January 9, 2009 MANAGERS, HUMAN RESOURCES (AREAS) MANAGERS, HUMAN RESOURCES (DISTRICTS) MANAGERS, PERSONNEL SERVICES

Transcription

1 January 9, 2009 MANAGERS, HUMAN RESOURCES (AREAS) MANAGERS, HUMAN RESOURCES (DISTRICTS) MANAGERS, PERSONNEL SERVICES SUBJECT: Official Personnel Folder Documents This Memorandum of Policy (MOP) supersedes MOP ERM and ERM Handbook EL-301, Guidelines for Processing Personnel Actions, includes a chapter on recordkeeping in Official Personnel Folders (OPFs). This policy memorandum updates the permanent and temporary document tables within Chapter 1. These changes will be incorporated into permanent directives. Please ensure that all OPF custodians receive this policy change. If you have any questions, please contact Gina Russell at gina.a.russell@usps.gov or at (202) Mangala Gandhi Manager Selection, Evaluation, and Recognition Attachments 475 L ENFANT PLAZA WASHINGTON DC

2

3 EXHIBIT 1 PERMANENT DOCUMENT TABLES The following tables provide instructions for filing permanent personnel documents. The tables are placed in alphabetical order by document category, such as administrative. Within each category, specific documents are listed. The documents and forms listed are illustrative, but not all-inclusive. Some of the forms listed are obsolete. The obsolete forms must be retained in the Official Personnel Folder (OPF) because they were in use when retention and disposal authority was approved. Table A Administrative DOCUMENT TYPE DOCUMENT NOTES Transcript Transcript of service showing appointments and position or salary changes created to reconstruct an employee s history when the OPF was lost or destroyed OPF Form 6100A, OPF Disclosure Accounting Form Also file any statement of disagreement with denial of Privacy Act request to amend OPF record beneath the subject PS Form 316, Records Information Request record. Note: Form 6100-B, OPF Disclosure Accounting Form (used in documenting PS Form 1653, Postmaster Relief/ Leave disclosures to law enforcement officials) Replacement Employment Data should not be filed in the OPF. Training Record Assignment Rural Route Description PS Form 2548 and 2548-A, Individual Training Record PS Form 8020, Report of Installation PS Form 1734, Record of Training (obsolete) PS Form 4003, Official Rural Route Description Training retains the form at one central location determined by the training supervisor or manager. Upon an employee s assignment to another installation, PS Form 2548 is forwarded to the personnel office for inclusion in the employee s OPF for transfer to the receiving office.

4 Table B Appointment Support DOCUMENT TYPE DOCUMENT NOTES Application Employment History Dual Compensation Waiver Drug Screening Qualification Selective Service Registration Release of Information Right to Work PS Form 2591, Application for Employment PS Form 2591-A, Personal History Questionnaire (obsolete) PS Form 2591-C, Application for Former Casual (Non-Career) Employment Eligibility SF 171, Application for Federal Employment (and continuation sheets) PS Form 2484, Job Qualification Statement (obsolete) PS Form 5913, Cleaner, Custodian, Custodial Laborer, Supplemental Experience Statement (obsolete) PS Form 5920, Motor Vehicle Operator & Tractor Trailer Supplemental Experience Statement (obsolete) Report AAD088P1 or AAD099P1, Prior Postal Employment Verification Dual compensation waiver statement, approval of waiver, and annuitant notification letter Drug Screening Personnel Notification Form PS Form 2591-A, Applicant s Statement of Selective Service Registration Status (obsolete) PS Form 2181-A, Authorization and Release for Pre-Employment Screening PS Form 2181-X, Authorization and Release for Pre-Employment Screening Form I-9, Employment Eligibility Verification Include Certification letter from State Employment Office for referral for a casual vacancy (see Handbook EL-312, ). Review attachments to ensure that they are authorized for inclusion in the OPF; remove all prohibited documents. File when supporting a PS Form 50. Applies only to Postal Service annuitants who are hired to fill temporary relief carrier (TRC) or postmaster relief/leave replacement (PMR/LR) positions and for whom a dual compensation waiver has been approved. See Handbook EL-312, Appendix D-1. Selective Service registration is now certified on PS Form 61, Appointment Affidavit. Evidence of Date of Birth Certified birth certificate Or any other certified record of birth when needed to verify that the date of birth is correct.

5 DOCUMENT TYPE Approvals/ Authorizations Military Service/ Veterans Preference Clearance/Investigation DOCUMENT Verification of selection from Register of Eligibles PS Form 5912-A, Alphabetical Register Card or Notice of Rating PS Form 5924-A, Postal Inservice or Entrance Examination Report Card SF 15, Application for 10-Point Veteran Preference DD 214, Certificate of Release or Discharge from Active Duty Falsification and Postal Crime Affidavit (obsolete) SF 85, Non-Sensitive Security Clearance (obsolete) SF 86, Security Investigation Data for Sensitive Position SF 85A, National Agency Check PS Form 61, Appointment Affidavit NOTES Hiring Worksheet information is documented on PS Form 50 using either free-form remarks, or Standard Remark Code 525. Eligible rating only issued as the result of an in-service exam. Includes any supporting documentation accepted as proof or verification used in determining veterans preference and creditable service. This is not the same as the Form 86C used for OPM Special Agency Checks (SACs). Data for nonsensitive or noncritical-sensitive position. POD 61, Appointment Affidavit (obsolete) POD 62, Appointment Affidavit (obsolete) Written waiver from contracting officer indicating that circumstances allow an applicant awarded a contract to be hired as an employee PS Form 2013, Security Clearance Processing Request PS Form 8139, Your Role in Protecting the Security of the United States Mail Sanctity of the Mail requires employee s signature.

6 Table C Compensation and Benefits DOCUMENT TYPE DOCUMENT NOTES Performance Appraisal Leave Health Benefits PS Form 8220, EAS Merit Performance Evaluation (obsolete) PS Form 1150 or SF 1150, Record of Leave Data PostalEase ALE (Annual Leave Exchange) Worksheet SF 2809, Health Benefits Registration Form Includes any authorized attachments: Court or Administrative Order. Certificate/Statement of foster child status. Statement supporting late registration. File medical documentation used in self-support determination for child 22 years of age or over in Employee Medical Folder. SF 2810, Notice of Change in Health Benefits Enrollment, and Memorandum About FEHB Enrollment, transferring enrollment FEHB Certification of Foster Children/Foster Child Status PS Form 3111 or 3111-X, Federal Employees Health Benefits (FEHB) Coverage or Termination While in Leave Without Pay (LWOP) Status FEHB Enrollment Transfer to OWCP PS Form 8201, Pre-Tax Health Insurance Premium Election/ Waiver Form for Career Employees PS Form 8202, Pre-Tax Health Insurance Premium Election/ Waiver Form for Noncareer Employees FEHB PostalEase Worksheet FEHB Military Worksheet PS Form 202, Health Benefits Refund Payment Authorization Health Coverage Court Order Notice HR Shared Service Center All forms, current and previous, are retained for retirement records. All forms, current and previous, are retained for retirement records. Initiate when an employee goes on military LWOP. You will not have the information to complete the worksheet until the employee returns to pay status and provides copies of orders. A new worksheet is required for each military activation.

7 DOCUMENT TYPE Life Insurance DOCUMENT Reply to Court or Administrative Agency Re: Health Coverage for Child Health Coverage Court Order Notice Employee with HMO Self and Family Plan Health Coverage Court Order Notice Employee with Self-Only Plan Health Coverage Court Order Notice Employee with No FEHB Coverage Health Insurance Affidavit Health Coverage Court Order Notice Employee Ineligible for Coverage Health Coverage Court Order Compliance or Release Notice HR Shared Service Center Denial of Request to Change FEHB Enrollment Notice of No FEHB at Retirement Waiver of Immediate Reinstatement of FEHB SF 2817, Life Insurance Election (FEGLI) SF 2818, Continuation of Life Insurance Coverage as an Annuitant or Compensationer (FEGLI) SF 2819, Notice of Conversion Privilege (FEGLI) SF 2821, Agency Certification of Insurance Status (FEGLI) SF 2822, Request for Insurance (FEGLI) SF 2823, Designation of Beneficiary (FEGLI) RI 76-10, Assignment of FEGLI RI 76-27, FEGLI 99 Open Enrollment Period Election Form NOTES All forms, current and previous (including SF 176 and SF 176-T, Life Insurance Coverage), are retained for retirement records. Used for long-term OWCP LWOP. All forms current and previous are retained for retirement records. All forms current and previous are retained for retirement records. All forms current and previous (including SF 54) are retained for retirement records. File with SF 2817, Life Insurance Election.

8 DOCUMENT TYPE Thrift Savings Plan Retirement DOCUMENT TSP 1, Election Form TSP 18, Validation of Retirement Information (Separation Date/Signed Date) TSP 19, Transfer of Information Between Agencies PostalEase TSP Worksheet PS Form 6886, TSP Request for Retroactive Contributions TSP Makeup Worksheet TSP Makeup Contributions Package Letter Deduction of TSP Makeup Contributions on Separation Letter Termination of TSP Contributions Letter PostalEase 50+ TSP Catch-Up Worksheet RI 20-97, Estimated Earnings During Military Service RI 36-18, OPM Statement of Service Credit Payment OPM Form 1514, Military Deposit Worksheet OPM Form 1515, Military Service Deposit Election OPM Form 1555, FERS Election of Coverage SF 144/PS Form 144, Statement of Prior Federal Civilian and Military Service (obsolete) SF 813 or CSC 813, Verification of a Military Retiree s Service in Nonwartime Campaigns or Expeditions SF 2803, Application to Make Deposit or Redeposit (CSRS) Military Buy Back (MBB) Calculation Letter SF 2804, Application to Make Voluntary Contributions (CSRS) PS Form 2805, Military Deposit Worksheet SF 2815, Employee Service Statement (obsolete) FERCCA Letter SF 3106, Application for Refund of Retirement Deductions (FERS) SF 3108, Application to Make Service Credit Payment (FERS) NOTES When used for exception processing. Generated by payroll showing zero balance. Any material accepted as proof or verification of service that is creditable for leave may be attached. All forms current and previous are retained for retirement records. Including related materials.

9 DOCUMENT TYPE DOCUMENT SF 3109, Election of Coverage (FERS) SF 3110, Former Spouse s Consent to FERS Election SF 3111, Request for Waiver, Extension, or Search in Connection with Election of FERS Coverage Notice of Approval of Disability Retirement Application National Personnel Records Center (NPRC) Transcript of Service CSRS Civilian Service Credit Deposit/Redeposit Application Acknowledgement FERS Civilian Service Credit Deposit/Redeposit Application Acknowledgement Notice of Ineligibility for Civilian Service Credit Deposit or Redeposit FAX Request for Employee Retirement Contribution Information Attachment D of Compensation Letter Voluntary Early Retirement Offer Letter Reinstatement List Area of Consideration Worksheet for Determining Retirement Plan Code and Retirement Computation Date (RCD) for Career Employees with Civilian Service Prior to 1984 RTR Employee Detail Report Verification of Retirement Contributions Notification of Earnings for Medicare Eligibility OPM Denial of Retirement Eligibility Challenge to OPM Denial of Retirement Eligibility Back Pay Notification Return to Duty Back Pay Notification Reactivation and Separation NARECS Annuity Estimate NOTES Previous version was SF Including previous versions of this notice. Do not file Notice of Disapproval of Disability Retirement Application. Other records and documents provided by the NPRC for OPF storage should also be considered permanent records. OPM verification of funds. Printout. Final estimate for retirement

10 DOCUMENT TYPE Active Military Duty Designation of Beneficiaries Death/Unpaid Compensation DOCUMENT Postal Service Benefits Military Letter USERRA and Postal Service Benefits Military 356 th -Day Election Letter Military Voluntary Resignation to Enter Military Waiver SF 2808, Designation of Beneficiary (CSRS) SF 3102, Designation of Beneficiary (FERS) SF 2823, Designation of Beneficiary (FEGLI) SF 1152, Designation of Beneficiary Unpaid Compensation of Deceased Civilian Employee FE 6, Claim for Death Benefits (FEGLI) SF 2800, Application for Death Benefits (CSRS) SF 1152, Designation of Beneficiary Unpaid Compensation of Deceased Civilian Employee Request for Death Benefit Application Notice of Missing Documents Notice of Incomplete Death Benefit Application OFEGLI Notice of Incomplete Death Benefit Application OPM SF 1153, Claim for Unpaid Compensation of Deceased Civilian Employee NOTES Copy of death certificate or notice and related forms may be filed as permanent records. When changed or updated by the employee, the SF 1152 being replaced is removed from the OPF and either returned to the employee or destroyed.

11 Table D Payroll DOCUMENT TYPE DOCUMENT NOTES Income Tax IRS W4, Employee s Withholding IRS regulations require that the most Withholding Allowance Certificate current withholding exemption IRS W4A, Employee s Withholding certificates be kept on file until Certificate superseded by a later change. The superseded (old) certificate must then IRS W4P, Withholding Certificate for be retained for 4 years from the date the Pension or Annuity Payments current form was filed. IRS W15, State Withholding Tax Exemption Certificate PS Form 4, Employee s City or County Withholding Certificate PS Form 1198, Request for State Income Tax Withholding Terminal Leave Worksheet Commendations PS Form 2246, Terminal Leave Worksheet (obsolete) Report AAN040P4 or AAN079P1, Terminal Leave Worksheet PS Form 1269, Employee Suggestion Award (obsolete) PS Form 1725, Employee Suggestion Evaluation (obsolete) Suggestion Award Copies of official letters and certificates related to receipt of awards including, but not limited to, Quality Step Increase, Incentive Award, Spot Award, and Special Achievement Award Copies of official letters recognizing length of service and retirement, letters of appreciation and commendations for performance Travel PS Form 178, Specific Travel Order Relocations and Relocation Agreement Salary Employee election to continue to pay the full cost of benefits while on approved LWOP to serve in an employee organization PS Form 1303, Salary Change Notice (obsolete) COLA Roll In Notices/Statements Pay transcripts Letter from Accounting Service Center and related documentation regarding Children s Equity Act of 2000 Documentation of the application of grade or pay retention including copy of a letter to employee describing the circumstances warranting the retention and nature of the entitlement Including payroll records search requests.

12 DOCUMENT TYPE Union dues Court Orders DOCUMENT PostalEase Allotments and Net to Bank (Direct Deposit) Worksheet PS Form 1186, Cancellation of APWU Dues From Payroll Withholdings SF Form 1187, Request for Payroll Deduction for Labor Organization Dues PS Form 1188, Cancellation of Organization Dues From Payroll Withholdings Court Orders affecting employee status or pay NOTES This does not include garnishment records.

13 Table E Personnel Actions DOCUMENT TYPE DOCUMENT NOTES Personnel Action Assignment Reassignment Resignation RIF Notice PS Form 50 or SF 50, Notification of Personnel Action SF 50-A, Notice of Short Term Employment (obsolete) POD 2526 or POD 2526-X, Notification of Personnel Action (obsolete) Report R0955, Salary and Placement Service History PS Form 222, Statement for Postmasters and Officers-In-Charge Mass transfer lists PS Form 8020, Report of Installation Record of qualification on in-service examination Injury Compensation Modified Job Offer Letters and related PS Form 2574, Resignation From the Postal Service PS Form 337, Clearance Record for Separated Employee Voluntary Separation to Enter Military Waiver Reduction In Force Notice Documents supporting the personnel action should be filed immediately below the applicable PS Form 50. If a document is filed in an employee s OPF listing the names and social security numbers (SSNs) of other employees, the document must be altered to eliminate the names, SSNs, and any other personal identifying information. PS Form 5912-A, Alphabetical Register Card (eligible rating only), and other records of qualification issued as the result of an in-service examination, are considered permanent records. Do not file supporting medical documentation in OPF. Includes letter of resignation submitted by the employee or, if oral resignation, supervisor s notice. Or equivalent records.

14 EXHIBIT 2 TEMPORARY DOCUMENT TABLE The following table provides a partial list of the types of temporary documents for filing. DOCUMENT TYPE DOCUMENT NOTES Personnel Action Step Increase Payroll Unofficial Commendations SF 52, Request for Personnel Action SF 127, Request for Official Personnel Folder PS Form 1216, Employee s Current Mailing Address PS Form 1750, Employee Evaluation and/or Probationary Report PS Form 2444, Agreement to Remain in the Postal Service TSP 41, Notification to TSP of Nonpay Status PS Form 3074, Request for Waiver of Claim for Erroneous Payment of Pay PS Form 5956, Employee Probationary Period Report PS Form 6075, Notice of Removal or Separation for Disability (Not OWCP) PS Form 8200, Flexible Spending Account Enrollment Form Report AAN010P4, Step Increase Worksheet PS Form 3239, Payroll Deduction Authorization to Liquidate Postal Service Indebtedness Customer comment cards, letters, or notes Or other continued service agreements. 7-year retention period. Discipline Disciplinary notice or decision letter Except as otherwise provided in an applicable collective bargaining agreement: Retain in OPF for a period of 2 calendar years unless otherwise resolved or cited in subsequent disciplinary action. Remove any disciplinary notice or decision letter, upon the employee s written request, from the employee s OPF after 2 years (if there has been no disciplinary action initiated against the employee in that 2-year period). Employee Self-Service Exception Processing PostalEase/FSA Worksheet 7-year retention period from date of employee signature