Panel Agendas.
Description:
Information documenting transfer data of employees assigned to Foreign Service positions, i.e., assignments, estimate time of arrival at post, time of departure from post, length of tour of duty, position numbers, etc.
b. All other copies.
Disposition:
TEMPORARY: Destroy when no longer needed for operating purposes. (NN-172-202, item 7b)
DispAuthNumber:
N1-059-00-13, item 18b
A-04-011-14
Quarterly Assignment Workbooks - Foreign Service Counseling and Assignments
Description:
Prepared for use by Panels B and C in making assignments to FS Officers and Staff employees and consisting of quarterly books with related Assignment Worksheets and narrative statements.
Disposition:
Destroy when 2 years old.
DispAuthNumber:
NN-172-202, item 8
A-04-011-15a
Personnel Abstracts (DS-1711) - Maintained in Card Files on FS Officers, Staff employees, Departmental secretaries, and division employees - Foreign Service Counseling and Assignments
Description:
a. Cards on active employees.
Disposition:
Destroy when updated card received.
DispAuthNumber:
NN-172-202, item 10a
A-04-011-15b
Personnel Abstracts (DS-1711) - Maintained in Card Files on FS Officers, Staff employees, Departmental secretaries, and division employees - Foreign Service Counseling and Assignments
Description:
b. Cards on reassigned employees.
Disposition:
Transfer card to inheriting office.
DispAuthNumber:
NN-172-202, item 10b
A-04-011-15c
Personnel Abstracts (DS-1711) - Maintained in Card Files on FS Officers, Staff employees, Departmental secretaries, and division employees - Foreign Service Counseling and Assignments
Description:
c. Cards on separated employees.
Disposition:
Destroy 3 years after separation.
DispAuthNumber:
NN-172-202, item 10c
A-04-011-16
Career Assignments Program Sheets (CAPs) - Foreign Service Counseling and Assignments
Description:
Prepared on Foreign Service Officers for use by Panel and FS inspectors, providing resume of current position, function, projection of assignments, any limitation on assignments, and pertinent information on employee’s ability and qualifications.
a. Master Files.
Note: See item 041110 for copies filed in CDC Folder.
Disposition:
Destroy when 3 years old.
DispAuthNumber:
NN-172-202, item 11a
A-04-011-17a(1)
Senior Assignments Board (SAB) records relating to Class 1 and 2 Foreign Service Career Officers.
Description:
a. Memoranda recommending senior officer assignments and bearing approval of Director General.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 4 years old.(NN-172-202, item 12a)
DispAuthNumber:
N1-059-00-13, item 19a(1)
A-04-011-17b(1)
Senior Assignments Board (SAB) records relating to Class 1 and 2 Foreign Service Career Officers.
Description:
b. SAB assignment approval concerning key positions at posts or within the Department, (i.e., Ambassador Selection Committee and Deputy Chief of Mission Committee).
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 4 years old.(NN-172-202, item 12b)
DispAuthNumber:
N1-059-00-13, item 19b(1)
A-04-011-17c(1)
Senior Assignments Board (SAB) records relating to Class 1 and 2 Foreign Service Career Officers.
Description:
c. Memoranda approving change in assignments or tour of duty.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 1 year old. (NN-172-202, item 12c)
DispAuthNumber:
N1-059-00-13, item 19c(1)
A-04-011-18a(1)
Interagency Liaison Files.
Description:
a. Correspondence with agencies concerning available positions, assignments of FSOs and agreements concerning such assignments.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy 3 years after agreement is terminated. (NN-172-202, item 13a)
DispAuthNumber:
N1-059-00-13, item 20a(1)
A-04-011-18b(1)
Interagency Liaison Files.
Description:
b. Memorandum re. assignment of FSOs to functional bureaus of Department.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 3 years old, (NN-172-202, item 13b)
DispAuthNumber:
N1-059-00-13, item 20b(1)
A-04-011-18c(1)(a)
Interagency Liaison Files.
Description:
c. General Subject files relating to functions and administration of office.
(1) Policy and Procedure files.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire inactive files when 5 years old to RSC for transfer to WNRC. Destroy when 20 years old. (NN-172-202, item 13d(1))
DispAuthNumber:
N1-059-00-13, item 20c(1)(a)
A-04-011-18c(2)(a)
Interagency Liaison Files.
Description:
c. General Subject Files relating to functions and administration of office.
(2) Routine administrative records.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when no longer needed in current operations. (NN-172-202, item 13d(2))
DispAuthNumber:
N1-059-00-13, item 20c(2)(a)
A-04-011-18e
Interagency Liaison Files - Foreign Service Counseling and Assignments
Description:
Files relating to assignment of Foreign Service Officers to positions in functional bureaus of Department or in other Federal agencies.
e. Correspondence with separated FSOs regarding transfer to other Federal agencies.
Disposition:
Destroy when 2 years old.
DispAuthNumber:
NN-172-202, item 13e
A-04-011-19a(1)
Official Technician Files.
Description:
a. Travel orders and related assignment correspondence on right side of folder consisting of Post Assignment Travel Authorization (formerly TMFour) and revisions; requests from employee for special travel approvals; requests for amendment to travel orders; Leave, Travel and Consultation Status (DS-1707); Status of Quarters (formerly TMTwo); Proposed Itinerary (formerly TMTwo); Departure Notice (formerly TMFive); Arrival Notice (formerly TMEight); official Change in Tour of Duty notifications; appointment or separation documentation (such as retirement approval); notification of effective date of reassignment; document reflecting approval or termination of Separate Maintenance Allowance; formal correspondence (telegrams, memos, etc.) related to travel; documentation not kept in other official files in support of Request for Personnel Action (SF52); Assignment Notification (formerly TMOne or TMThree) and revisions; courtesy travel arrival notice (until official Arrival Notice is received); informal correspondence related to travel or assignment (such as electronic mail); and worksheets or other working papers.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after separation from the Foreign Service or conversion to Civil Service for transfer to WNRC. Destroy 4 years after file is retired to WNRC. (NN-173-105, item 1a)
DispAuthNumber:
N1-059-00-13, item 21a(1)
A-04-011-19b(1)
Official Technician Files.
Description:
b. Documents consisting of Foreign Service Residence and Dependency Report (OF-126) and all supporting documentation on the left side of the Official Technician file.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC (on the left side) of the Official Technician File 2 years after separation from the Foreign Service or conversion to Civil Service for transfer to WNRC. Destroy 4 years after file is retired to WNRC. (NN-173-105, item 1b)
DispAuthNumber:
N1-059-00-13, item 21b(1)
A-04-011-20
Personnel Card (DS-986) - Foreign Service Counseling and Assignments
Description:
Record of each FS employee travel to assigned post, tour of duty and home leave eligibility date, round trip and departure data, family status, personnel and panel actions.
Disposition:
Destroy upon departure of employee from post.
DispAuthNumber:
NN-172-202, item 15
A-04-011-21
Interview Cards - Foreign Service Counseling and Assignments
Description:
A record of interview with FS employee when reporting to Department on consultation prior to home leave, showing date of departure from U.S. and arrival at new post, and address and phone number while on home leave.
Disposition:
Destroy after employee returns to post.
DispAuthNumber:
NN-172-202, item 16
A-04-011-22a
Post Correspondence Files.
Description:
Consists of routine communications with posts on administrative matters or issues affecting more than one FS employee at post.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 2 years old. (NN-172-202, item 17)
DispAuthNumber:
N1-059-00-13, item 22a
A-04-011-24a(1)(a)
Training Files.
Description:
Training files relating to the development and evaluation of training policies and programs, coordination of training plans with FSI, USIA, and AID.
a. General Subject Files.
(1) Policy and procedural files.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 10 years old for transfer to WNRC. Destroy when 25 years old. (NN-172-202, item 19a(1))
DispAuthNumber:
N1-059-00-13, item 23a(1)(a)
A-04-011-24a(2)(a)
Training Files.
Description:
Training files relating to the development and evaluation of training policies and programs, coordination of training plans with FSI, USIA, and AID.
a. General Subject Files.
(2) Records relating to the administration and operation of training functions; including correspondence regarding the FSO’s proposed training, and correspondence with training organizations listing selections, available slots, etc.
(a) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 5 years old or when superseded or obsolete, whichever is sooner. (NN-172-202, item 19a(2))
DispAuthNumber:
N1-059-00-13, item 23a(2)(a)
A-04-011-24b(1)
Training Files.
Description:
Training files relating to development and evaluation of training policies and programs, coordination of training plans with FSI, USIA, and AID.
b. Budget Estimate Files, including correspondence, reports, statistical data, worksheets, etc., concerning budgeting for FSO training including coordination with FSI and AID.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 5 years old or 5 years after completion of a specific training program.(NN-172-202, item 19b)
DispAuthNumber:
N1-059-00-13, item 23b(1)
A-04-011-24c
Training Files relating to development and evaluation of training policies and programs, coordination of training plans with FSI, USIA, and AID - Foreign Service Counseling and Assignments
Description:
c. Officer Training Application and Preference Report.
Disposition:
Destroy when 2 years old.
DispAuthNumber:
NN-172-202, item 19c
A-04-011-25a(1)
Mustang Program Files.
Description:
Files of Foreign Service and Civil Service applicants for entry into the Foreign Service Junior Officer Career Candidate Program. Includes application, autobiography, information on college training/written exam scores, the Board of Examiners final integration form, and the signed tenure statement.
a. Successful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of appointment for transfer to WNRC. Destroy when 7 years old. (NC-59-75-9, items 1a and b)
DispAuthNumber:
N1-059-00-13, item 24a(1)
A-04-011-25b(1)
Mustang Program Files.
Description:
Files of Foreign Service and Civil Service applicants for entry into the Foreign Service Junior Officer Career Candidate Program. Includes application, autobiography, information on college training/written exam scores, the Board of Examiners final integration form, and the signed tenure statement.
b. Unsuccessful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of Oral Assessment for transfer to WNRC. Destroy when 7 years old. (NC-59-75-9, item1c)
DispAuthNumber:
N1-059-00-13, item 24b(1)
A-04-011-26a(1)
Foreign Service Grievance Files.
Description:
a. Subject files consisting of correspondence, memoranda, reports, regulatory and procedural material, legislative and workshop records, and any other documents of a policy or precedent nature concerning the submission, handling, or resolution of grievance cases. Cut off annually.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 3 years after the cutoff. Destroy 15 years after cut off. (NC1-59-77-18, item 4a)
DispAuthNumber:
N1-059-00-15, item 1a(1)
A-04-011-26b(1)
Foreign Service Grievance Files
Description:
b. Case Files consisting of all papers accumulated in connection with any informal grievance, including the grievant original letter, or referral memorandum with attachments from the Foreign Service Grievance Board, acknowledgement of grievant letter, further correspondence, memorandum of findings by the Grievance Staff, and reply to grievant; and cases involving administrative review of the grievance of a separated employee, informal name file, consisting of correspondence indicating potential grievances that may be filed; and formal name file, consisting of a letter from a grievant or memorandum from the Foreign Service Grievance Board indicating that the grievant intends to file a formal grievance, with material pertinent to the Board action, its remedial order, and any correspondence indicating compliance. EXCLUDES THE RECORDS OF THE FOREIGN SERVICE GRIEVANCE BOARD.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 1 year after case is closed for transfer to WNRC. Destroy 15 years after case is closed. (NC1-59-77-18, item 4b)
DispAuthNumber:
N1-059-00-15, item 1b(1)
A-04-011-26c(1)
Foreign Service Grievance Files
Description:
c. General Subject Files
Consist of routine administrative and operational correspondence regarding grievance matters.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 2 years old or when no longer needed for reference purposes, whichever is sooner.
DispAuthNumber:
N1-059-00-15, item 1c(1)
A-04-011-28
Limited Non-Career (Conversion) Appointments
Description:
Non-Competitive Case Files consisting of Department of State in-house Civil Service Employees only. Records include memoranda, telegrams, pre-employment conflict of interest clearance request form (JF-1), position description, SF-171, Residency and Dependency Report, authorization for Medical examination, Notification of Personnel Action (SF-50), extension requests, etc. (1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 2 years after year of appointment for transfer to WNRC. Destroy when 10 years old.
DispAuthNumber:
N1-059-00-13, item 28(1)
A-04-011-30
Grievance Tracking System.
Description:
This on-line system tracks the status of grievance cases.
Disposition:
Temporary. Delete entry when related record are destroyed.
DispAuthNumber:
N1-059-00-15, item 3
A-04-011-31
Civil Service Counseling and Assignments
Description:
Conference Staffing Records - Includes delegation lists, staff studies, security clearances, and miscellaneous administrative material concerning staffing for international conferences and meetings.
Disposition:
Destroy 3 years after end of conference. (II-NN-2835)
DispAuthNumber:
NN-172-202, item 20
A-04-011-32
Civil Service Counseling and Assignments
Description:
Personal Services Case Files - Includes application for employment, security clearance data, Appointment Affidavits, and general correspondence with contract employees.
Disposition:
Retire to NPRC, St. Louis, 5 years after termination of contract.
DispAuthNumber:
NN-172-202, item 21
A-04-011-34
Civil Service Counseling and Assignments
Description:
Request for Personnel Action (SF-52) - Chronological File copy.
Disposition:
Destroy when 1 year old.
DispAuthNumber:
NN-172-202, item 23
A-04-011-35
Civil Service Counseling and Assignments
Description:
Personnel Abstract (DS-1711)
Disposition:
Destroy 2 years after separation of employee.
DispAuthNumber:
NN-172-202, item 24
A-04-011-36
Job Vacancy Case Files
Description:
Records of onetime competitive and Senior Executive Service announcements/ selections.
Case files an agency creates when posting and filling competitive job vacancies. Also known as case examining, competitive examination, or merit case files. Includes:
• request for lists of eligible candidates
• job announcement
• examination announcement
• job analysis, assessment criteria, and crediting plan
• basis for certification
• applications, resumes, supplemental forms, other attachments
• list of eligible candidates or applicants screened, ranking or ratings assigned, and basis for certification
• certificates, registers or lists of eligible candidates issued to selecting officials
• job-related test records
• mandatory applicant drug test records
• annotated certificates of eligible candidates returned by selecting officials
• job offers
• records of job offer being accepted or declined
• correspondence/documentation of announcement or recruiting operation
Legal citation: 5 CFR 335.103
Disposition:
Temporary. Destroy 2 years after selection certificate is closed or final settlement of any associated litigation; whichever is later.
DispAuthNumber:
DAA-GRS-2017-0011-0001 (GRS 2.1, item 050)
A-04-011-37
Grievance Files on Civil Service Employees
Description:
a. Subject files consisting of policy and precedent material, including correspondence, memoranda, reports and copies of pertinent documents in precedent cases.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 5 years after cutoff. Destroy 15 years after cutoff. (NC1-59-77-18, item 2a)
DispAuthNumber:
N1-059-00-15, item 2a(1)
A-04-011-42a(1)
Functional Specialization Files.
Description:
Files of Foreign Service and Civil Service applications for career redirection training in a designated specialty. Includes application, the Board of Examiners narrative material, training/evaluation data, and skill code changes.
a. Successful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of appointment for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-13, item 26a(1)
A-04-011-42b(1)
Functional Specialization Files.
Description:
Files of Foreign Service and Civil Service applications for career redirection training in a designated specialty. Includes application, the Board of Examiners narrative material, training/evaluation data, and skill code changes.
b. Unsuccessful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of oral examination for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-13, item 26b(1)
A-04-011-43a(1)
Developmental Assignments Program.
Description:
Files of Civil Service applications for limited duration assignments into overseas Foreign Service positions.
a. Successful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of appointment for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-13, item 27a(1)
A-04-011-43b(1)
Developmental Assignments Program.
Description:
Files of Civil Service applications for limited duration assignments into overseas Foreign Service positions.
b. Unsuccessful applicants.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC 2 years after year of Panel review of application for transfer to WNRC. Destroy when 7 years old.
DispAuthNumber:
N1-059-00-13, item 27b(1)
A-04-012-01a(1)
Board of the Foreign Service (BFS) Administrative Files.
Description:
Consist of personnel, budget requests, and other administrative records.
a. Routine correspondence including reference copies of information memorandums, meeting notices, requisitions, etc.
(1) Recordkeeping copy (paper)
Disposition:
TEMPORARY: Destroy when 3 years old.(NC1-59-77-3, item 1a)
DispAuthNumber:
N1-059-00-01, item 3a(1)
A-04-012-01b(1)
Board of the Foreign Service (BFS) Administrative Files.
Description:
Consist of personnel, budget requests, and other administrative records.
b. All other records, including budget files, requests.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 3 years old for transfer to WNRC. Destroy when 10 years old. (NC1-59-77-3, item 1b)
DispAuthNumber:
N1-059-00-01, item 3b(1)
A-04-012-02a(1)
Board of the Foreign Service Subject Files.
Description:
Consist of agreements under E.O. 11636, correspondence, studies, memorandums, etc.
a. Routine papers including copies of EEO circulars, Executive Orders, questionnaires, reference copies of routine correspondence, transmittal letters, agreements sent to BFS for information.
(1) Recordkeeping copy (paper)
Disposition:
TEMPORARY: Destroy when 3 years old.(NC1-59-77-3, item 2a)
DispAuthNumber:
N1-059-00-01, item 4a(1)
A-04-012-02b(1)
Board of the Foreign Service Subject Files.
Description:
Consist of agreements under E.O. 11636, correspondence, studies, memorandums, etc.
b. All other files, including studies commissioned by BFS and current inter agency agreements.
(1) Recordkeeping copy (paper)
Disposition:
TEMPORARY: Retire to RSC when 3 years old for transfer to WNRC. Destroy when 10 years old. (NC1-59-77-3, item 2b)
DispAuthNumber:
N1-059-00-01, item 4b(1)
A-04-012-03a
Board of the Foreign Service Precept Files and Promotion Lists.
Description:
Precepts for selection boards of foreign affairs agencies submitted for Board of the Foreign Service consideration.
a. Records containing Board actions, including draft precepts and records of meetings at which precepts were discussed.
Disposition:
Permanent. Retire to RSC when 3 years old. Transfer to National Archives when 20 years old.
DispAuthNumber:
NC1-059-77-03, item 3a
A-04-012-03b
Board of the Foreign Service Precept Files and Promotion Lists
Description:
Precepts for selection boards of foreign affairs agencies submitted for Board of the Foreign Service consideration
b. All other records, including published precepts and transmittal memos.
Disposition:
Destroy when 3 years old.
DispAuthNumber:
NC1-059-77-03, item 3b
A-04-012-04a
Board of the Foreign Service Meeting Files.
Description:
Notices of meetings, documents considered, verbatim transcripts, minutes, and related correspondence.
a. Recordkeeping copy (paper).
Disposition:
PERMANENT: Retire to RSC when 5 years old for transfer to WNRC. Transfer to the National Archives when 20 years old (NC1-59-77-3, item 4)
DispAuthNumber:
N1-059-00-01, item 5a
A-04-012-05
Board of the Foreign Service Separation Case Files
Description:
Cases involving Foreign Service personnel whose separation for cause under Sec. 637 of the Foreign Service Act of 1946 was requested by the Director General of the Foreign Service. Includes Director General letters of charge, employee responses and other correspondence; transcripts of hearings; reports of hearing officers; recommendations to the Secretary by the Board.
Disposition:
Retire to RSC when 3 years old. Destroy 10 years after date of last action on case.
DispAuthNumber:
NC1-059-77-03, item 5
A-04-012-06a
Board of the Foreign Service Disputes Panel Administrative Files
Description:
Disputes Panel procedures, general correspondence, etc.
a. Routine papers including correspondence regarding times of meetings, complimentary letters to Board members, routine administrative matters.
Disposition:
Destroy when 3 years old.
DispAuthNumber:
NC1-059-77-03, item 6a
A-04-012-06b
Board of the Foreign Service Disputes Panel Administrative Files
Description:
Disputes Panel procedures, general correspondence, etc.
b. All other files, including dossiers on Board members, documentation procedures and procedural files.
Disposition:
Retire to RSC when 3 years old. Destroy when 10 years old.
DispAuthNumber:
NC1-059-77-03, item 6b
A-04-012-07
Board of the Foreign Service Disputes Panel Appeals Case Files
Description:
Cases involving appeals by employee organizations of foreign affairs agencies management decisions on personnel policy or procedures when consultation did not result in agreement. includes charges, responses, complaints, reports by Disputes Panel, and related correspondence.
Disposition:
Permanent. Retire to RSC when 3 years old. Transfer to WNRC when 10 years old. Offer to National Archives when 20 years old.
DispAuthNumber:
NC1-059-77-03, item 7
A-04-012-08a(1)
Employee-Management Relations Commission Subject Files.
Description:
Material pertaining to administration, membership, rules and regulations, etc.
a. Routine papers including AFSA proceedings, letters of transmittal, AFGE publications, and newspaper clippings.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Destroy when 3 years old.(NC1-59-77-3, item 8a)
DispAuthNumber:
N1-059-00-01, item 6a(1)
A-04-012-08b(1)
Employee Management Relations Commission Subject Files.
Description:
Material pertaining to administration, membership, rules and regulations, etc.
b. All other files including drafts of rules, regulations, and procedural guide.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 3 years old for transfer to WNRC. Destroy when 10 years old. (NC1-59-77-3, item 8b)
DispAuthNumber:
N1-059-00-01, item 6b(1)
A-04-012-09a
Employee Management Relations Commission Case Files.
Description:
Cases considered by the Employee Management Relations Commission with respect to eligibility of employee organizations for recognition; supervision of elections to determine exclusive employee representation; alleged unfair practices and violations of standards of conduct; obligation of management to consult. Includes charges, responses, briefs, decisions, and related correspondence and documentation.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY: Retire to RSC when 3 years old for transfer to WNRC. Destroy when 20 years old. (NC1-59-77-3, item 9)
DispAuthNumber:
N1-059-00-01, item 7a
A-04-012-10a
Annual Report of the Board of Examiners for the Foreign Service.
Description:
a. Recordkeeping copy (paper).
Disposition:
PERMANENT: Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-07, item 18a
A-04-013-01
Lawsuit Coordination Unit
Class Action Lawsuit Files.
Description:
Records include information from employee personnel files and other Department offices related to issues in the lawsuits (e.g., performance evaluations; assignments, promotions, training, pay actions, Foreign Service written and oral examination results. Documents are related to the implementation of lawsuit settlement agreements, including monetary, prospective, and individual (e.g., retroactive promotions, awards, or assignments) relief under the consent decrees. Included are correspondence with class members or their attorneys, Department Notices, cables, copies of court decisions and documents, legal briefs, records of hearings and meetings, deposition transcripts, consent decrees, reports, statistical analysis, exhibits, action and information memoranda.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire to RSC 4 years after resolution for transfer to WNRC. Destroy when 15 years old.
DispAuthNumber:
N1-059-00-17, item 1a
A-04-013-02
Resource Planning and Allocation
Description:
Correspondence Files. Arranged by bureau and chronologically.
Documents relate to the allocation of personnel resources. Included are memorandums, copies of authorization notices relating to positions and employment ceilings, requests for funding, reimbursements, and related correspondence.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Cut off at the end of the calendar year. Destroy when 5 years old.
DispAuthNumber:
N1-059-00-17, item 2a
A-04-013-03
Statistical Reports.
Description:
Copies of monthly and annual reports reflecting authorized positions and employment levels. Reports generated by PER/EX/IM.
Disposition:
TEMPORARY. Destroy when 1 year old. (MRH 03/22/02)
DispAuthNumber:
N1-059-00-17, item 3
A-04-013-04a
Workforce Planning and Compensation
Description:
Staffing Patterns (Microfilm)
Monthly tabulations of Foreign Service and Civil Service employees listed alphabetically by post, staff office or bureau in the Department.
a. Master Set. (Vesicular Copy)
Disposition:
TEMPORARY. Retain in PER/RMA. Destroy when 50 years old or when no longer needed for reference purposes, whichever is sooner.
DispAuthNumber:
N1-059-00-17, item 4a
A-04-013-04b
Workforce Planning and Compensation
Description:
Staffing Patterns (Microfilm)
Monthly tabulations of Foreign Service and Civil Service employees listed alphabetically by post, staff office or bureau in the Department.
b. Copies maintained by other offices.
Disposition:
TEMPORARY. Destroy on receipt of next month copy. (NN-172-202, item 5)
DispAuthNumber:
N1-059-00-17, item 4b
A-04-013-05a
Department of State Civil Service Position Classification Appeals Files
Description:
Case files maintained in GTM/OTA of records created and received when reviewing a position's classification in response to a classification appeal to the agency Human Resources function or directly to OPM, including records of desk audits.
Disposition:
Temporary. Destroy 3 years after final decision.
DispAuthNumber:
DAA-GRS-2014-0002-0004 (GRS 2.1, Item 030)
A-04-013-05b
Office of Personnel Management Civil Service Position Classification Appeals Files (Certificates of Classification)
Description:
Certificates GTM/OTA receives from OPM, stating final decision on a position classification appeal.
Disposition:
Temporary. Destroy 2 years after position is abolished or description is superseded.
DispAuthNumber:
DAA-GRS-2014-0002-0005 (GRS 2.1, Item 040)
A-04-013-06
Study/Project Files
Description:
Studies or projects relating to position classification, position management, occupational structure, compensation, workforce or resource planning etc.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire to RSC 5 years after completion for transfer to WNRC. Destroy when 15 years old. Files may be maintained longer if needed for administrative use. (MRH 03/06/02)
DispAuthNumber:
N1-059-00-17, item 6a
A-04-014-01a
Policy and Procedure Files.
Description:
Includes material on the establishment of the office, policies and procedures governing its operation.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when superseded.
DispAuthNumber:
N1-059-00-18, item 1a
A-04-014-02a
FLO Subject Files.
Description:
Includes general material on employment, education, and support services provided by the office; related matters such as allowances, foreign born spouses, and counseling; activities such as Around the World in a Lifetime (AWAL), an organization for Foreign Service teenagers; relations with the Association of American Foreign Service Women (AAFSW); and presentations given to audiences such as the Foreign Service Institute Security Overseas Seminar.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 10 years old or sooner if no longer needed. (NC1-59-84-3, item 2)
DispAuthNumber:
N1-059-00-18, item 2a
A-04-014-03a
Community Liaison Office (CLO) Country/Post Files.
Description:
General files on each country/post where there is a Community Liaison Office (CLO). These files include correspondence regarding CLO activities at posts.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 2 years old or sooner if no longer needed. (NC1-59-88-13, item 1)
DispAuthNumber:
N1-059-00-18, item 3a
A-04-014-04a(1)
Community Liaison Office (CLO) Coordinator Files.
Description:
Documents reflect personnel records on persons hired as CLOs at overseas posts. Included are application forms, telegrams offering employment, etc.
a. Consist of cables on persons hired as CLOs at posts overseas.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 2 years after last action. (N1-059-88-13, item 2a)
DispAuthNumber:
N1-059-00-18, item 4a(1)
A-04-014-04b
Community Liaison Office (CLO) Coordinator Files.
Description:
Documents reflect personnel records on persons hired as CLOs at overseas posts. Included are application forms, telegrams offering employment, etc.
b. Computerized list of all CLO coordinators with dates of tenure and terms of employment. Includes Input and Output Records.
Disposition:
TEMPORARY. Destroy when updated. (N1-059-88-13, item 2b)
DispAuthNumber:
N1-059-00-18, item 4b
A-04-014-05a(1)
FLO Personnel Files.
Description:
a. Working files consisting of correspondence, memoranda, forms and other records relating to positions, authorizations, pending actions, copies of position descriptions, requests for personnel action, etc.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Review annually and destroy superseded or obsolete documents. (GRS 1, 18a)
DispAuthNumber:
N1-059-00-18, item 5a(1)
A-04-014-05b(1)
FLO Personnel Files.
Description:
b. Records on M/DGP/FLO employees duplicated in or not appropriate for the Official Personnel Folder.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy within 1 year after separation or transfer of employee. (GRS 1, item 18a)
DispAuthNumber:
N1-059-00-18, item 5b(1)
A-04-014-06a
Client Support Services Files.
Description:
Contains background information on Family Liaison Office (FLO) basic assistance of data and services to client consisting of appointments, referrals, reference advice, meeting notes, etc.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retain in M/FLO 1 year after last action or when no longer needed.
DispAuthNumber:
N1-059-00-18, item 6(1)
A-04-014-07a
Evacuation Files - Arranged by country
Description:
These files document support services provided to employees and dependents of all foreign affairs agencies evacuated from an overseas post. Included are lists of names of persons evacuated, safe-haven addresses and services provided.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 2 years after last action.
DispAuthNumber:
N1-059-00-18, item 7a
A-04-014-08a
Education Files.
Description:
Consist of reference material on schools in the Washington, DC area, boarding schools in the U.S. and abroad and schools at overseas posts.
a. Case Files.
Disposition:
TEMPORARY. Destroy when superseded.
DispAuthNumber:
N1-059-00-18, item 8a
A-04-014-08b(1)
Education Files.
Description:
Consist of reference material on schools in the Washington, DC area, boarding schools in the U.S. and abroad and schools at overseas posts.
b. Country/Post Files.
(1) Recordkeeping copy (paper).
Consist of information about schools available at overseas posts. The material is similar to that maintained by the Department Office of Overseas Schools, with the exception of evaluative information provided by the CLOs.
Disposition:
TEMPORARY. Destroy when superseded.
DispAuthNumber:
N1-059-00-18, item 8b(1)
A-04-014-08c(1)
Education Files.
Description:
c. School files and computerized list of boarding schools. Includes information about schools, catalogs and handouts.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when superseded.
DispAuthNumber:
N1-059-00-18, item 8c(1)
A-04-014-09a(1)
Employment Program Files.
Description:
Consist of reference material on employment opportunities in the Washington, D.C. area and overseas; material used in counseling family members who are seeking employment; applications and information on the functional training program; files on negotiations conducted for bilateral work agreements with foreign governments; and background files on Career Planning Workshops and Career Development Seminars sponsored by M/DGP/FLO.
a. Bilateral Work Agreements Negotiations Files.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retain in FLO. Destroy 5 years after agreement is superseded.
DispAuthNumber:
N1-059-00-18, item 9a(1)
A-04-014-09b(1)
Employment Program Files.
Description:
Consist of reference material on employment opportunities in the Washington, D.C. area and overseas; material used in counseling family members who are seeking employment; applications and information on the functional training program; files on negotiations conducted for bilateral work agreements with foreign governments; and background files on Career Planning Workshops and Career Development Seminars sponsored by M/DGP/FLO.
b. Case files used in providing employment assistance.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy 1 year after last action. Earlier destruction is authorized if no longer needed for administrative use.
DispAuthNumber:
N1-059-00-18, item 9b(1)
A-04-014-09c(1)
Employment Program Files.
Description:
Consist of reference material on employment opportunities in the Washington, D.C. area and overseas; material used in counseling family members who are seeking employment; applications and information on the functional training program; files on negotiations conducted for bilateral work agreements with foreign governments; and background files on Career Planning Workshops and Career Development Seminars sponsored by M/DGP/FLO.
c. Training Request Files.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 3 years old, or no later than at end of tour of duty commenced following functional training. (NC1-59-84-3, item 9c)
DispAuthNumber:
N1-059-00-18, item 9c(1)
A-04-014-09d(1)
Employment Program Files.
Description:
Consist of reference material on employment opportunities in the Washington, D.C. area and overseas; material used in counseling family members who are seeking employment; applications and information on the functional training program; files on negotiations conducted for bilateral work agreements with foreign governments; and background files on Career Planning Workshops and Career Development Seminars sponsored by M/DGP/FLO.
d. Country files. Included information on job opportunities and employment procedures in various countries. Also included are copies of Dependent Employment Reports sent in cable format from CLOs at post.
(1) Recordkeeping copy (paper).
Disposition:
TEMPORARY. Destroy when 2 years old. Earlier destruction is authorized if no longer needed for administrative use.
DispAuthNumber:
N1-059-00-18, item 9d(1)
A-04-014-10a
FLO Publications.
Description:
Master set and copies of FLO publications sent to all CLO coordinators and Administrative Officers overseas.
a. Recordkeeping copy (paper)
Disposition:
TEMPORARY. Destroy when no longer needed for reference. (N1-059-88-13, item 8)
DispAuthNumber:
N1-059-00-18, item 10a
A-04-014-11
Customer/Client Records
Description:
Distribution lists used by an agency to deliver specific goods or services. Records include:
• contact information for customers or clients
• subscription databases for distributing information such as publications and
data sets produced by the agency
• files and databases related to constituent and community outreach or relations
• sign-up, request, and opt-out forms
Disposition:
Temporary. Delete when superseded, obsolete, or when customer requests the agency to remove the records. (Supersedes GRS 13, item 4b)
DispAuthNumber:
DAA-GRS-2017-0002-0002 (GRS 6.5, item 020)
A-04-014-12
FLO Historical Documents.
Description:
Consists of records documenting the establishment of the Family Liaison Office. The files include reports, memorandums, letters, and materials provided for anniversary celebrations.
Disposition:
TEMPORARY. Destroy when 25 years old, or when no longer needed for reference, whichever is later.
DispAuthNumber:
N1-059-00-18, item 12
A-04-014-13a
Naturalization Case Files.
Description:
Employees who apply for their spouse or children to be expeditiously naturalized. Included are e-mail messages, requests for information on naturalization of spouse/child; draft cover letter completed by employee; Copies of cover letter to INS requesting specific appointment date, U.S. Department of Justice Immigration and Naturalization Application for Naturalization (BN-400) completed by spouse, or U.S. Department of Justice Immigration and Naturalization Service Application for Certificate of Citizenship on Behalf of an Adopted Child (N-643) or U.S. Department of Justice Immigration and Naturalization Service Application for Certificate of Citizenship (N-600) completed by employee on behalf of child and payment check to INS.
a. Recordkeeping copy (paper).
Disposition:
TEMPORARY. Retire to RSC 2 years after case is closed for transfer to WNRC. Destroy 15 years after separation line,
DispAuthNumber:
N1-059-00-18, item 13a
A-04-015-01a(1)
Foreign Service Retirement Case Files.
Description:
Consists of application for retirement (OF-136) or its equivalent; staff study on voluntary or disability retirement; correspondence relating to contributions to Foreign Service Retirement System, prior service credit, total amount of Civil Service Retirement deductions, effective date of FSO appointments and acceptance thereof, etc.
a. Non-annuitants not entitled to an annuity due to resignation or termination with less than five years of service.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 5 years after separation or attainment of age 62, whichever is earlier for transfer to WNRC. Destroy 20 years thereafter. (NN-174-26, item 1a)
DispAuthNumber:
N1-059-00-16, item 1a(1)
A-04-015-01b(1)
Foreign Service Retirement Case Files.
Description:
Consists of application for retirement (OF-136) or its equivalent; staff study on voluntary or disability retirement; correspondence relating to contributions to Foreign Service Retirement System, prior service credit, total amount of Civil Service Retirement deductions, effective date of FSO appointments and acceptance thereof, etc.
b. Non-annuitants who die without survivors or who resigned and left contributions until becoming eligible at age 60.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 5 years after death or attainment of age 62, whichever is earlier for transfer to WNRC. Destroy 20 years thereafter. (NN-174-26, item 1b)
DispAuthNumber:
N1-059-00-16, item 1b(1)
A-04-015-01c(1)
Foreign Service Retirement Case Files.
Description:
Consists of application for retirement (OF-136) or its equivalent; staff study on voluntary or disability retirement; correspondence relating to contributions to Foreign Service Retirement System, prior service credit, total amount of Civil Service Retirement deductions, effective date of FSO appointments and acceptance thereof, etc.
c. Annuitants/Survivor Annuitants.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Retire to RSC 8 years after case is closed for transfer to WNRC. Destroy 20 years after case is closed.(NN-174-26, item 1c)
DispAuthNumber:
N1-059-00-16, item 1c(1)
A-04-015-01c(3)
Foreign Service Retirement Case Files.
Description:
Consists of application for retirement (OF-136) or its equivalent; staff study on voluntary or disability retirement; correspondence relating to contributions to Foreign Service Retirement System, prior service credit, total amount of Civil Service Retirement deductions, effective date of FSO appointments and acceptance thereof, etc.
c. Annuitants/Survivor Annuitants.
(3) Microfilm copies consist of selected annuitants documents, i.e. (OF 136, SF 50). Microfilm does not contain all paper records.
Disposition:
Temporary. Retain in PER/RET. Destroy 30 years after case is closed.
DispAuthNumber:
N1-059-00-16, item 1c(3)
A-04-015-01d(1)
Foreign Service Retirement Case Files.
Description:
Consists of application for retirement (OF-136) or its equivalent; staff study on voluntary or disability retirement; correspondence relating to contributions to Foreign Service Retirement System, prior service credit, total amount of Civil Service Retirement deductions, effective date of FSO appointments and acceptance thereof, etc.
d. Precedent Cases.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Destroy 5 years after case is closed.
DispAuthNumber:
N1-059-00-16, item 1d(1)
A-04-015-02
Annuitant Service Record Card Files.
Description:
Consist of name of employer, retirement date, type of retirement, survivor entitlement, etc.
Disposition:
Temporary. Destroy 10 years after separation or when no longer needed for reference, whichever is sooner. (II-NN-3546, item 7)
DispAuthNumber:
N1-059-00-16, item 2
A-04-015-03
Non-Annuitant Service Record Card Files.
Description:
Consist of name of employee, salary, date of resignation, beneficiary, etc.
Disposition:
Temporary. Destroy 5 years after separation or when no longer needed for reference, whichever is sooner. (II-NN-3546, item 6)
DispAuthNumber:
N1-059-00-16, item 3
A-04-015-04
Annuitant Address Listing.
Description:
Microfilm listing of annuitant addresses.
Disposition:
Temporary. Destroy when 1 year old.
DispAuthNumber:
N1-059-00-16, item 4
A-04-015-05a(1)
Requests for Health Benefits Under Spouse Equity
Description:
Applications and related papers, which may include denial letters, appeal letters, and court orders.
Includes denied SF 2809, Health Benefits Election Form.
Disposition:
Temporary. Destroy 1 year after original denial, denial of appeal, or final court order, whichever is appropriate. (Supersedes GRS 1, item 35a)
DispAuthNumber:
DAA-GRS-2016-0015-0014 (GRS 2.4, item 111)
A-04-015-05b(1)(a)
Requests for Health Benefits Under Spouse Equity
Description:
Applications and related papers. If applications are denied, may include denial letters, appeal letters, and court orders.
Includes SF 2809, Health Benefits Election Form, pertaining to applications that were denied, but successfully appealed.
Disposition:
Transfer to appropriate retirement system after enrollment is cancelled or terminated, or annuity payment begins.
DispAuthNumber:
(GRS 2.4, item 110)
A-04-015-05b(2)(a)
Foreign Service Former Spouse Health Benefit Files.
Description:
Denied eligibility files consisting of applications [Health Benefits Registration Form (SF 2809)], court orders, denial letters, appeal letters, and related papers.
b. Health benefits denied, appealed to OPM for reconsideration.
(2) Appeal unsuccessful - benefits denied.
(a) Recordkeeping copy (paper).
Disposition:
Temporary: Destroy 5 years after denial.
DispAuthNumber:
N1-059-00-16, item 5b(2)(a)
A-04-015-06a
Foreign Service Retirement Subject Files.
Description:
Consist of Foreign Service Retirements, Monthly Resignation Reports, Principals Correspondence, and Legal Determinations.
a. Recordkeeping copy (paper).
Disposition:
Temporary: Destroy when 2 years old or when no longer needed, whichever is sooner.
DispAuthNumber:
N1-059-00-16, item 6a
A-04-016-01
Correspondence with Prospective Employers
Description:
Correspondence with colleges, universities, firms and organizations regarding job opportunities not related to individual applicants.
Disposition:
Destroy when 1 year old.
DispAuthNumber:
NN-173-148, item 1
A-04-016-02
Contact Lists
Description:
Copies of processed and printed lists, containing names, addresses and other information on prospective employers.
Disposition:
Destroy when obsolete or superseded.
DispAuthNumber:
Non-Record
A-04-016-03
Job Resumes for Applicants
Description:
Copies of resumes of applicant education, experience and other qualifications, prepared for applicant to send to prospective employees.
Disposition:
Destroy when obsolete or superseded.
DispAuthNumber:
Non-Record
A-04-016-04
Applicant Case File
Description:
Correspondence with applicant, copies of job resumes and related papers.
Disposition:
Destroy 3 years after case becomes inactive.
DispAuthNumber:
NN-173-148, item 2
A-04-016-05
Student Employment Program Database.
Description:
This on-line system tracks applicants, selects and hires for each student program. It provides trend analysis, demographics, management reports to analyze pool and evaluates program results. Included in the system are applicants for Internships, Presidential Management Interns (PMIs), Foreign Affairs Fellowship Program Interns, Summer Hires, Stay-in-School (SIS) and Co-Operative Education Program (Co-Op).
Disposition:
TEMPORARY: Cut off file every three years. Destroy 65 years after cutoff.
DispAuthNumber:
N1-059-00-07, item 8
A-04-017-01a
Presidential Appointments Precedent and Policy Files.
Description:
Consists of correspondence, reports, studies, etc., documenting policies, procedures, and precedents concerning the appointment and process of presidential appointments.
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 10 years old for transfer to WRNC. Transfer to National Archives when 25 years old. (NC1-59-77-19, items 1a and b)
DispAuthNumber:
N1-059-00-13, item 1a
A-04-017-02
Presidential Nominations.
Description:
Copies of nominations of individuals for public office sent by the President to the United States Senate.
Disposition:
Permanent. Retire to the RSC when 7 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, items 2a and b)
DispAuthNumber:
N1-059-00-13, item 4
A-04-017-03a
Foreign Service Appointments/Promotions/Assignments.
Description:
Documentation of all aspects of appointments, promotions, and consular assignments of Foreign Service Officers, including interdepartmental correspondence, memoranda to and from the White House, nomination/authorization lists, and Congressional correspondence.
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, item 3a and b)
DispAuthNumber:
N1-059-00-13, item 5a
A-04-017-04a
Miscellaneous Department of State (DOS) Appointments.
Description:
Documentation on the appointments of Principal Officers in the DOS and individuals to Boards and Commissions under the jurisdiction of the DOS, e.g., fishery commissions, United Nations bodies, independent agencies. Includes memoranda to and from the White House, bio data, clearance materials, press releases, nominations, agreement communications, Congressional correspondence, letters of resignation and Presidential letters of acceptance.
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 8 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-13, item 2a and b)
DispAuthNumber:
N1-059-00-13, item 3a
A-04-017-05
Presidential Appointments Organization/Working File
Description:
This file is essentially a working and information file duplicating the material contained in the Presidential Appointments Organization and Conference File (See Item 041704).
Disposition:
Temporary. Destroy 2 years after termination of appointment.
DispAuthNumber:
NC1-059-77-12, item 1
A-04-017-09a
Ambassador Appointments.
Description:
Consist of documentation on bilateral/multilateral ambassadorial appointments, as well as ranks and personal ranks of ambassador. Includes memoranda to and from the White House, bio data, press releases, nominations, clearance materials, agreement communications, Congressional correspondence, letters of resignation, and Presidential letters of acceptance, and clearance materials. [Note: Original letters of resignation and Presidential acceptance letters are on file at the White House or appropriate Presidential Library.]
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 8 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, item 3a and b)
DispAuthNumber:
N1-059-00-13, item 2a
A-04-017-10
Oaths of Office
Description:
Appointment Affidavit (SF-61), executed by individuals appointed by the President for public office.
Disposition:
Permanent. Retire to RSC when 15 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, item 4a and b)
DispAuthNumber:
N1-059-00-13, item 6
A-04-017-11
Senate Resolutions on Presidential Appointments.
Description:
Original resolutions providing advice and consent of the United States Senate to the appointment by the President of individuals to public office.
Disposition:
Permanent. Retire to RSC when 5 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, item 5a and b)
DispAuthNumber:
N1-059-00-13, item 7
A-04-017-14
Card File Index.
Description:
Contains appointment data on Presidential appointments i.e., Foreign Service appointments, promotions, and assignments; ambassadorial appointments; Cabinet officers; all other civil officers appointed by the President whose commissions are not required by the law to be issued under another seal.
Disposition:
Permanent. Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (NC1-59-77-19, item 13)
DispAuthNumber:
N1-059-00-13, item 9
A-04-017-16
Presidential Appointment Law Books.
Description:
These books contain summaries of the laws establishing positions, boards, commissions, etc., to which the President makes appointments. Appointment data, e.g., name, appointment date, term, is also entered into the law books.
Disposition:
Permanent. Retire to the RSC when 15 years old for transfer to WNRC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-13, item 8
A-04-017-17a(1)
Great Seal of the United States.
Description:
a. Subject Files. Historical records on the Great Seal of the United States, includes speeches, tapes, and photos, etc.
(1) Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 20 years old.
DispAuthNumber:
N1-059-00-13, item 10a(1)
A-04-017-17b(1)
Great Seal of the United States.
Description:
b. Working File. Working and information file consisting of material duplicated from the Great Seal of the United States Subject File.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Destroy when no longer needed for reference purposes.
DispAuthNumber:
N1-059-00-13, item 10b(1)
A-04-017-18a
Presidential Appointment Commission Books.
Description:
These books contain the typed texts of the appointment commissions of Cabinet Officers, DOS Principal Officers, heads of independent agencies, White House commissioned staff officers and other individuals appointed by the President to public office.
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire to RSC when 15 years old for transfer to WNRC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-13, item 11a
A-04-018-1a
Title and Rank Policy Files.
Description:
Correspondence, reports, forms, and other documentation dealing with general and specific country policies, procedures, precedents, agreements, etc., concerning diplomatic and consular titles for Foreign Service and other Federal agency personnel.
a. Recordkeeping copy (paper).
Disposition:
Permanent. Retire inactive files to RSC when 10 years old for transfer to WNRC. Transfer to the National Archives when 25 years old. (RRP-NN-464-6, item 3a)
DispAuthNumber:
N1-059-00-13, item 13a
A-04-018-2a(1)
Title and Rank Case Files.
Description:
Correspondence, working papers and other documentation concerning the approval of titles for specific positions at Foreign Service posts.
a. State Department personnel.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Destroy when 2 years old. (NN-173-176, item 3a)
DispAuthNumber:
N1-059-00-13, item 14a(1)
A-04-018-2b(1)
Title and Rank Case Files.
Description:
Correspondence, working papers and other documentation concerning the approval of titles for specific positions at Foreign Service posts.
b. Other Federal agency personnel.
(1) Recordkeeping copy (paper).
Disposition:
Temporary. Destroy when 1 year old. (NN-173-176, item 3b)
DispAuthNumber:
N1-059-00-13, item 14b(1)
A-04-018-3
Title and Rank Card File.
Description:
Includes data on all aspects of title and rank actions at a particular post.
Disposition:
Permanent. Retire to the RSC 2 years after separation or transfer of employee to WNRC. Transfer to the National Archives when 25 years old.
DispAuthNumber:
N1-059-00-13, item 12
A-04-019-01
Employee Relations Programs’ Administrative Records
Description:
Records documenting routine activities related to programs such as reasonable or religious accommodation, displaced employees, telework/alternative worksite opportunities, anti-harassment, Alternative Dispute Resolution (ADR), Equal Employment Opportunity (EEO), and other avenues for settling disputes. Includes:
• program-related correspondence
• copies of statutes, regulations, directives, and instructions
• timetables and guidelines for processing case files and appealing decisions
• planning records
• meeting minutes
• program evaluations and reports to senior management
• statistical records tracking program participation and participants
• records tracking programs’ compliance with relevant Executive Orders and other requirements
• records arranging for outside mediator and facilitator involvement in case settlements
Exclusion 1: Records specific to individual cases (covered by items 020 to 111 in this schedule).
Exclusion 2: Reports to external oversight agencies (covered by GRS 5.7, item 050).
Exclusion 3: Records created by offices responsible for monitoring employee relations programs government-wide (must be scheduled individually by responsible offices).
Disposition:
Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use.
DispAuthNumber:
DAA-GRS-2022-0001-0001 (GRS 2.3, Item 010)
A-04-019-02
EEO Discrimination Complaint Case Files
Description:
Informal process.
Records of cases that do not result in an EEO complaint, and cases resulting in a complaint but resolved prior to the formal process stage.
Includes:
• intake sheet
• summary report
• notes
• supporting documentation
• correspondence
Disposition:
Temporary. Destroy 3 years after resolution of case, but longer retention is authorized if required for business use. (GRS 2.3, Item 033)
DispAuthNumber:
DAA-GRS-2018-0002-0012 (GRS 2.3, Item 110)
A-04-019-03
EEO Discrimination Complaint Case Files
Description:
Formal process.
Records at originating agency generated in response to formal complaints resolved within the agency, by the Equal Employment Opportunity Commission, or by a U.S. Court. Includes records gathered in the preliminary informal process, complaints, exhibits, withdrawal notices, copies of decisions, and records of hearings and meetings.
Includes:
• intake sheet
• summary report
• notes
• supporting documentation
• correspondence
Disposition:
Temporary. Destroy 7 years after resolution of case, but longer retention is authorized if required for business use. (Supersedes GRS 2.3, Item 032)
DispAuthNumber:
DAA-GRS-2018-0002-0013 (GRS 2.3, Item 111)
A-04-019-04
Records Documenting Contractor Compliance with EEO Regulations
Description:
Reviews, background documents, and correspondence relating to contractor employment practices.
Disposition:
Temporary. Destroy when 7 years old, but longer retention is authorized if required for business use. (Supersedes GRS 2.3, Item 034)
DispAuthNumber:
DAA-GRS-2018-0002-0014 (GRS 2.3, Item 120)
A-04-019-05
Mandatory Reports to External Federal Entities Regarding Administrative Activities
Description:
Agency-level reports that external federal oversight entities such as the White House, Congress, OMB, the Office of Personnel Management (OPM), and General Services Administration (GSA), require under authorities such as (but not limited to) OMB Circular A-123, the Federal Managers Financial Integrity Act (FMFIA), the Chief Financial Officers Act (CFOA), the Paperwork Reduction Act (PRA), Joint Committee on Printing requirements, and the FAIR Act. Examples include:
● Agency Financial Report (AFR)
● Statement of Assurance (per FMFIA), or equivalent
● information collection clearances
● report on financial management systems’ compliance with requirements (per FMFIA), or equivalent
● report on internal controls for corporations covered by the Government Corporation Control Act (per CFOA)
● EEOC reports
● Analysis and Action Plans and other reports required by EEOC’s MD 715
● No FEAR Act reports
● service organization auditor report, or equivalent
● improper payments report
● premium class travel report
● report on property provided to non-federal recipients, schools, and nonprofit educational institutions
● feeder reports to the Status of Telework in the Federal Government Report to Congress
● feeder reports to GSA fleet reports
Includes ancillary records such as:
● background and research records
● submission packets and compilations
● related files
Exclusion 1: Oversight entities mandating the reports must separately schedule reports they receive.
Exclusion 2: Mandatory reports and records related to agency management and oversight that are not limited to administrative matters, such as agency Annual Performance Plans, Annual Performance Reports, Performance and Accountability Reports (PAR), and strategic planning records (agencies schedule these separately).
Exclusion 3: Mandatory external reports on finance matters (GRS 1.1, items 020 and 040, cover these); mandatory external reports on employee ethics (various items in GRS 2.8 cover these); mandatory external reports on information access and protection (GRS 4.2, item 080, covers these).
Disposition:
Temporary. Destroy 6 years after report submission or oversight entity notice of approval, as appropriate, but longer retention is authorized if required for business use.
DispAuthNumber:
DAA-GRS-2020-0001-0003 (GRS 5.7, Item 050)
A-04-020-01
Career Development Resource Center (CDRC) Client Files
Description:
Includes files on Foreign Service and Civil Service employees, as well as Eligible Family Members, Interns/Fellows, and Contractors, who seek career development assistance from the Department’s Career Development Resource Center. Files are arranged by name and date, and contain client information sheet and CDRC registration form. May also contain email correspondence, counseling session notes, results of assessment tools such as the, Strong Interests Inventory, Myers-Briggs Type Indicator, and Thomas Kilman Conflict Mode Instrument, employee’s resume, coaching report, and client feedback.
Includes records documenting nature of an individual's problem and participation
in a treatment or rehabilitation program. Records may include documentation of treatment by a private therapist or a therapist at a Federal, State, local government, or private institution. Includes:
• Privacy Act and signed written consent forms
• psychosocial history and assessments
• medical records
• correspondence with the client
• clinical and education interventions
• records of attendance at treatment, kinds of treatment, and counseling programs
• identity and contact information of treatment providers
• name, address, and phone number of treatment facilities
• notes and documentation of internal EAP counselors
• insurance data
• intervention outcomes
Disposition:
Temporary. Destroy 7 years after termination of counseling for adults or 3 years after a minor reaches the age of majority, or when the statespecific statute of limitations has expired for contract providers subject to state requirements, but longer retention is authorized if needed for business use. (Supersedes GRS 1, item 26a)
DispAuthNumber:
DAA-GRS-2017-0010-0015 (GRS 2.7, item 091)
A-04-020-02
Workshop Files
Description:
Includes a file on each training workshop presented by the CDRC. Files are arranged by month, and contain sign-in sheet showing title of workshop, presenter’s name, date, location, attendee listing by bureau, and tally. File also includes anonymous course evaluations prepared by attendees.
Disposition:
Temporary. Destroy when 3 years old, or 3 years after superseded or obsolete, whichever is appropriate, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 29a(2))
DispAuthNumber:
DAA-GRS-2016-0014-0001 (GRS 2.6, Item 010)
A-04-020-03
Workshop Presentation Files
Description:
Includes course presentation files consisting of material used by instructor for each workshop offered by the Center. Materials include instructor’s materials and handouts developed by the CDRC.
Disposition:
TEMPORARY: Destroy when three (3) years old or when superseded.
DispAuthNumber:
N1-059-09-46, item 1
A-04-020-04
Employee Management Administrative Records
Description:
CDRC Statistical Reports
Files include (1) CDRC customer service evaluations and summary reports produced from the CDRC database; (2) evaluations prepared by International Broadcasting Bureau (IBB) clients who receive assistance from the CDRC, (3) counselor monthly production reports (includes name of client served, date of session, totals, and other activities of counselor and (4) reports on special counseling support initiatives. Post 2004 data is being entered into the CDRC Database.
Records on routine office program support, administration, and human resources operations. Includes:
• reports, including annual reports to the Department of State concerning the number of official passports issued and related matters
• reports from subordinate units regarding statistics and other reporting measures
• general correspondence with internal agency offices and with OPM
• general correspondence with travelers regarding official passport application procedures and documentation requirements
• statistics, including lists of official passport holders
Exclusion: Agency reports received by the Department of State document the Department's mission and must be scheduled by the Department.
Disposition:
Temporary. Destroy when 3 years old, but longer retention is authorized if required for business use. (Supersedes GRS 1, item 16)
DispAuthNumber:
DAA-GRS-2017-0007-0001 (GRS 2.2, item 010)
A-04-020-05
CDRC Database
Description:
The CDRC Database is an Access program designed to track, monitor, and report on services provided to Department employees by the CDRC based on client file information. The database is used to store Sign-In Data (includes category of employee (CS or FS), date, employee’s bureau, service received, new or repeat customer); Counseling Appointment Data (counselor access only; shows type of service sought); CDRC Workshop Data; and Statistical Reports (currently 12 reports can be produced to provide data for management purposes).
Disposition:
Temporary. Destroy when no longer needed. (Supersedes GRS 23, item 8)
DispAuthNumber:
DAA-GRS-2013-0002-0016 (GRS 4.1, Item 010)
A-04-020-06
Administrative Records Maintained in any Agency Office
Description:
Records accumulated by the Career Development Resource Center (CDRS) Office that relate to routine day-to-day administration and management of the office rather than the mission-specific activities for which the office exists. Records include:
• staff locators, unofficial organizational charts, and office seating charts (see
Exclusion 1)
• office-level administrative policies and procedures and files related to their
development (see Note 1)
• calendars or schedules of daily activities of non-high-level officials (high-level
officials are defined in GRS 6.1; this item covers those positions not defined as
high-level)
• informal requests and tracking of personnel training, travel, supplies, and
equipment, excluding procurement and payment records and forms requesting
training (e.g. SF-182)
• internal office activity and workload reports
• studies and analyses of office administrative functions and activities
• non-mission related management reviews and surveys
• minutes of meetings related to administrative activities
Exclusion 1: This item does not apply to recordkeeping copies of organizational charts, functional statements, and related records that document the mission-related organization, staffing, and procedures of the office. Agencies must schedule those records on an agency-specific schedule.
Note 1: This item covers administrative policies and procedures at the office/unit level. GRS 5.7 covers agency-level administrative issuances or directives.
Disposition:
Temporary. Destroy when business use ceases.
DispAuthNumber:
DAA-GRS-2016-0016-0001 (GRS 5.1, item 010)
A-04-021-01
Foreign Service Grievance Board Records of Proceedings (ROPs)
Description:
Submission of appeals filed with the FSGB by employees of the various Foreign Affairs agencies that includes but is not limited to State, USAID, Agriculture, etc. The submission includes grievant’s original letter, acknowledgement letter, exhibits, supplementary briefs and filings, motions, Board orders, correspondence, hearing transcripts, Board interim and final decisions, and other related information. Files maintained by year and sequential numerical system.
Disposition:
Temporary. Cutoff is the date of final decision. Destroy 7 years after cutoff or when no longer needed, whichever is later. (Superseded N1-59-86-1, Item 1) Note for RA: Record copy limited to paper until adequate electronic system in place.
DispAuthNumber:
DAA-0059-2013-0002-0001
A-04-021-02
Board Orders and Decisions
Description:
All orders, interim Decisions, and final Decisions issued by the Board. File contains official and excised versions. Records are filed by case number and name.
Disposition:
Temporary. Cutoff is date of final decision. Destroy 25 years after cutoff or when no longer needed, whichever is later. Note for RA: Record copy limited to paper until adequate electronic system in place.
DispAuthNumber:
DAA-0059-2013-0002-0002
A-04-021-03
Court Case Files
Description:
Copies of Records of Proceedings of appealed FSGB decisions requested by the courts and interested parties; copies of documentation filed with the court regarding such cases, and copies of the court decisions.
Disposition:
Temporary. Cutoff is date of final court decision. Destroy copies of Records of Proceedings and other related documentation 10 years after cutoff. Destroy final court decision 25 years after cutoff or when no longer needed, whichever is later.
DispAuthNumber:
DAA-0059-2013-0002-0003
A-04-021-04
Legal Research and Reference Files
Description:
Copies of memoranda, guidance, published decisions, copies of laws and regulations, and other documentation used to provide advice to Board members concerning FSGB appeals.
Disposition:
Temporary. Destroy/delete when superseded, obsolete, or when no longer needed.
DispAuthNumber:
DAA-0059-2013-0002-0004
A-04-021-05
Chronological Files
Description:
File contains incoming and outgoing correspondence not related to specific FSGB cases that include, but not limited to, budgetary matters, inquiries, and other operational issues.
Disposition:
Temporary. Cutoff the end of calendar year. Destroy 5 years after cutoff or when no longer needed, whichever is later.
DispAuthNumber:
DAA-0059-2013-0002-0005
A-04-021-06
Board Member Files
Description:
Board member consultant contracts, travel authorizations, vouchers, time and attendance, and related memoranda, correspondence, and documents.
Disposition:
Temporary. Cutoff at the end of the member’s current annual term, or when member leaves the Board, whichever is sooner. Destroy 1 year after cutoff, or when no longer needed for agency business, whichever is later.
DispAuthNumber:
DAA-0059-2013-0002-0006
A-04-021-07
FSGB Annual Report
Description:
Summary of the day-to-day operations and responsibilities of the Board including, but not limited to, description of grievances, number and type of cases, decision determinations, and other related information occurring during the calendar year.
Disposition:
Permanent. Cutoff at the end of the calendar year in which the report was published. Transfer paper versions to the National Archives in one block (2003 and earlier) in 2019. When official copy is electronic (2004 and forward) transfer to the National Archives 5 years after cutoff.
DispAuthNumber:
DAA-0059-2013-0002-0007
A-04-021-08
Policy and Procedure Documents
Description:
Internal policies and procedures related to the administrative functions of the Board, including the grievance process.
Disposition:
Temporary. Cutoff when superseded. Destroy 5 years after cutoff, or when no longer needed for agency business, whichever is later.
DispAuthNumber:
DAA-0059-2013-0002-0008
A-04-021-09
Board Minutes (closed series)
Description:
Formal minutes created and maintained by the Board, documenting Board discussion and actions.
Disposition:
Permanent. Transfer to the National Archives upon approval of this schedule.
DispAuthNumber:
DAA-0059-2013-0002-0009
A-04-021-10a
Intermediary Records
Description:
Content Records--Website contains documentation which includes the FSGB description, member bios, policy and procedures, notices, decision excisions, and other related information.
Disposition:
Temporary. Destroy upon creation or update of the final record, or when no longer needed for business use, whichever is later.
DispAuthNumber:
DAA-GRS-2022-0009-0002 (GRS 5.2, Item 020)
A-04-021-10b
Management and Operations
Description:
Contains records documenting website operations and maintenance, such as website design documents, management policies and procedures, software-related records, access logs, site posting logs, search result statistics, and other related reporting.
Disposition:
Temporary. Destroy 3 years after agreement, control measures, procedures, project, activity, or transaction is obsolete, completed, terminated or superseded, but longer retention is authorized if required for business use. (Supersedes GRS 24, item 8)
DispAuthNumber:
DAA-GRS-2013-0005-0004 (GRS 3.1, item 020)
A-04-021-11
Administrative Records Maintained in any Agency Office
Description:
Records accumulated by individual offices that relate to routine day-to-day administration and management of the office rather than the mission-specific activities for which the office exists. Records include:
• staff locators, unofficial organizational charts, and office seating charts (see
Exclusion 1)
• office-level administrative policies and procedures and files related to their
development (see Note 1)
• calendars or schedules of daily activities of non-high-level officials (high-level
officials are defined in GRS 6.1; this item covers those positions not defined as
high-level)
• informal requests and tracking of personnel training, travel, supplies, and
equipment, excluding procurement and payment records and forms requesting
training (e.g. SF-182)
• internal office activity and workload reports
• studies and analyses of office administrative functions and activities
• non-mission related management reviews and surveys
• minutes of meetings related to administrative activities
Exclusion 1: This item does not apply to recordkeeping copies of organizational charts, functional statements, and related records that document the mission-related organization, staffing, and procedures of the office. Agencies must schedule those records on an agency-specific schedule.
Note 1: This item covers administrative policies and procedures at the office/unit level. GRS 5.7 covers agency-level administrative issuances or directives.
Disposition:
Temporary. Destroy when business use ceases.
DispAuthNumber:
DAA-GRS-2016-0016-0001 (GRS 5.1, item 010)
