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Matrix by Office of Primary Responsibility for Commission Program Records, including Administrative Records Common to All Headquarters and Field Offices

Office of Primary Responsibility

Description of Records

Type of Records

Maintenance and Contents of Files

Disposition of Contents of File

Disposal Authority

           

Office of the Chair and Commissioners

General Correspondence File

Temporary

Copies of all incoming correspondence to the Chair or Commissioners and the replies thereto where the replies are by other than the Chair are maintained by the Office of the Chair or Commissioners for one (1) year after the date of replies. 

After the record copies are one (1) year old, all copies should be destroyed then, or when otherwise no longer needed, or upon the end of the Chairs or Commissioners appointment, whichever occurs first.

NCI-403-79-1

RCS, Item no. 13.A

Office of the Chair and Commissioners

Chairs Chronological File

Permanent

Copies of all outgoing communications signed by the Chair are retained by the Office of the Chair in the Chairs Chronological File for one (1) year after the date of replies.

After the record copies are one (1) year old after the date of replies, they may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of the Chair specifically for inactive Chairs Chronological File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer   or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

When the materials in the Chairs Chronological files are ten (10)  years old, the Office of the Chair or the Executive Secretariat, through Office of the Chief Financial Officer, offers the files to NARA for permanent retention.

NCI-403-79-1

RCS, Item no.13.B

Office of the Chair and Commissioners

Schedules of Daily Activities

Permanent-Unscheduled

Calendars, appointment books, schedules, logs, diaries, and other records documenting meetings, appointments, telephone calls, trips, visits, and other activities by the Chair and Commissioners while serving in an official capacity, excluding materials determined to be personal.

The office retains its schedules of daily activities as active records for one (1) year.  After that, the office should destroy all unofficial files/copies when no longer needed for reference, and the record copies of the schedules may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of General Counsel specifically for its closed Office Administrative Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When two (2) years old, the Office of the Chair and Commissioners automatically either destroys or arranges for the destruction of these records. 

GRS 23, Item no. 5.a. 

       

Records documenting routine activities containing no substantive information and records containing substantive information, the substance of which has been incorporated may be destroyed or deleted when no longer needed for convenience of reference.

GRS 23, Item no. 5.b.

Executive Secretariat

General Correspondence File

Temporary

The Executive Secretariat establishes and maintains a General Correspondence File for the Executive Secretariat.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Executive Secretariat exists, rather than its internal administration or housekeeping activities.  The Executive Secretariat arranges the correspondence in the file chronologically and alphabetically by issue/subject.

The Executive Secretariat establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, the Executive Secretariat should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Executive Secretariat specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the  Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, the Executive Secretariat either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Executive Secretariat

Commission Meetings File

Permanent

The Executive Secretariat establishes and maintains the Commission Meetings File of the Commission.  This file contains all the official record copy of agendas, meeting minutes, tape recordings and audiovisual recordings, and photographs, documenting the open and closed Commission policy making meetings.

The Executive Secretariat retains these records in the Commission Meetings file for one (1) year after the meetings.   After that, the one (1) year old materials in the Commission Meetings File may be: 

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Executive Secretariat specifically for inactive Commission Meetings File material; or

-Moved to a NARA compliant commercial or other federal agency warehouse arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

When an inactive Commission Meetings File folder is five (5) years old, the Executive Secretariat, through Office of the Chief Financial Officer, offers these file folders to NARA for permanent retention.

NCI-403-79-1

RCS, Item no. 13.C

Executive Secretariat

Commission Decision File

Temporary and Permanent

The Executive Secretariat establishes and maintains the Commission Decision File of the Commission.  This file consists of folders containing the official record copy of all the decision documents and decision cover sheets documenting the Commissioners approval or disapproval of decisions on discrimination complaints.  These folders are arranged chronologically and by Commissioner name.

The Executive Secretariat retains the file folders for one (1) year after the Commissions decision to which the file folder pertains,  After that, the one (1) year old file folders may be: 

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Executive Secretariat specifically for inactive Commission Decision File folders; or

NCI-403-79-1

RCS, Item no. 13.D

       

-Moved to a  NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

When an inactive Commission Decisions File folder for a significant decision and position taken by the Chair and Commission on discrimination complaints is fifteen (15) years old, the Executive Secretariat, through Office of the Chief Financial Officer,  offers all these files to NARA for permanent retention. 

The Executive Secretariat destroys all closed Commission Decisions File containing non-precedent decisions taken by the Chair and Commission on discrimination complaints.  These files are destroyed five (5) years from date of decision.

 

Office of General Counsel

General Correspondence File

Temporary

Except material that becomes part of an official charge/case file, the Office of General Counsel establishes and maintains a General Correspondence File for the Office of General Counsel.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of General Counsel exists, rather than its internal administration or housekeeping activities.  The Office of General Counsel arranges the correspondence in the file chronologically and alphabetically by issue/subject.

The Office of General Counsel establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, the Office of General Counsel should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of General Counsel specifically for its closed General Correspondence File material; or

NCI-403-79-1

       

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, the Office of General Counsel either destroys or arranges for the destruction of these records then.

 

Office of General Counsel

General Litigation File

Permanent

Except material that becomes a part of an official charge/case file, the Office of General Counsel establishes and maintains the General Litigation File of the Commission.  The file consists of a litigation folder containing the official record copy of litigation records for each case it initiates or coordinates.  These files should be arranged by issue/subject.

The Office of General Counsel retains the folder of the cases in the EEOC General Litigation Case file for one (1) year after the date of the courts or Commissions final action regarding the case, whichever is later.  After that date, these files are inactive and may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of General Counsel specifically for the Commissions closed General Litigation File folders; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

NCI-403-79-1

RCS, Item no. 15 B (1), as amended

       

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

Two (2) years old after the final court or Commission action on the cases for these closed files, the Office of General Counsel, through Office of the Chief Financial Officer, will then transfer all the folders(s) to NARA for permanent retention.

 

Office of General Counsel

EEOC Defendant Case File

Permanent

The Office of General Counsel establishes and maintains an EEOC Defendant Case File for all cases where the Commission is the defendant and represented by the Office of General Counsel.  The file consists of folders containing the official record copy of all the litigation records for these cases. The folders in the file are arranged alphabetically by the defendants name.

The Office of General Counsel retains the folder of the cases in the EEOC Defendant Case File for one (1) year after the date of the courts or Commissions final action regarding the case, whichever is later.  After that date, these files are inactive and may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of General Counsel specifically for the Commissions closed General Litigation File folders; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

NCI-403-79-1

RCS, Item no. 15 B (2), as amended

       

Two (2) years old after the final court or Commission action on the cases for these closed files, the Office of General Counsel, through Office of the Chief Financial Officer, will then transfer all the folders(s) to NARA for permanent retention.

 

Office of General Counsel

EEOC Plaintiff Case File

Permanent

The Office of General Counsel establishes and maintains the EEOC Plaintiff Case File of the Commission for all cases where the Commission is the plaintiff and represented by the Office of General Counsel.  The file consists of folders, arranged alphabetically by the respondents name, containing the official record copy of all the litigation records for these cases.

The Office of General Counsel retains the folder of the cases in the EEOC Plaintiff Case File for one (1) year after the date of the courts or Commissions final action regarding the case, whichever is later.  After that date, these files are inactive and may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of General Counsel specifically for the Commissions closed General Litigation File folders; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior concurrence of the Office of the Chief Financial Officer.

Two (2) years old after the final court or Commission action on the cases for these closed files, the Office of General Counsel, through Office of the Chief Financial Officer, will then transfer all the folders(s) to NARA for permanent record.

NCI-403-79-1

RCS, Item no. 15 B (3), as amended

Office of Legal Counsel

General Correspondence File

Temporary

The Office of Legal Counsel establishes and maintains a General Correspondence File in which to maintain all original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the office exists, rather than its internal administration or housekeeping activities, except material that becomes part of an official charge/case file. The files are arranged alphabetically by issue/subject.

The incoming and outgoing correspondence and other material related thereto must be retained in the General Correspondence File of the Office of Legal Counsel for one (1) year from the date of the Commissions last action on the correspondence.  After that, the correspondence concerned maybe either:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Legal Counsel specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the correspondence is three (3) years old, the Office of Legal Counsel either destroys or otherwise arranges for the destruction of these records then.

NCI-703-79-1

RCS, Item no. 15.A

Office of Legal Counsel

Opinions and Interpretations File - External Requests

Permanent

The Office of Legal Counsel establishes and maintains the Opinions and Interpretations file of the Commission that consists, in part, of folders, arranged alphabetically by subject, for each opinion they issue arising from an external request.  These are opinions issued on the Age Discrimination in Employment Act (ADEA); the Equal Pay Act (EPA); Title VII of the Civil Rights Act of 1964, as amended; the Rehabilitation Act, as amended; Equal Pay Act; Americans with Disabilities Act, Civil Rights Act of 1991; or the Commission.  This includes supporting data, the original request for the opinion and any related materials.

The official record copy of the Office of Legal Counsels opinions and interpretations and the materials related thereto must be retained in the Opinions and Interpretation file for one (1) year. 

After that, the Office of Legal Counsel may destroy all unofficial files/copies when no longer needed, and the folders containing the Offices record copy of the opinions and interpretations and materials related thereto may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Legal Counsel specifically for its closed Opinions and Interpretations File - External Requests material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

However, when the opinions in response to external requests are two (2) years old, the Office of Legal Counsel  automatically transfers them to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.  After that, the Office of Legal Counsel offers them to NARA, through Office of the Chief Financial Officer, as permanent records when they are ten (10) years old. 

NCI-403-79-1

RCS, Item no. 15.A (2) (a)

Office of Legal Counsel

Opinions and Interpretations File - Internal Requests

Temporary

The Office of Legal Counsel should also establish and maintain in the Opinions and Interpretations file an official folder for each opinion issued by the Office of Legal Counsel to Commission offices on various administrative subjects (e.g., the Hatch Act, conflicts of interest or other internal legal matters.)  The Office of Legal Counsel should maintain the folders chronologically and alphabetically by subject.

The official record copy of the Office of Legal Counsels opinions and interpretations and the materials related thereto must be retained in the Opinions and Interpretation file for one (1) year. 

After that, the Office of Legal Counsel may destroy all unofficial files/copies when no longer needed, and the folders containing the Offices record copy of the opinions and interpretations and materials related thereto may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Legal Counsel specifically for its closed Opinions and Interpretations File - Internal Requests material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

The Office of Legal Counsel may transfer the files containing the official record copy of opinions and interpretations to internal requests to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer when they are two (2) years to destroy when three (3) years old.

NCI-403-79-1

RCS, Item no. 15.A (2) (b)

Office of Legal Counsel

EEOC Defendant Case File

Permanent

The Office of Legal Counsel establishes and maintains an EEOC Defendant Case File for all the cases where the Commission is the defendant and represented by the Office of Legal Counsel.  The file consists of folders, arranged alphabetically by plaintiffs name, containing the official record copy of all the litigation records for these cases.

Two (2) years old after the courts or Commissions final action on the cases for these closed files, the Office of Legal Counsel will transfer the files for all cases, irregardless if won or lost, to NARA, through Office of the Chief Financial Officer, as permanent records.

NCI-403-79-1

RCS, Item no. 15 B (2), as amended

Office of Legal Counsel

FOIA Requests File

Temporary

The Office of Legal Counsel keeps the FOIA Requests File of the Commission.  The files consist of the original requests for information under FOIA, a copy of the reply thereto, and all related supporting files.

The Office of Legal Counsel keeps in the FOIA Requests File the incoming and outgoing correspondence and other material related thereto for requests for information under the FOIA for two (2) years old after the date of the Office of Legal Counsels reply to the request.  After that, the Office of Legal Counsel automatically destroys the records for the requests where:

-The Commission granted access to all the requested documents; or

-The requested documents were nonexistent; or

-Requesters provided inadequate descriptions; or

-The requesters failed to pay agency reproduction fees; or

-The Commission denies the requested information and the requester does not appeal the denial.

Where requesters appeal denial of an FOIA request for any of these reasons, the Office of Legal Counsel retains the FOIA requests and related records of the appeal in the FOIA Appeals File to keep for six (6) years after final determination by the Commission, or the time at which a requestor could sue, or three (3) years after final adjudication by the courts, whichever is later.  After that, the Office of Legal Counsel automatically destroys the records of the appeal onsite.

GRS 14, Item no. 11

Office of Legal Counsel

FOIA Appeals File

Temporary

The Office of Legal Counsel establishes and maintains the FOIA Appeals File of the Commission arising from appeals under the FOIA for the release of information denied by the Commission.  The file consists of the appellants letter, a copy of the reply thereto, and related supporting documents, which may include the official file copy of the records under appeal or copy thereof.

The Office of Legal Counsel establishes and maintains the files for appealed requests in the FOIA Appeals File for six (6) years after the final determination by the Commission, or after the time at which a requestor could sue, or three (3) years after final adjudication by the courts, whichever is later.  After that, the Office of Legal Counsel automatically destroys the files onsite.

GRS 14, Item no. 12

Office of Legal Counsel

FOIA Control File

Temporary

The Office of Legal Counsel establishes and maintains the FOIA Control File of the Commission.  The files consist of registers and similar records listing date, nature, and purpose of request and name and address of requester.

Six (6) years after the date of last entry, the Office of Legal Counsel automatically destroys the registers or listing or six (6) years after final action by the Commission or after final adjudication by courts whichever is later, for other control files.

GRS 14, Item no. 13

Office of Legal Counsel

FOIA Administrative File

Temporary

The FOIA Administrative File is maintained by and in the Office of Legal Counsel.  The files contain the records of the Commission relating to its implementation of the FOIA, including notices, memoranda, routine correspondence, and related records.

The Office of Legal Counsel automatically destroys the notices, memoranda, routine correspondence, and related records in the FOIA Administrative File when two (2) years old.

GRS 14, Item no. 15

Office of Legal Counsel

Privacy Act Requests File

Temporary

The Privacy Act Requests File of the Commission is maintained by and in the Office of Legal Counsel.  The file consists of the original request, copy of reply thereto, and all related supporting documents, which may include the official file copy of records requested or copy thereof.

The Office of Legal Counsel keeps in the Privacy Act Requests File the incoming and outgoing correspondence and other material related thereto for requests for information under the Privacy Act for two (2) years after the date of the Office of Legal Counsels reply to the request.   After that, the Office of Legal Counsel automatically destroys the records for all requests where:

-The Commission granted access to all the requested records;

-The requested documents were nonexistent; or

-The requesters provided inadequate descriptions; or

-The requesters failed to pay Commission reproduction fees.

Where the Commission denies access to all or part of the records requested and the denied requests are not appealed, the Office of Legal Counsel keeps the incoming and outgoing correspondence and other material related thereto in the Privacy Act Requests File for five (5) years after the date of reply.  After that, the Office of Legal Counsel automatically destroys the records onsite.

GRS 14, Item no. 21

Office of Legal Counsel

Privacy Act Amendment Case File

Temporary

The Office of Legal Counsel establishes and maintains the Privacy Act Amendment Case File of the Commission.  These files consist of an individuals request to amend a record pertaining to that individual; an individuals request for a review of the Commissions refusal of an individuals request to amend a record; and records arising from any civil action brought by the individual against the Commission for refusing to amend that individuals record.

The Office of Legal Counsel keeps the incoming and outgoing correspondence and other material related thereto for requests to amend an individuals records for four (4) years after the date of the Office of Legal Counsels reply to request, or three (3) years after final adjudication by the courts, whichever is later.  After that, the Office of Legal Counsel automatically destroys the records.

GRS 14, Item no. 22

Office of Legal Counsel

Privacy Act Accounting of Disclosure File

Temporary

The Office of Legal Counsel establishes and maintains the Privacy Act Accounting of Disclosure File of the Commission.  These files consist of the official record copy of the records used for an accurate accounting of the date, nature, and purpose of each disclosure of a record to any person to another person, including forms for showing the subject individuals name, requesters name and address, purpose and date of disclosure, and proof of subject individuals consent when applicable.

The Office of Legal Counsel maintains the accounting records contained in the Privacy Act Accounting of Disclosures File for five (5) years after the disclosure for which the Office of Legal Counsel made the accounting or disposal instructions for the related subject individuals records, whichever is later.  After that, the Office of Legal Counsel automatically destroys the records in the files that are five (5) years old.

GRS 14 Item no. 23

Office of Legal Counsel

Privacy Act Control File

Temporary

The Privacy Act Control File of the Commission are maintained by the Office of Legal Counsel.  The control files are files maintained for control purposes in responding to requests, including registers and similar records listing date, nature of request, and name and address of requestor.

The Office of Legal Counsel maintains registers or listings in the Privacy Act Control File for five (5) years after the date of last entry.  The Office of Legal Counsel destroys other files contained in the files five (5) years after final action by the Commission or final adjudication by courts, whichever is later.

GRS 14, Item no. 24

Office of Legal Counsel

Privacy Act Reports File

Temporary

The official record copies of all of the Commissions recurring reports and one-time information requirements relating to the Commissions implementation of the Privacy Act, including biennial reports to the Office of Management and Budget, and the Reports on New Systems at all levels in the Commission are maintained by the Office of Legal Counsel in the Commissions Privacy Act Reports File.

When the reports are two (2) years old, the Office of Legal Counsel automatically destroys the reports then.

GRS 14, Item no. 25

Office of Legal Counsel

Privacy Act General Administrative File

Temporary

The Privacy Act General Administrative File consists of the official record copy of all the records relating to the Commissions general implementation of the Privacy Act, including notices, memoranda, routine correspondence, and related records.  The Office of Legal Counsel establishes and maintains the Privacy Act General Administrative File of the Commission.

When the record keeping copies in the file are two (2) years old, the Office of Legal Counsel automatically destroys them.

GRS 14, Item no. 26

Office of Legal Counsel

Erroneous Release of Privacy Act Protected Information File

Temporary

The Office of Legal Counsel establishes and maintains the Erroneous Release File of the Commission.  These files consists of record keeping copies of requests for information, copies of replies thereto, and all related supporting documents, and may include the official copy of records requested or copies thereof, related to the inadvertent release of privileged information to unauthorized parties.

The Office of Legal Counsel keeps files that include the official file copy of the released records for six (6) years after the erroneous release or according to the disposition instructions approved for official file copies of the released records, whichever is later.  After that, the Office of Legal Counsel automatically destroys the files.

GRS 14,

Item no. 36

 

Financial Disclosure

Reports

Temporary

OLC maintains the inancial Disclosure Reports file of the Commission. The file contains the record copies of the reports and related documents submitted by inviduals as required under the Ethics in Government Act of 1978 (Pub. L. 95-521). The file also includes all other statements of employment and financial interests and related records, including confidential statements filed under Executive Order 11222.

Ethics in Government Act Records. OLC retains records including SF 278A for individuals filing according to Section 201b of the Act, and not subsequently confirmed by the U.S. Senate, for one (1) year after the nominee concerned ceases to be under consideration for appointment when OLC automatically destroys these one (1) year old records.

OLC retains all other records including SF 278s until they are six (6) years old when OLC automatically destroys them locally, except for those records needed in an ongoing investigation until no longer needed in the investigation.

All Other Statements of Employment and Financial Interests and Executive Order 11222 Records. Except documents needed in an ongoing investigation, OLC retains all statements of employment and financial interests and related records, including confidential statements filed under Executive Order 11222, until they six (6) years old when OLC automatically destroys the six (6) years old records locally.

GRS 1, Item no. 24 a.

Item no. 24 b.

Office of Legal

Counsel (OLC)

Non-Federally

Funded Travel

Temporary

OLC establishes and maintains the Commissions Non-Federally Funded Travel file. The Commissions Non-Federally Funded Travel file contains the official copy of record of the Semiannual Expense Reports for Non- Federally Funded Travel submitted by the Commission to the Office of Government Ethics. The reports and materials related thereto summarize payments made to the agency from non-federal sources for travel, subsistence, and related expenses for a Commission employee who attends a meeting or similar function relating to their official duties.

OLC keeps the statements, forms, and other records used to compile the Semiannual Expense Report for Non-Federally Funded Travel for one (1) year after submission of the report to the Office of Government Ethics, and then removes from the Commissions Non-Federal Funded Travel file and automatically destroys this backup material. The Semiannual Expense Reports for Non-Federally Funded Travel are kept by OLC in the Non-Federal Funded Travel file for four (4) years from the date of their submission to the Office of Government Ethics.

GRS 9, Item no. 6

Office of Communications and Legislative Affairs

General Correspondence File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains a General Correspondence File for Office of Communications and Legislative Affairs.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Communications and Legislative Affairs exists, rather than its internal administration or housekeeping activities.  Office of Communications and Legislative Affairs arranges the correspondence in the file chronologically and alphabetically by issue/subject.

Office of Communications and Legislative Affairs establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, Office of Communications and Legislative Affairs should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Communications and Legislative Affairs specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, Office of Communications and Legislative Affairs either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Communications and Legislative Affairs

Legislative History File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Legislative History File of the Commission containing the Commissions record copy of all Congressional bills and hearings; Committee reports; Public Laws; Executive Orders; and Memoranda concerning the Commissions statute and related statutes; testimonies on current legislation; and other related documents.  The material contained in the file will be arranged by sessions of Congress.

The Office of Communications and Legislative Affairs establishes and maintains the material contained in the Legislative History File for two (2) years after the materials date of issuance or enactment.  After that, the two (2) year old material in the Legislative History File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in Office of Communications and Legislative Affairs the specifically for its closed Legislative History File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When four (4) years old, the Office of Communications and Legislative Affairs automatically transfers this material to the Federal Records Center with the approval of the Office of the Chief Financial Officer  to keep until they are ten (10) years old and then destroy.

NCI-403-79-1

RCS, Item no. 15 C

Office of Communications and Legislative Affairs

Congressional Inquiries

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Congressional Inquiries file of the Commission.  The file contains all the original incoming and record copies of the outgoing and interoffice correspondence arising from all inquiries received by the Commission from the Congress.  The Office of Communications and Legislative Affair arranges the inquiries and responses thereto in the file by the Congressional members last name.

When the materials in these files are two (2) years old after the Commissions final action in response to the Congressional inquiry, the Office of Communications and Legislative Affairs may automatically destroy them locally then, or earlier if no longer otherwise needed for administrative purposes.

NCI-403-79-1

RCS, Item no. 15 D (1)

Office of Communications and Legislative Affairs

Office of the President File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Office of the President File of the Commission.  The file consists of all material involving direct relations with the President, Vice President or their first echelon aides/secretaries regarding the status of discrimination charges, or general inquiries about the Commission.  The material in this file is arranged alphabetically by issue and chronologically by the date of the material.

When the official record copies of the materials in this file are two (2) years old, they may be automatically destroyed then or when no longer needed for administrative purposes.  All other copies are destroyed when no longer needed for reference.

NCI-403-79-1

RCS, Item no. 15 D (2)

Office of Communications and Legislative Affairs

Federal Agency File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Federal Agency File of the Commission.  The file consists of all the official record copy of correspondence, memoranda, rules or regulations other information received from other Government agencies which related to the operations of the Commission.

When the official record copies of the materials contain in this file are two (2) years old, they are automatically destroyed then or when no longer needed for administrative purposes.   All other copies are destroyed when no longer needed for reference.

NCI-403-79-1

RCS, Item no. 15 D (3)

 Office of Communications and Legislative Affairs

Press Advisory/News Releases

Permanent

The Office of Communications and Legislative Affairs establishes and maintains the Press Advisory/New Releases file of the Commission.  This file consists of the official record copy of each press advisory or news release issued by the Commission to the public and news media announcing the activities of the Commission.  The Office of Communications and Legislative Affairs arranges these records chronologically.

When the official record copies of the press advisories or news releases in the file are one (1) year old, they may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in Office of Communications and Legislative Affairs the specifically for its closed Press Advisory/News Releases File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the press advisories or news releases are two (2) years old, the Office of Communications and Legislative Affairs automatically transfers them to the Federal Records Center with the approval of the Office of the Chief Financial Officer to keep until they are ten (10) years old. 

After that, the Office of Communications and Legislative Affairs, through Office of the Chief Financial Officer, automatically offers the ten (10) years old press releases or news releases to NARA for permanent retention.  The Office of Communications and Legislative Affairs may destroy all other copies, including background material, locally when obsolete or no longer needed for reference.

NCI-403-79-1

RCS, Item no. 10 A (1)

Office of Communications and Legislative Affairs

Speech File

Permanent

The Office of Communications and Legislative Affairs establishes and maintains the Speech File of the Commission.  The file consists of the official record copy of each speech given by the Chair or other high ranking officials on significant subjects dealing with the Commissions programs.  The Office of Communications and Legislative Affairs arranges these copies in the Speech File chronologically and thereunder alphabetically by name of official.

When the speeches in the file are one (1) year old, the Office of Communications and Legislative Affairs may:

-Store the speeches in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock; or

-Move the speeches to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the speeches to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the speeches are two (2) years old, the Office of Communications and Legislative Affairs automatically transfers them to the Federal Records Center with the approval of the Office of the Chief Financial Officer to keep until they are ten (10) years old.  After that, the Office of Communications and Legislative Affairs, through Office of the Chief Financial Officer, automatically offers the speeches to NARA for permanent retention. The Office of Communications and Legislative Affairs may destroy all other nonrecord copies of the speeches, including background information, locally when one (1) year old or no longer needed for reference, whichever is sooner.

NCI-403-79-1

RCS, Item no. 10 A (2)

Office of Communications and Legislative Affairs

Publications File

Permanent

The Office of Communication and Legislative Affairs establishes and maintains the Publications File of the Commission.  The file contains the official record copy of each publication created by or for the Commission that contributes to an understanding of the organization, functions, policies, and procedures of the Commission.  The publications are arranged in the file alphabetically by publication.

The publications the Office of Communications and Legislative Affairs keeps in the Commissions Publications File include, but are not limited to:

-Annual Records such as the Equal Employment Opportunity Annual Report, and EEO Report on Job Patters for Minorities and Women in Private Industry;

-One-Time reports and studies of particular policy-making significance;

-Technical publications that address various aspects of the mission of the Commission.  Examples are the Research Reports series, such as the State and Local Government Functional Profile Series, Minorities and Women in State and Local Government, and Employment Status of Spanish Surnamed Americans; and

-General Interest publications, which are copies of a large number of items created by or on behalf of the Commission for the education of the public about the Commissions activities and aims.

When the publications in the file are one (1) year old, the Office of Communications and Legislative Affairs may:

-Store the record keeping copies of the publications in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock; or

-Move the record keeping copies of the publications to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the publications to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the publications are one (1) and six (6) months old, the Office of Communications and Legislative Affairs automatically offers the official record copies of the publications to NARA for permanent retention.  The Office of Communications and Legislative Affairs may destroy all other copies of the publications locally when revised, superseded, obsolete, or no longer circulated.

NCI-403-79-1

RCS, Item no. 10 A (3)

Office of Communications and Legislative Affairs

Information Requests File (Information Subject File)

Temporary

The Commissions Information Requests File is maintained by the Office of Communications and Legislative Affairs.  The files consist of all requests from the public for information and copies of replies thereto, involving no administrative actions, no policy decisions, and no special compilations or research and requests for and transmittals of publications, photographs, and other information literature.

When the incoming and outgoing correspondence in the Information Requests File are three (3) months old the Office of Communications and Legislative Affairs automatically destroys them onsite.

GRS 14, Item no. 1

Office of Communications and Legislative Affairs

Acknowledgment File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Acknowledgment File of the Commission. These files contain the official record copy of the Commissions acknowledgment and transmittals of inquiries and requests from the public that have been referred elsewhere for reply.

Three (3) months after acknowledgment and referral, the Office of Communications and Legislative Affairs automatically destroys the acknowledgment.

GRS 14, Item no.  2

Office of Communications and Legislative Affairs

Information Project File

Temporary

The Office of Communications and Legislative Affairs maintains the Information Project File of the Commission.  The file contains records created and maintained on external exhibits; public service announcements for the media; seminars and forums; and other related activities involving public relations.  The records in the Information Project File are arranged alphabetically by subject.

One (1) year after close of file or completion of a project, the Office of Communications and Legislative Affairs automatically destroys the records concerned onsite.

GRS 14, Item no. 4

Office of Communications and Legislative Affairs

Commendation /Complaint Correspondence File

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Commendation/Complaint Correspondence File of the Commission.  The file consists of the original anonymous letters, letters of commendation received by the Commission from the public, and the official record copy of the replies thereto, excluding those from which investigations were made or administrative action taken and those incorporated into individual personnel records.

The Office of Communications and Legislative Affairs automatically destroys these records when they are three (3) months old.

GRS 14, Item no. 5

Office of Communications and Legislative Affairs

Indexes and Check Lists

Temporary

The Office of Communications and Legislative Affairs establishes and maintains the Indexes and Check Lists file of the Commission. The file consists of bibliographies, checklists, and indexes of the Commissions publications and releases, excluding those relating to permanent records.

When the materials contained in the file are superseded or obsolete, the Office of Communications and Legislative Affairs automatically destroys them.

GRS 14, Item no. 6

Office of Communications and Legislative Affairs

Press Service File

Permanent

The Office of Communications and Legislative Affairs establishes and maintains the Press Service File of the Commission.  The file contains the:

-Media Morgue.  The Media Morgue consists of original clippings from major news publishers or media (New York Time, Washington Post, National Journal, Federal Times, etc.), trade journals, and regional and minority press, relating to the Commission and its mission.  The clippings are arranged in the Press Service File by subject and thereunder chronologically.

-EEOC News Clips (formerly, Clipboard).  The EEOC News Clips is a daily or weekly compilation of news clippings relating to the Commission and its mission, selected and distributed internally by the Office of Communications and Legislative Affairs.

The Office of Communications and Legislative Affairs retains the Media Morgue original clippings and EEOC New Clips compilations in the Press Service File for one (1) year.  After that, the Office of Communications and Legislative Affairs destroys the one (1) year old  EEOC News Clips compilations onsite and the Media Morgue original clippings may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in Office of Communications and Legislative Affairs the specifically for its closed Press Service File; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the Media Morgue clippings are four (4) years old, the Office of Communications and Legislative Affairs, through the Office of the Chief Financial Officer, automatically offers the files containing the four (4) year old clippings to NARA for permanent retention.

NCI-403-79-01

RCS, Item no. 10D

Office of Communications and Legislative Affairs

Audiovisual Records

Permanent

The Office of Communications and Legislative Affairs establishes and maintains the Audiovisual Records file of the Commission.  The file contains the audiovisual and related records created by or for the Commission to promote and document Commission programs, excluding audiovisual records included as part of a project file, case file, report file, or similar record.  The audiovisual records in the Commissions Audiovisual Records file are arranged by type of media and chronologically and by title.

-Still Photographs.  When the official copies of record of photographs of the Chair, Commissioners, and other key Commission personalities, and other photographs documenting the organization, functions, policies, and procedures, and essential transactions of the Commission are no longer needed for administrative purposes or five (5) years old, the Office of Communications and Legislative Affairs, through the Office of the Chief Financial Officer, automatically offer them to NARA for permanent retention.  The Office of Communications and Legislative Affairs automatically destroys all other photographs of routine award ceremonies, social events, and activities not related to the mission of the Commission whey they are one (1) year old.

-Slide/tape Shows.  When slide/tape shows created by or for the Commission to documents its history or significant events are no longer needed for administrative purposes or ten (10) years old, the Office of Communications and Legislative Affairs, through the Office of the Chief Financial Officer, automatically offers them, including the script and audio recording related thereto, to archive for permanent retention.

-Sound Recordings. The Office of Communications and Legislative Affairs, through the Office of the Chief Financial Officer, automatically transfers to NARA sound recordings of significant speeches, press conferences, committee meetings, and Congressional testimony of the Chair that are no longer needed for administrative use or when five (5) years old to archive for permanent retention.  Sound recordings of limited administrative use or interest; e.g., internal training, orientations, mock litigation actions, and routine Commission activities are automatically destroyed when no longer needed for administrative use.

-Video Recordings.  The Office of Communications and Legislative Affairs, through the Office of the Chief Financial Officer,  automatically offers to NARA the official record copy of video recordings of significant events and documentation of the Commission that are no longer needed for administrative use or five (5) years old to archive for permanent retention.  Video recordings of  limited administrative use or interest; e.g., internal training, orientations, mock litigation actions, and routine Commission activities are automatically destroyed when no longer needed for administrative use.

-Motion Pictures.  When no longer needed for administrative purposes or five (5) years old, motion pictures created by or for the Commission to document significant Commission functions, policies, and procedures are automatically offered to NARA by the Office of Communications and Legislative Affairs to archive for permanent retention through the Office of the Chief Financial Officer.  All other motion pictures of limited administrative use or interest, and of transitory or local interest only are automatically destroyed when no longer needed for administrative use.

-Finding Aids and Production Documentation.  When no longer needed for administrative purposes according to the instructions covering the related audiovisual records, the Office of Communications and Legislative Affairs automatically destroys the finding aids and production documentation related to the audiovisual records retained in the Audiovisual Records file of the Commission.  The records, arranged by title, include data sheets, shot lists, catalogs, indexes, and other textual documentation necessary for the proper identification, retrieval, and use of the audiovisual records of the Commission and, production case files or similar files that include copies of production contracts, scripts, transcripts, or other documentation bearing on the origin, acquisition, release or ownership of the audiovisual records.

NCI-403-79-01

RCS, Item no. 10G

GRS 21, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

General Correspondence File

Temporary

OCFO/AS establishes and maintains a General Correspondence File for OCFO/AS.  The file contains all the original incoming communications and initialed record copies of outgoing and  interoffice correspondence arising from the functions for which the OCFO/AS exists, rather than its internal administration or housekeeping activities.  OCFO/AS arranges the correspondence in the file chronologically and alphabetically by issue/subject.

OCFO/AS establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, OCFO/AS should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of the Chief Financial Officer specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer ; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, OCFO/AS either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of the Chief Financial Officer (OCFO/AS)

Budget Policy File

Temporary

OCFO/AS establishes and maintains the Budget Policy File of the Commission.  The file contains the record copy of correspondence or documents documenting the Commissions policy and procedures concerning budget administration, and reflecting policy decisions affecting expenditures for Commission programs.

OCFO/AS retains the Commissions official record copy of all of the material contained in the Budget Policy File for one (1) year from the end of the fiscal year to which the records relate.  After that, OCFO/AS may:

-Store the record keeping copies in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock; or

-Move the record keeping copies to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the record keeping copies to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official copies of record of the budget policy records are five (5) years old from the end of the fiscal year to which they relate, OCFO/AS automatically transfers to the Federal Records Center.   When they are subsequently ten (10) years from the end of the fiscal year to which they relate, the Federal Records Center automatically destroys the records.  OCFO/AS destroys all other copies when no longer needed for reference.

NC1-403-79-IRCS, Item 3,A

Office of the Chief Financial Officer (OCFO/AS)

Budget Background File [Formerly titled the Budget Estimates and Justification File]

Temporary

OCFO/AS establishes and maintains the Budget Background File of the Commission.  The file consists of folders containing the official record copy of copies of budget estimates and justifications prepared or consolidated at the headquarters, including appropriation language sheets, narrative statements, and related schedules and data.

OCFO/AS retains the Commissions official record copy of its budget estimates and justification records in the Budget Background File for one (1) year from the end of the fiscal year to which the records relate.  After that, OCFO/AS automatically destroys the background records or when no longer needed for reference, whichever is later.

GRS 5. Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Budget Correspondence File [Formerly titled Other Budget Records]

Temporary

OCFO/AS establishes and maintains the Budget Correspondence File of the Commission.  The file contains the record copy of the incoming and outgoing correspondence concerning the routine administration, internal procedures, and other matters arising from budget administration and operation activities of OCFO/AS, excluding Commission budget policy and procedures records covered in the Budget Policy File.

OCFO/AS automatically destroys the record copy and all other copies of the material n the file when they are two (2) years old or when no longer needed for reference, whichever is later.

GRS 5, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Budget Reports File [Formerly titled Other Budget Records]

Temporary

OCFO/AS establishes and maintains the Budget Reports File of the Commission.  The file contains the record copy of all the periodic reports by the Commission concerning the status of its appropriation accounts and apportionment.

When the record copy of an  annual end of fiscal year budget report of the Commission is five (5) years old, OCFO/AS automatically destroys the record and all other copies of the report onsite.

GRS 5. Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Budget Apportionment File

Temporary

OCFO/AS establishes and maintains the Budget Apportionment File of the Commission.  The Budget Apportionment File contains the record copy of the apportionment and reapportionment schedules, proposing quarterly obligations under each authorized appropriation for the Commission.

When the record copies of the schedules are two (2) years old after the close of the fiscal year to which they relate, OCFO/AS automatically destroys the record copy and all other copies of the  schedules or when no longer needed for reference, whichever is later.

GRS 5, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Accounting Administrative File

Temporary

OCFO/AS establishes and maintains the Commissions Accounting Administrative File.  This file contains the record copy of all correspondence, reports, and data relating to voucher preparation, administrative audit, and other accounting and disbursing operations of the Commission.

When the record copies of the material contained in the file used for workload and personnel management purposes are two (2) years old, OCFO/AS automatically destroys them.  OCFO/AS automatically destroys all other material in the file used for other than workload and personnel management purposes when three (3) years old.

GRS 6, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Accountable Officers File

Temporary

OCFO/AS establishes and maintains the Accountable Officers File of the Commission.  The Accountable Officers File contains the record copy of statements of transactions; statements of accountability; collection schedules; collection vouchers; disbursement schedules; disbursement vouchers; and other schedules and vouchers or documents used as schedules or vouchers, exclusive of commercial passenger and freight records and payroll records.  This file also contains records held for onsite audits by GAO.  The GAO site audit records include, but are not limited to Standard and Optional Forms and equivalent Commission forms that document financial transactions of the Commission.

OCFO/AS automatically destroys the record copies when they are six (6) years and three (3) months old after the period covered by the account to which the records relate.  All other copies are automatically destroyed when one (1) year old. [There are several types of accountable officers such as: (1) the collecting officer, who receives monies owed to the Federal Government and ensures that it is credited to the proper account; (2) the disbursing officer who is responsible for accomplishing the actual payment of public monies to proper Federal creditors; and (3) the certifying officer, whose signature on a summary attests to the authenticity of payability of vouchers.]

GRS 6, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

GAO Exception File

Temporary

OCFO/AS establishes and maintains the GAO Exception File of the Commission.  The file contains GAO notices of exception, such as a SF 1100, formal or informal, and related correspondence.

One (1) year after the date GAO has reported the exception as cleared, OCFO/AS automatically destroys the cleared exception and material related thereto onsite.

GRS 6, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Certificates Settlement File

Temporary

The Certificates Settlement File of the Commission is maintained by OCFO/AS.  The file contains the record copies of certificates and settlement of account settlements, supplemental settlements, and final balance settlements.

OCFO/AS automatically destroys certificates covering closed account settlements, supplemental settlements, and final balance settlements when they are two (2) years old after the date of settlement.  Certificates covering period settlements are destroyed when subsequent certificate of settlement is received.

GRS 6, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

General Fund File

Temporary

OCFO/AS establishes and maintains the Commissions General Fund File.  The General Fund File contains the record copies of all Commission records relating to the availability, collection, custody, and deposit of funds including appropriation warrants and certificates of deposit other than those records maintained in the Commissions Accountable Officers File.

OCFO/AS automatically destroys the three (3) year-old records.

GRS 6, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Federal Personnel Surety Bond File

Temporary

The Commissions Federal Personnel Surety Bond File is maintained by OCFO/AS.  The file contains the record copies of purchased bonds and attached powers of attorney pertaining to Commission employees.

OCFO/AS automatically destroys record copies of bonds purchased when they are fifteen (15) years old after the end of the bond premium period.

GRS 6, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Gasoline Sales Tickets File

Temporary

OCFO/AS establishes and maintains the Gasoline Sales Tickets File of the Commission.  The file contains hard copies of sales tickets filed in support of paid vouchers for credit card purchases of gasoline.

When the tickets in the file are three (3) years old, OCFO/AS automatically destroys them.  If the GAO audits the tickets before they are three (3) years old, OCFO/AS automatically destroys them then.

GRS 6, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Telephone Toll Tickets File

Temporary

OCFO/AS establishes and maintains the Telephone Toll Tickets File of the Commission. The file contains the original and copies of toll tickets filed in support of the Commissions telephone toll call payments.

When the tickets in the file are three (3) years old, OCFO/AS automatically destroys them.  If the GAO audits the tickets before they are three (3) years old, OCFO/AS automatically destroys them then.

GRS 6, Item no. 8

Office of the Chief Financial Officer (OCFO/AS)

Telegrams

Temporary

The Telegrams File of the Commission is maintained by OCFO/AS.  The file contains the originals and copies of telegrams filed in support of telegraph bills.

When the telegrams in the file are three (3) years old, OCFO/AS automatically destroys them.  If the GAO audits the telegrams before they are three (3) years old, OCFO/AS automatically destroys them then.

GRS 6, Item no. 9

Office of the Chief Financial Officer (OCFO/AS)

Administrative Claims File

Temporary

OCFO/AS establishes and maintains the Administrative Claims Files of the Commission.  The file contains the record copy of:

-Claims against the United States arising out of the activities of the Commission for moneys administratively disallowed in full or allowed in full or in part, and final payment of the amount awarded; and

-Claims by the United States arising out of the activities of the Commission subject to the Federal Claims Collection Standards and 28 U.S.C. § 2415 or 31 U.S.C. § 3716(c)(1).

When they are six (6) years, three (3) months old from the date the claim accrued, OCFO/AS automatically destroys the record copy and all other copies for:

-Claims against the United States arising out of the activities of the Commission;

-Claims by the United States arising out of the activities of the Commission that are administratively determined are not owed after collection action was initiated; and

-Claims by the United States arising out of the activities of the Commission that were paid in full or by compromise agreement.

The claims files for claims by the United States arising out of the activities of the Commission for which collection action has been administratively terminated and for which the Governments right to collect has not been extended are automatically destroyed by OCFO/AS when they are ten (10) years, three (3) months old from the date accrued for such claims where the Governments right to collect has been extended, OCFO/AS destroys the records related to three (3) months after the end of the extended period instead.  OCFO/AS destroys with the approval of the Office of Legal Counsel or the Department of Justice, as appropriate,  those claims files that  court orders have affected or are subject to litigation proceedings when they are six (6) years, three (3) months old or when the court order is lifted or litigation is concluded, whichever is later.

GRS 6, Item no. 10

Office of the Chief Financial Officer (OCFO/AS)

Waiver of Claims File

Temporary

OCFO/AS establishes and maintains the Waiver of Claims File of the Commission.  The file contains the record copy of the records relating to the waiver of claims of the United States against an employee arising out of an erroneous payment of pay; allowances; travel expenses; or relocation expenses; to or for the employee, including bills of collection, requests for a waiver of claim, investigative reports, decisions by the Commission and outside authority approving or denying the waiver, and related records.

OCFO/AS automatically destroys waiver claims files for which waivers are approved when they are six (6) years, three (3) months old after the close of the fiscal year in which the waiver was approved.  Waiver claims files for denied waivers are destroyed by OCFO/AS with the related claims file in the Administrative Claims Files.

GRS 6, Item no. 11

Office of the Chief Financial Officer (OCFO/AS)

Expenditures Accounting General Correspondence and Subject Files

Temporary

OCFO/AS establishes and maintains the Expenditures Accounting General Correspondence and Subject Files of the Commission.  The file contains the official copy of record of the correspondence or subject files maintained by OCFO/AS to document the operation and administration of the Commissions expenditure accounting system.

OCFO/AS automatically destroys the incoming and outgoing correspondence or subject files in the Expenditures Accounting General Correspondence and Subject Files when they are two (2) years old.

GRS 7, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

General Accounting Ledgers

Temporary

The General Accounting Ledger file of the Commission is maintained by OCFO/AS.  The General Accounting Ledger file contains the official copy of record of the Commissions general accountings ledgers, showing debit and credit entries, and reflecting expenditures of the Commission in summary.

When a general ledger is six (6) years and three (3) months old after the close of the fiscal year involved, OCFO/AS automatically destroys the general ledger.  All other copies may be destroyed when one (1) year old.

GRS 7, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Appropriation Allotment File

Temporary

OCFO/AS establishes and maintains the Appropriation Allotment File of the Commission.  The Appropriation Allotment File contain the Commissions official copy of record of its allotment records showing the status of the Commissions obligations and allotments under each authorized appropriation.

When allotment records are six (6) years and three (3) months old after the close of the fiscal year to which the allotment records relate, OCFO/AS automatically destroys the records.

GRS 7, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Expenditure Accounting Posting and Control File

Temporary

The Expenditure Accounting Posting and Control File of the Commission is maintained by OCFO/AS.  The file contains the official copy of record of records used as posting and control media, subsidiary to the general and allotment ledgers, that are not maintained in other Commission expenditure accounting records files described in this Order.

When the original records are three (3) years old from the date of the account to which the records relate are closed, OCFO/AS automatically destroys the records.  OCFO/AS destroys all other copies of the records when they are two (2) years old.

GRS 7, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Cost General Correspondence File

Temporary

OCFO/AS establishes and maintains the Cost General Correspondence File of the Commission.  The file contains the original incoming and record copy of outgoing communications arising from the cost accounting operations of OCFO/AS.

The communications and material thereto in this file are retained by OCFO/AS for three (3) years.  After that, OCFO/AS automatically destroys the communications and materials related thereto.

GRS 8, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Cost Accounting Reports

Temporary

OCFO/AS establishes and maintains the Cost Accounting Reports file of the Commission.   The file contains the official copy of record of the Commissions cost accounting reports and related work papers.

When a report is three (3) years old, OCFO/AS automatically destroys the report and related work papers onsite.  All other copies received by other offices in the headquarters and field may be destroyed when three (3) years old.

GRS 8, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Cost Report Data Files

Temporary

OCFO/AS establishes and maintains the Cost Report Data Files of the Commission.  The file contains ledgers, forms, and electronic records to accumulate the data for OCFO/AS use in cost reports of the Commission.

The ledgers and forms are retained for three (3) years and then automatically destroyed by OCFO/AS.  The automated records containing detail and summary cost information are retained for six (6) months, and tabulations for one (1) year.  After that, the electronic records containing this information are automatically destroyed by OCFO/AS.

GRS, 8 Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

General Procurement Correspondence Files

Temporary

Except material that becomes part of other files described in this Order, OCFO/AS establishes and maintains the General Procurement Correspondence Files for the Commission.  The file contains the original incoming and record copies of outgoing and interoffice correspondence arising from the administrative and operation of OCFO/AS related to procurement.

OCFO/AS retains the incoming and outgoing correspondence and material related thereto in the General Procurement Correspondence File for one (1) year.  After that, OCFO/AS automatically destroys the one (1) year old records in the file.

NCI-403-79-1

Office of the Chief Financial Officer (OCFO/AS)

Canceled Solicitation Files

Temporary

OCFO/AS establishes and maintains the Cancelled Solicitation Files of the Commission.  The files consist of a file for each solicitation the Commission cancels prior to award of contract.  Each file contains the pre-solicitation documentation on the requirement, any offers that were opened prior to the cancellation, documentation on any Government action up to the time of cancellation.

OCFO/AS retains each cancelled solicitation file in the Cancelled Solicitation Files for five (5) years after the date that the solicitation was cancelled.  After that, OCFO/AS automatically destroys the file or retains it for longer if the file has future value to the Government.

GRS 3,

Item no. 5 (c)

Office of the Chief Financial Officer (OCFO/AS)

Solicited and Unsolicited Bids and Proposals Files

Temporary

OCFO/AS establishes and maintains the Solicited and Unsolicited Bids and Proposals Files of the Commission.  The files consist of a separate file for each solicited and unsolicited bid and proposal received by the Commission.  Each file includes pre-solicitation documentation on the requirement, any offers, and documentation on any Government action taken on the bid or proposal.

OCFO/AS destroys the files for successful bids and proposals with the related contracting office contract file.  Files for solicited and unsolicited bids and proposals relating to small purchases are retained by OCFO/AS for one (1) year after the date of award or payment, whichever is later, and then automatically destroyed.  Files for solicited and unsolicited bids and proposals that are above the small purchase limitations are retained and then automatically destroyed by OCFO/AS when the related contract is completed.

GRS 3, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Contract Files

Temporary

OCFO/AS establishes and maintains the Contract Files of the Commission.  For each contract, the Contract Files consists of:

-A contracting office contract file, which documents the basis for the acquisition and the award, the assignment of contract administration and payment responsibilities, and any subsequent actions taken by OCFO/AS;

-A contract administration office (contracting officer technical representative - COTR) contract file, which documents actions reflecting the basis for and the performance of contract administration responsibilities; and

-A paying office contract file, which documents actions prerequisite to, substantiating, and reflecting contract payments.

OCFO/AS normally keeps each of these files separately.  However, if appropriate, OCFO/AS may combine all of the files instead.

The contracting office contract files are retained by OCFO/AS for six (6) years and three (3) months after final payment if the contract to which the contract file relates to exceeds the simplified acquisition threshold. If the contract was at or below the simplified acquisition threshold, the contract file related thereto is kept for three (3) years after final payment instead.   After that, OCFO/AS destroys the contracting office contract files, including the COTR contract file and paying office contract file that OCFO/AS may destroy earlier upon the contracts termination or completion.

FAR

Subpart 4.8

Office of the Chief Financial Officer (OCFO/AS)

Supply Management Files

Temporary

OCFO/AS establishes and maintains the Supply Management Files of the Commission.  The files consist of a separate file for each report on supply requirements and related procurement matters received from offices in the headquarters and field offices.

OCFO/AS retains the files for two (2) years.  After that, OCFO/AS automatically destroys onsite the two (2) year old files.

GRS 3, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Public Printer Files

Temporary

OCFO/AS establishes and maintains the Public Printer Files of the Commission.  The Public Printer Files contain a file for each printing procurement unit copy of requisition, invoice, specifications, and related papers.

When a file for a printing requisition in the Public Printer Files is three (3) years old after completion or cancellation of the printing requisition to which the file relates, OCFO/AS automatically destroys onsite the file and its contents.

GRS 3, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Nonpersonal Services Requisition File

Temporary

OCFO/AS establishes and maintains the Nonpersonal Services Requisition File of the Commission.  The file consists of the record copy of requisitions for nonpersonal services, such as duplicating, laundry (dry cleaning), binding, and other services excluding records associated with the accountable officers accounts.

When the nonpersonal services requisitions in the file are one (1) year old, OCFO/AS automatically removes the requisitions from the file and destroys them onsite.

GRS 3, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Inventory Requisition File

Temporary

OCFO/AS establishes and maintains the Inventory Requisition File of the Commission.  The file contains the record copy of each requisition for supplies and equipment supplied through storage and issued from Commission stockrooms or supply rooms in the headquarters and field offices.

OCFO/AS retains each record copy of the requisition in the file for two (2) years from the date of completion or cancellation of the requisition.  After which, OCFO/AS removes the expired requisition and automatically destroys it onsite.

GRS 3, Item no. 8

Office of the Chief Financial Officer (OCFO/AS)

Inventory Files

Temporary

OCFO/AS establishes and maintains the Inventory Files of the Commission.  The file consists of lists of inventory items supplied through storage and issued from Commission stockrooms or supply rooms in the headquarters and field offices.

The inventory lists are retained in the Inventory Files by OCFO/AS for two (2) years from the list date.  After that, OCFO/AS removes the expired list from the file and automatically destroys it onsite.

GRS 3, Item no. 9

Office of the Chief Financial Officer (OCFO/AS)

Federal Procurement Data System (FPDS) Files

Temporary

The Commissions FPDS Files are established and maintained by OCFO/AS.  The files contain record copies of the electronic data files submitted by the Commission to the FPDS.  The record copies are arranged by fiscal year and contain unclassified records of all procurement by the Commission other than small purchases.

The electronic data files are kept by OCFO/AS for five (5) years.  When a file is five (5) years old, OCFO/AS automatically destroys or deletes the expired file.

GRS 3,

Item no. 3 (d)

Office of the Chief Financial Officer (OCFO/AS)

Tax Exemption Files

Temporary

The Tax Exemption Files of the Commission are maintained by OCFO/AS.  The files consist of the Commissions record copy of an SF-1094, U.S. Tax Exemption Certificate, and other State or local government tax exempt forms used to exempt the Commission from paying state and local taxes as a purchaser.

The tax exemption forms are kept in the Tax Exemption Files for five (5) years from the period covered by the related account.  After that, OCFO/AS automatically destroys the expired form(s).

GRS 3, Item no. 12

Office of the Chief Financial Officer (OCFO/AS)

Contract Appeals Case Files

Temporary

OCFO/AS establishes and maintains the Commissions Contract Appeals Case Files.  The file consists of a separate case file for each contract appeal arising under the Contract Dispute Act.  Each file consists of a notice of appeal and acknowledgment thereof; correspondence between parties; copy of contract, plans, specifications, exhibits, change orders, and amendments; transcripts of hearings; documents received from parties concerned; final decisions; and all other related papers.

OCFO/AS retains each case file for one (1) year after the date of final action or decision related to the case.  After that, OCFO/AS removes the expired case file from the Contract Appeals Case Files and automatically destroys it.

GRS 3, Item no. 15

Office of the Chief Financial Officer (OCFO/AS)

Contractors Statement of Contingent or other Fee

Temporary

Reserved.

   

Office of the Chief Financial Officer (OCFO/AS)

Small and Disadvantaged Business Utilization Files

Temporary

The Small and Disadvantaged Business Utilization Files of the Commission are established and maintained by OCFO/AS.  These files consist of correspondence, reports, studies, goal statements, and other records relating to the small and disadvantaged business utilization program of the Commission as required by Pub.L. 95-507.

OCFO/AS retains the record copy of the material in the files for three (3) years.  After that, OCFO/AS automatically destroys the expired material.

GRS 3, Item no. 17

Office of the Chief Financial Officer (OCFO/AS)

Property Disposal Correspondence Files

Temporary

OCFO/AS maintains and establishes the Property Disposal Correspondence Files of the Commission.  These files consist of the official copy of record of all incoming and outgoing and interoffice correspondence and material related thereto on property disposal operations and administration in the Commission.

OCFO/AS retains the incoming and outgoing correspondence and other material related thereto in the Property Disposal Correspondence Files for two (2) years from the date of the Commissions last action on the correspondence.  After that, OCFO/AS automatically destroys the incoming and outgoing communications and materials related thereto.

GRS 4, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Excess Personal Property Reports

Temporary

OCFO/AS establishes and maintains the Excess Personal Property Reports file of the Commission.   The file consists of the official record copy of the SF-120s, Report of Excess Personal Property, and SF-121, Quarterly Report of Utilization and Disposal of Excess and Surplus Personal Property, to report the Commissions excess property to regional GSA offices.

OCFO/AS retains each official copy of record of each report in the Excess Personal Property Reports file until they are three (3) years old.  After that, OCFO/AS removes the expired reports from the file and automatically destroys them.

GRS 4, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Surplus Property Case Files

Temporary

The Surplus Property Case Files are established and maintained by OCFO/AS.  The files consist of case file for each sale of surplus personal property by the Commission.  The case files consist of invitations, bids, acceptance, lists materials, evidence of sales, and related correspondence.

OCFO/AS retains case files for transactions of more than $25,000 in the Surplus Property Case Files for six (6) years after the date of final payment.  Case files for transactions of $25,000 or less are retained for three (3) years after the date of final payment.  The expired case files are automatically destroyed by OCFO/AS.

GRS 4, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Commercial Freight and Passenger Transportation Files

Temporary

OCFO/AS establishes and maintains the Commercial Freight and Passenger Transportation Files of the Commission.  The contents of these files consist of:

-Original vouchers and support documents covering commercial freight and passenger transportation charges of settled fiscal accounts, including registers and other control documents;

-Records covering payment for commercial freight and passenger transportation charges for services for which a notice of overcharge has been or is expected to be issued or if a rail freight overpayment is involved; deduction or collection action has been taken; the voucher contains inbound transit shipment(s); parent voucher has print of paid supplemental bill associated; the voucher has become involved in litigation; or any other condition arises, such as detection of overcharge, that prevents the settling of the account, requiring the voucher to be retained beyond the six (6) year retention period.

-Issuing office copies of Government or commercial bills of landing, commercial passenger transportation vouchers (Standard Form 1113A) and transportation requests (SF 1169), travel authorizations, and supporting documents.

-Obligation copy of commercial passenger transportation vouchers.

-Unused ticket redemption forms, such as SF 1170.

OCFO/AS automatically destroys the obligation copy of commercial passenger transportation vouchers when funds are obligated.  OCFO/AS automatically destroys original commercial freight and passenger vouchers and the supporting documents thereto when they are six (6) years old after the fiscal year period of the account.  OCFO/AS retains for ten (10) years old, commercial freight and passenger transportation vouchers and the material related thereto involving overcharges, involving litigation, or other conditions that prevent settling the vouchers concerned.  When three (3) years old after the year in which the collection transaction is completed, OCFO/AS automatically destroys unused ticket redemption forms, such as a SF 1170.

GRS 9, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Noncommercial Reimbursable Travel Files

Temporary

OCFO/AS establishes and maintains the Noncommercial Reimbursable Travel Files of the Commission.  These files consist of a folder for each individual authorized to and reimbursed by the Commission for performing travel official for the Commission containing copies of records such as travel orders, per diem vouchers, and all other supporting documents.  The folders in the files are arranged alphabetically by the individual travelers last name.

Noncommercial Reimbursable Travel File documents are temporary records. The travel records that are filed in the Noncommercial Reimbursable Travel Files folders are filed in chronological order in the folder and kept in the folder for six (6) years.  Travel records that are six (6) years old are removed from the folders and automatically destroyed by OCFO/AS.

GRS 9, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

General Travel and Transportation Files

Temporary

OCFO/AS establishes and maintains the General Travel and Transportation Files of the Commission.  These files contain routine administrative records including correspondence, forms, and related records concerning the commercial and noncommercial travel and transportation and freight functions of the Commission.

OCFO/AS retains routine administrative records in the General Travel and Transportation Files for two (2) years, and accountability records documenting the issue or receipt of accountable documents for one (1) year until all entries are cleared.  After that, OCFO/AS removes the closed records from the files and automatically destroys them.

GRS 9, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Official Passports Application Files

Temporary

OCFO/AS establishes and maintains the Official Passports Application Files of the Commission.  These files consist of a folder for each individual containing documents relating to the issuance of official passports to them, including requests for passports, transmittal letters, receipts, and copies of travel authorizations to perform foreign travel for the Commission.

OCFO/AS usually keeps an individuals official passport folder for three (3) years.  After that, OCFO/AS automatically destroys the three (3) year old folder or upon separation of the individual, whichever is sooner.

GRS 9,

Item no. 5  (a)

Office of the Chief Financial Officer (OCFO/AS)

Annual Reports Concerning Official Passports

Temporary

OCFO/AS establishes and maintains the Annual Reports Concerning Official Passports file of the Commission.  The file contains the official copy of record of the Commissions annual reports to the Department of State concerning official passports issued to individuals for foreign travel sponsored by the Commission.  The report concerns the number of official passports issued and related matters.

OCFO/AS keeps the Commissions official copy of record of its annual official passport report to the Department of State in the Annual Reports Concerning Official Passports file for one (1) year after the date of issuance.  After that, OCFO/AS removes the expired report from the file and automatically destroys it.

GRS 9,

Item no. 5 (b)

Office of the Chief Financial Officer (OCFO/AS)

Lost or Damaged Shipments Files

Temporary

OCFO/AS establishes and maintains the Lost or Damaged Shipments Files of the Commission.  These files contain the official copy of record of schedules of valuables shipped, correspondence, reports and other records relating to the administration of the Government Losses in Shipment Act by the Commission.

OCFO/AS keeps the records in the files for six (6) years from the date of the Commissions final action concerning the shipment to which the records relate After that OCFO/AS removes the closed records from the files and automatically destroys them.

GRS 9, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Non-Federally Funded Travel

Temporary

OCFO/AS establishes and maintains the Commissions Non-Federally Funded Travel file.   The Commissions Non-Federally Funded Travel file contains the official copy of record of the Semiannual Expense Reports for Non-Federally Funded Travel submitted by the Commission to the Office of Government Ethics.  The reports and materials related thereto summarize payments made to the agency from non-federal sources for travel, subsistence, and related expenses for a Commission employee who attends a meeting or similar function relating to their official duties.

OCFO/AS keeps the statements, forms, and other records used to compile the Semiannual Expense Report for Non-Federally Funded Travel for one (1) year after submission of the report to the Office of Government Ethics, and then removes from the Commissions Non-Federal Funded Travel file and automatically destroys this backup material.  The Semiannual Expense Reports for Non-Federally Funded Travel are kept by OCFO/AS in the Non-Federal Funded Travel file for four (4) years from the date of their submission to the Office of Government Ethics.

GRS 9, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Federal Employee Transportation Subsidy Records

Temporary

The Federal Employee Transportation Subsidy Records file is maintained by OCFO/AS.  The Federal Employee Transportation Subsidy Records  file contains documents either in paper or electronic form relating to the disbursement of transportation subsidies to Commission employees, including applications of employees no longer in the program, superceded applications, certification logs, copies of vouchers, spreadsheets, and other forms used to document the disbursement of subsidies.

These records are kept by OCFO/AS until they are three (3) years old.  After that, OCFO/AS removes the closed records from the file and automatically destroys them.

GRS 9, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Correspondence Files

Temporary

OCFO/AS establishes and maintains the Motor Vehicle Correspondence Files of the Commission.  These files consist of the Commissions official copy of record of the incoming and outgoing correspondence and material related thereto concerning the maintenance and operation of the motor vehicles used by the Commission in the headquarters and field offices.

OCFO/AS maintains the correspondence in the file until it is two (2) year old.  After that, OCFO/AS removes the expired correspondence from the file and automatically destroys it.

GRS 10, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Operating and Maintenance Files

Temporary

The Motor Vehicle Operating and Maintenance Files of the Commission are maintained by OCFO/AS.  These files consist of operating records including those relating to gas and oil consumption, dispatching, and scheduling.  Including maintenance records, and those relating to services and repairs. 

The operating records for the motor vehicles used by the Commission are kept by OCFO/AS in the Motor Vehicle Operating and Maintenance Files until they are three (3) months old.  After that, OCFO/AS removes the closed records and automatically destroys them onsite.  Maintenance records, including those relating to service and repair, are kept in the files until they one (1) year old when they are removed from the files and automatically destroyed by OCFO/AS.

GRS 10, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Report Files

Temporary

The Commissions Motor Vehicle Report Files are maintained by OCFO/AS.  These files consist of the official copy of record of the reports on motor vehicles (other than accident, operating, and maintenance reports), including SF 82, Agency Report of Motor Vehicle Data, issued by the Commission.

OCFO/AS retains the official copy of record of the Commissions reports on motor vehicles in the Motor Vehicle Report Files until they are three (3) years old.  After that, the expired reports are removed from the files and automatically destroyed by OCFO/AS.

GRS 10. Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Cost Files

Temporary

The Commissions Motor Vehicle Cost Files contains the Commissions official copy of record of the motor vehicle ledger and worksheets providing cost and expense data on the motor vehicles used by the Commission.  OCFO/AS establishes and maintains these files.

Three (3) years after discontinuance of the ledger or date of worksheet, OCFO/AS removes the expired ledger and worksheets from the files and automatically destroys them.

GRS 10, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Accident Files

Temporary

The Motor Vehicle Accident Files of the Commission are established and maintained by OCFO/AS.  These files consist of a folder for each accident involving a motor vehicle used by the Commission.  Each folder contains the Commissions official records relating to the motor vehicle accidents, including SF 91, Motor Vehicle Report, investigative reports, and SF 94, Statement of Witness.

OCFO/AS retains the accident case file for six (6) years after the case is closed.  After that, OCFO/AS removes the case files from the Motor Vehicle Accident Files and automatically destroys them onsite.

GRS 10, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Release Files

Temporary

The Commissions Motor Vehicle Release Files consist of the record copy of records relating to the transfer, sale, donation, or exchanged of vehicles of the Commission, including the SF 97, The United States Government Certificate to Obtain Title to a Motor Vehicle.  These files are established and maintained by OCFO/AS.

OCFO/AS retains these records for four (4) years after a vehicle leaves Commissions custody.  After that, OCFO/AS removes the closed records from the files and automatically destroys them.

GRS 10, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Motor Vehicle Operator Files

Temporary

OCFO/AS establishes and maintains the Commissions Motor Vehicle Operator Files for the individual employees in the headquarters and field that operate Government -owned vehicles used by the Commission.  The Motor Vehicle Operator Files consist of a folder for each individual employee who operates Government-owned vehicles used by the Commission, including the Commission record copy of the employees driver tests, authorization to use, safe driving awards, and related correspondence about the employee.

OCFO/AS retains the individual folders until three (3) years after the employees separation from the Commission or three (3) years after recision of the employees authorization to operate Government-owned vehicles, whichever is sooner.  After that, OCFO/AS removes the individuals driver folder from the files and automatically destroys the expired folder.

GRS 10, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Space and Maintenance General Correspondence Files

Temporary

OCFO/AS establishes and maintains the Space and Maintenance General Correspondence Files of the Commission.  These files consist of the original incoming and record copies of outgoing and interoffice correspondence, and related papers, arising from the Commissions administration and operation space and maintenance activities in the headquarters and field offices.

OCFO/AS retains the correspondence in the Space and Maintenance General Correspondence Files for two (2) years from the date of the Commissions final action relating to the correspondence.  After that, OCFO/AS automatically destroys the two (2) year-old correspondence and material related thereto.

GRS 11, Item no.1

Office of the Chief Financial Officer (OCFO/AS)

Commission Space Files

Temporary

OCFO/AS establishes and maintains the Commission Space Files.    These files consist of the record copy of records created or received by the Commission that relates to the allocation, utilization, and release of space under the control of the Commission, and the related reports to the General Services Administration (GSA).

OCFO/AS retains the building plan files, surveys, and other records utilized in space planning, assignment, and adjustment for two (2) years after termination of assignment, or when leases are canceled, or when plans are superseded or obsolete.   Correspondence between the Commission and GSA relating to space holdings and requirements of the Commission, including reports by the Commission to the GSA and Standard Form (SF) 81, Request for Space, and equivalent and related documents are retained until they are two (2) years old.  When the retention periods for these records have expired, OCFO/AS automatically destroys them.

GRS 11, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Directory Service Files

Temporary

The Commissions Directory Service Files are maintained by OCFO/AS.  These files consist of the original incoming and outgoing correspondence, and material related thereto, and forms created and received in the headquarters and field offices relating to the compilation of directory service listings of the Commission.

OCFO/AS retains the correspondence, forms, and other records relating to the compilation of directory service listings until they two (2) months old after issuance of the listing to which the materials pertain to.  After that, OCFO/AS automatically destroys the expired material onsite.

GRS 11, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Credentials Files

Temporary

OCFO/AS maintains the Credentials Files of the Commission.  These files contain official copies of identification credentials, including returned identification credentials, and related papers alphabetically arranged.  Receipts, indexes, listings, and other accountable records related to the identification credentials are also kept in the files.

OCFO/AS retains identification credentials including cards, badges, parking permits, photographs, permits to operate motor vehicles, and property and visitors passes, and any other identification credentials for three (3) months after their return to the Commission.

GRS 11, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Building and Equipment Service Files

Temporary

OCFO/AS establishes and maintains the Building and Equipment Service Files of the Commission.   These files consist of the requests from the headquarters and field offices for building and equipment maintenance services, excluding fiscal copies.

After the requested work is performed or requisition is canceled, OCFO/AS retains the requests and material related for three (3) months and then automatically destroys the expired or canceled requisitions.

GRS 11, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Messenger Service Files

Temporary

OCFO/AS establishes and maintains the Messenger Service Files of the Commission.  These files consist of the daily logs, assignment records and instructions, dispatch records, delivery receipts, route schedules, and related records.

OCFO/AS retains the record copy of the material contained in the Messenger Service Files until they are two (2) months old or when no longer administratively needed, whichever is later.  After that OCFO/AS removes the expired material from the files and automatically destroys them.

GRS 12, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Post Office and Private Mail Company Records File

Temporary

OCFO/AS establishes and maintains the Post Office and Private Mail Company Records File of the Commission.  The file contains record copies of post office and private mail company forms and supporting papers, such as records relating to incoming and outgoing registered mail pouches, registered, certified, insured, overnight, express, and special mail including receipts and return receipts.  The file also contains the record copy of applications for registration and certification of declared value mail, and any reports of loss, rifling, delayed or late delivery, wrong delivery, or other improper treatment of mail.

Records relating to incoming and outgoing registered mail pouches, registered, certified, insured, overnight, express, and special mail including receipts and return receipts are retained until they one (1) year old.  Applications for registration and certification of declared value mail are retain in the file until they are one (1) year old.  Reports of loss, rifling, delayed or late delivery, wrong delivery, or other improper treatment are kept in the file until they one (1) year old.  After that OCFO/AS removes the closed records from the file and automatically destroys them onsite.

GRS 12, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Mail and Delivery Service Control Files

Temporary

The Mail and Delivery Service Control Files of the Commission are maintained by OCFO/AS.  These files contain the official copy of record of:

-Records of receipt and routing of incoming and outgoing mail and items  handled by private delivery companies such as United Parcel Service, excluding any private mail company;

-Statistical reports of postage used on outgoing mail and fees paid for private deliveries (special delivery, foreign, registered, certified, and parcel post or packages over 4 pounds);

-Requisitions for stamps (exclusive of copies used as supporting documents to payment vouchers);

-Statistical reports and data relating to handling of mail and volume of work performed;

-Records relating to checks, cash, stamps, money orders or any other valuables remitted to the Commission by mail;

-Records of and receipts for mail and packages received through the Official Mail and Messenger Services;

-General files including correspondence, memoranda, directives, and guides relating to the administration of mail room operations; and

-Locator cards, directories, indexes, and other records relating to mail delivery to individuals.

OCFO/AS retains the official copy of record of postage statistical reports, official mail and messenger service records and receipts, including requisitions for stamps, until they are six (6) months old.  Statistical reports relating to the handling of mail and volume of work performed, the receipt and routing of incoming mail and outgoing mail and other items by private delivery companies, records relating to checks, cash, stamps, money orders or any other valuables remitted to the Commission by mail, and records of and receipts for mail and packages received through the Official Mail and Messenger Services are retained until they are one (1) year old.  Locator cards, directories, indexes, and other records relating to mail delivery to individuals are kept in the Mail and Delivery Service Control Files until they are five (5) months old after separation or transfer of individuals to which the records pertain to or when obsolete, whichever is applicable.

GRS 12, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Metered Mail Files

Temporary

OCFO/AS establishes and maintains the Metered Mail Files of the Commission.  These files contain the official copy of record of official metered mail reports by the Commission and all related papers

The record copy of the official metered mail reports and all related papers thereto are kept in the Metered Mail Files until they are six (6) years old.

GRS 12, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Postal Irregularities File

Temporary

The Postal Irregularities File of the Commission is maintained by OCFO/AS.  The file contains the official copy of record of outgoing and original incoming memoranda, correspondence,  reports, and other records relating to the irregularities in the handling of mail, such as loss or shortage of postage stamps or money orders, or loss or destruction of mail.

OCFO/AS retains the material contained in the file for three (3) years after completion of investigation of the postal irregularity to which the records in the file pertain.  After that, OCFO/AS removes the expired material from the file and automatically destroys them onsite.

GRS 12, Item no. 8

Office of the Chief Financial Officer (OCFO/AS)

Printing, Binding, Duplication and Distribution Administrative Correspondence Files

Temporary

OCFO/AS establishes and maintains the Administrative Correspondence Files of the Commission relating to printing, binding, duplication, and distribution of printed materials of the Commission.  The files contains correspondence, files pertaining to OCFO/AS administration and operation of the printing, binding, duplication, and distribution of printed materials in the Commission.

OCFO/AS retains the material in the file until they are two (2) years old from the material receipt and/or issuance.

GRS 13, Item no. 1

Office of the Chief Financial Officer  (OCFO/AS)

Printing, Binding, Duplication and Distribution Project Files

Temporary

OCFO/AS establishes and maintains the Printing, Binding, Duplication and Distribution Project files of the Commission.  These files contain the record copy of job or project records containing records relating to the planning and execution of printing, binding, duplication, and distribution jobs in support of the headquarters and field offices.

-Files pertaining to the accomplishment of the job, containing requisitions, bills, samples, manuscripts clearances, and related document exclusive of (1) requisitions on the Public Printer and related records; and (2) records relating to services obtained outside the agency.

-Files pertaining to planning and other technical matters.

OCFO/AS retains the files pertaining to the accomplishment of the job, containing requisitions, bills, samples, manuscript clearances, and related document exclusive of (1) requisitions on the Public Printer and related records; and (2) records relating to services obtained outside the agency for one (1) year after completion of the job concerned.  After that, OCFO/AS automatically destroys the expired material contained in the files.

OCFO/AS keeps the materials contained in the files pertaining to the planning and other technical matters pertaining to the printing, binding, duplication, and distribution of printed materials functions in the Commission until they are three (3) years old.  When three (3) years old, OCFO/AS automatically destroys the expired material onsite.

GRS 13, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Printing, Binding, Duplication and Distribution Control Files

Temporary

OCFO/AS establishes and maintains the Printing, Binding, Duplication and Distribution Control Files of the Commission.  The files contain the control registers pertaining to requisitions and work orders for printing, binding, duplication, and distribution of the Commissions printer material.

OCFO/AS keeps the material in the files until they are one (1) year old after close of the fiscal year in which compiled or one (1) year after filing of register, whichever is applicable.

GRS 13, Item no. 3

Office of the Chief Financial Officer (OCFO/AS)

Printing, Binding, Duplication and Distribution of Printed Material Mailing Lists

Temporary

OCFO/AS establishes and maintains the mailing lists for the distribution of printed materials of the Commission.  The file contains correspondence, request forms, card lists and other records relating to changes in the mailing lists.

OCFO/AS keeps card lists in the Mailing Lists file until the individual cards are canceled or revised.  When canceled or revised, the cards are automatically destroyed by OCFO/AS.  The correspondence, request forms, and other records relating to changes to the Commissions mailing list of printed materials are retained until the appropriate revision of the mailing list concerned or after three (3) months, whichever is sooner.

GRS 13, Item no. 4 (a)

Office of the Chief Financial Officer (OCFO/AS)

Joint Committee on Printing (JCP) Reports Files

Temporary

OCFO/AS establishes and maintains the Joint Committee on Printing (JCP) Reports Files of the Commission.  The files contain reports to Congress and related records.

The reports are automatically destroyed by OCFO/AS when they are three (3) years old.

GRS 13, Item no. 5 (a)

Office of the Chief Financial Officer (OCFO/AS)

Printing, Binding, Duplication and Distribution of Printed Material Internal Management Files

Temporary

The Printing, Binding, Duplication and Distribution of Printed Material Internal Management Files of the Commission are maintained by OCFO/AS.  The files contain the record copy of all records relating to the internal management and operation of the Commissions printing, binding, duplication, and distribution of printed material function.

OCFO/AS retains these records until they are two (2) years old when OCFO/AS automatically destroys the closed records onsite.

GRS 13, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Directive Case Files

Temporary

OCFO/AS establishes and maintains the Directive Case Files of the Commission.  The files consist of a separate file folder for the record copy of each internal directive issued at the headquarters level with supporting documents documenting the Commissions regulations, organization, functions, policy, authority, and other important subject matters such as general management, management programs, compliance, etc.

OCFO/AS keeps each directive case file in the Directive Case Files for five (5) years after supersession or rescission of the directive to which the case file pertains to. 

After that, OCFO/AS automatically transfers the five (5) year old superceded or receded directive case files to the Federal Records Center.  Ten (10) years after transferring the superceded or receded directive case files to the Federal Records Center, OCFO/AS offers them to NARA as permanent records.

All other copies, which include duplicate copies, working papers, and supporting case files of directives may be automatically destroyed by OCFO/AS when the directive concerned is obsolete, superseded, or when no longer needed for administrative purposes.

NCI-403-79-01

RCS, Item no. 11 A

Office of the Chief Financial Officer (OCFO/AS)

Administrative Issuances

Temporary

OCFO/AS establishes and maintains the Administrative Issuances file of the Commission.  The file contains the record copy of notices and other types of issuances related to routine administrative functions (e.g., payroll, procurement, personnel, etc.) of the Commission, including the case files containing the material documenting aspects of the development of the issuance.

OCFO/AS retains the administrative issuances in the file until superceded or obsolete when OCFO/AS automatically destroys them.  Any case files related to notices and other types of issuances related to routine administrative functions of the Commission are kept by OCFO/AS in the Administrative Issuances file until the issuance the case file pertains to is superceded or obsolete when OCFO/AS automatically destroys the case file concerned.

[Procedural and operating manuals, publications and management improvement reports submitted to the Office of Management and Budget, and the case files documenting their development are potentially permanent records and must be scheduled through OCFO/AS by submission of an SF 115 to NARA.]

GRS 16, Item no. 1

Office of the Chief Financial Officer (OCFO/AS)

Records Disposition Files

Temporary

OCFO/AS establishes and maintains the Records Disposition Files of the Commission.  The Records Disposition Files contain basic documentation concerning the administration and operation of the Commissions records description and disposition programs.  The basic documentation includes SF 115s, Request for Records Disposition Authority; SF 135s, Records Transmittal and Receipt; SF 258, Agreement to Transfer Records to National Archives of the United States; and related documentation.

The record copies of the SF 115s approved by NARA are kept by OCFO/AS in the Records Disposition Files of the Commission until they are two (2) years old after the date of supersession.  

After that, OCFO/AS removes the expired SF 115s from the file and automatically destroys them onsite.  Excluding correspondence and memoranda, OCFO/AS keeps all other records filed in the Records Disposition Files until they are six (6) years old after the related records are destroyed or after the related records are transferred to the National Archives of the United States, whichever is applicable. 

Incoming and outgoing record copy of routine correspondence and memoranda concerning the Commissions records disposal function is kept in the Records Disposition Files until they are two (2) years old when OCFO/AS automatically destroys them onsite.

GRS 16, Item no. 2

Office of the Chief Financial Officer (OCFO/AS)

Forms Files

Temporary

The Forms Files of the Commission are established and maintained by OCFO/AS.  These files consists of an individual file folder for the record copy of each form created by the Commission with the instructions and documentation showing inception, scope, and purpose of the form.  The background materials, requisitions, specifications, processing data, and controls about each form are also filed in the file folder for the form to which the folder pertains.  The files are arranged by form number.

OCFO/AS keeps individual forms file folders in the Forms Files until they are five (5) years old after the date the forms to which the files pertain to have been discontinued, superceded, or canceled.  After that, OCFO/AS removes the expired forms file folder from the Forms Files and automatically destroys the expired forms file folder onsite.

GRS 16, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Records Holding Files

Temporary

OCFO/AS establishes and maintains the Records Holdings Files of the Commission.  These files consist of record keeping copies of statistical reports of the Commissions records holdings, including feeder reports from all headquarters and field offices and data on the volume of records disposed of by destruction or transfer.

The record copies of the Commissions statistical reports on Commission-wide record holdings are kept by OCFO/AS in the Records Holding Files until they are three (3) years old from the date of issuance.  After that, OCFO/AS automatically destroys the expired reports and supporting documentation thereto onsite.

GRS 16, Item no. 4

Office of the Chief Financial Officer (OCFO/AS)

Administrative Management Activities Project Control Files

Temporary

OCFO/AS maintains the Administrative Management Activities Project Control Files of the Commission.  The file contains memoranda, reports, and other records documenting assignments, progress, and completion of projects relating to the administrative management activities in the Commission, excluding records of operating personnel, budget, accounting, and printing functions, which other files and records cover.

OCFO/AS maintains the record copy of the materials kept in the Management Activities Project Control Files for one (1) year after the year in which the project is closed when OCFO/AS then automatically destroys the expired material onsite.

GRS 16, Item no. 5

Office of the Chief Financial Officer (OCFO/AS)

Reports Control Files

Temporary

OCFO/AS maintains the Commissions Reports Control Files.  These files consist of individual file folders for reports created or proposed by the Commission, including public use reports.  The folders contain clearance forms, including OMB Form 83 (formerly SF 83); copies of pertinent forms or descriptions of format; copies of authorizing directives; preparation instructions; and documents relating to the evaluation, continuation, revision, and discontinuance of reporting requirements.

OCFO/AS keeps individual reports control case files in the Reports Control Files until they are two (2) years old after the date the forms to which the files pertain to have been discontinued, superceded, or canceled.  After that, OCFO/AS removes the expired forms file folder from the Forms Files and automatically destroys the expired forms file folder onsite.

GRS 16, Item no. 6

Office of the Chief Financial Officer (OCFO/AS)

Records Management Files

Temporary

OCFO/AS establishes and maintains the Records Management Files of the Commission.  These files consist of record copies of outgoing and original incoming correspondence, reports, authorizations, and other records that relate to the management of the records of the Commission, including such matters as forms, correspondence, reports, mail, and files management; the use of microforms, ADP systems, and work processing; records management surveys; vital records programs; and all other aspects of records management not covered elsewhere in the Order.

OCFO/AS keeps the material contained in the Records Management Files until they are six (6) years old when OCFO/AS removes the expired material and automatically destroys it onsite.

GRS 16, Item no. 7

Office of the Chief Financial Officer (OCFO/AS)

Committee and Conference Files

Temporary

OCFO/AS establishes and maintains the Committee and Conference Files of the Commission, excluding the Commission Meetings File kept by the Executive Secretariat.  These files consist of record keeping copies of the records relating to the establishment, organization, membership, and policy of the Commissions internal committees, interagency, advisory or international committees, or Federal Advisory Committee Act committees.

All of the individual file folders of the Committee and Conference Files are arranged alphabetically by subject and chronologically by the date or period during which the meeting was conducted that the folder pertains to.

Internal Committees.  OCFO/AS keeps the individual file folders for each internal committee meeting in the Committee and Conference Files until are they are three (3) years old.  After that, OCFO/AS removes the expired folders from the files and OCFO/AS onsite automatically destroy the folders

Sunshine Act Committee and Conferences.  File folders in the Committee and Conference Files containing records created by the Commission to comply with the provisions of the Government in the Sunshine Act are permanent.  Therefore, OCFO/AS automatically transfers the file folders containing such records to the Federal Records Center when they are five (5) years old.  When the records are twenty (20) years old, OCFO/AS offers them to NARA for permanent retention.

Federal Advisory Committee Act Committees.  OCFO/AS keeps the file folders for individual committees established by the Commissions Committee Management Officer(s)  under the Federal Advisory Committee Act, including the record copies of charters, membership lists, agendas, policy statements, and material required to be available for public information, until they are five (5) years old after the date of termination of the committee concerned.  After that, the five (5) year old file folders are removed from the Committee and Conference Files by OCFO/AS and automatically destroyed.

GRS 16, Item no. 8

Office of the Chief Financial Officer (OCFO/AS)

Administrative Management Feasibility Studies

Temporary

OCFO/AS maintains the Feasibility Studies file of the Commission.   This file consists of an individual file folder for each feasibility study conducted by the Commission before the installation of any technology or equipment associated with information management systems, including major changes of these systems, such as word processing, copiers, micrographics, and communications.

OCFO/AS keeps each Feasibility Studies file in the Feasibility Studies files until it is five (5) years old after the date of completion or cancellation of the study to which the individual file pertains to.  After that, OCFO/AS removes the expired file from the Feasibility Studies files and automatically destroys it onsite.

GRS 16, Item no. 9

Office of the Chief Financial Officer (OCFO/AS)

Microform Inspection Records

Temporary

OCFO/AS maintains the Microform Inspection Records file of the Commission.  This file consists of the official copy of record of inventories, logs, and reports documenting the inspection of the permanent and temporary microform records of the Commission, as required by 36 CFR Part 1230.

The microform inspection records for permanent records are kept for one (1) year after that the records pertain to are transferred to the National Archives.  The inspection records for temporary microform records are kept in the file until they are two (2) years old or when superceded, whichever is later.  After that, OCFO/AS removes the closed records from the file and automatically destroys them onsite.

GRS 16, Item no. 10

Office of the Chief Financial Officer (OCFO/AS)

IRM Triennial Review Files

Temporary

OCFO/AS maintains the IRM Triennial Review Files of the Commission.   The file consists of the official copies of record of reports by the Commission required by the General Services Administration concerning reviews of the Commissions information resource management practices.  Included are associated correspondence, studies, directives, feeder reports, and monitoring surveys and reports.

OCFO/AS keeps the reports in the IRM Triennial Review Files until they are seven (7) years old.  After that, OCFO/AS removes the expired reports from the files and automatically destroys them onsite

GRS 16, Item no. 11

Office of the Chief Financial Officer (OCFO/AS)

Information Collection Budget Files

Temporary

OCFO/AS maintains the Commissions Information Collection Budget Files.  These files contain the official copies of records of the reports by the Commission required by the Office of Management and Budget under the Paperwork Reduction Act.  The reports are about the number of hours the public spends fulfilling Commission reporting requirements.  Included are feeder reports, report exhibits, correspondence, directives, and statistical compilations.

The reports are kept in the files by the OCFO/AS until they are seven (7) years old from the date of their issuance.  After that, OCFO/AS removes the expired reports from the files and automatically destroys them onsite.

GRS 16, Item no. 12

Office of the Chief Financial Officer (OCFO/AS)

Documents Published in the Federal Register

Temporary

OCFO/AS establishes and maintains the Documents Published in the Federal Register files containing the official copy of records documenting the processing of notices announcing committee meetings, including meetings open to the public under the Government in Sunshine Act; hearings and investigations; delegations of authority; and other matters that are not codified in the Code of Federal Regulations.

The record keeping copies of the material in these files are kept until they are one (1) year-old while files documenting the processing of the Commissions semiannual regulatory agenda are kept until they are two (2) years old.    After that, OCFO/AS removes the files containing the expired material and automatically destroys them locally.

GRS 16, Item no. 13

Office of the Chief Financial Officer (OCFO/AS)

Organizational and Functional Records

Permanent

OCFO/AS maintains the Organizational and Functional Records file of the Commission.   The file consists of the official copy of record of the Commissions organizational charts; delegations of authority; and special reports and studies that document the origin, administrative development and past and present organizational structure of the Commission.  The materials contained in the file are arranged alphabetically by subject.

The record copies in the Commissions Organizational and Functional Records are permanent records. The record copies of the materials in the Organizational and Functional Records file is kept in the file for one (1) year after the date of the material issuance.  After that, they may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OCFO/AS; or

-Moved to a NARA compliant commercial or other federal agency record storage facility or Federal Records Center; or

-Transferred to the Federal Records Center.

When the materials in the file are five (5) years old, OCFO/AS automatically transfers the five year old material to the Federal Records Center to later offer to NARA when the material is ten (10) years old as permanent records.

NCI-403-79-01

RCS, Item no. K

Office of the Chief Financial Officer (OCFO/AS)

Audiovisual Records-Routine Surveillance Footage

Temporary

OCFO/AS maintains the Routine Surveillance Footage audiovisual records of the Commission. 

Motion Pictures.  OCFO/AS maintains motion picture routine surveillance footage until it is six (6) months old and then automatically destroys them.

Video Recordings.   Video recordings of routine surveillance footage are also kept by OCFO/AS until they are six (6) months when OCFO/AS automatically destroys the recordings locally.

GRS 21,  Item no. 11

GRS 21,  Item no. 18

Office of the

Chief Financial

Officer

(OCFO/AS)

Management Control

Review Files -

Corrective Action

Temporary

OCFO/AS maintains the Review Files for the management control records of the Commission. The files consist of correspondence, reports, action copies of audit findings, and other records that identify program internal control weaknesses, and corrective actions taken to resolve such problems.

OCFO/AS keeps the record copy of the material in the files until it is five (5) years old after the cutoff when no further corrective action is necessary. After that, OCFO/AS automatically destroys the closed records.

Copies maintained by other offices as internal reviews are cut off when no further corrective action is necessary. After the cutoff, the reviewing office automatically destroys the cutoff records one (1) year after the cutoff.

GRS 16, Item no. 14 (f)

Office of Research, Information and Planning (ORIP)

General Correspondence File

Temporary

ORIP establishes and maintains a General Correspondence File for ORIP.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the ORIP exists, rather than its internal administration or housekeeping activities.  ORIP arranges the correspondence in the file chronologically and alphabetically by issue/subject.

ORIP establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, ORIP should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File material may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Research, Information and Planning specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer (OCFO/AS); or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, ORIP either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Research, Information and Planning (ORIP)

Management Control Policy, Procedures, and Guidance Files

Temporary

ORIP maintains the Policy, Procedures, and Guidance Files for the management control records of the Commission.  These files contain the record keeping of internal directives maintained by the Commissions internal control staff, but not those copies maintained in the Commissions official file of internal directives; external directives such as OMB Circular OMB A-123; and correspondence outlining policy and procedure for performing management reviews.

[Records created in accordance with procedures mandated by OMB Circular A-123, Management Accountability and Control Systems, and Pub.L. 97-255, the Federal Managers Financial Integrity Act.  Under these authorities, agencies are required to perform evaluations of their accounting and administrative controls to prevent waste, fraud, and mismanagement.]

ORIP keeps the record keeping copies of the material contained in these files until they are superseded.  After that, ORIP removes the expired material from the files and automatically destroys it locally.

GRS 16,  Item no. 14 (a)

Office of Research, Information and Planning (ORIP)

Management Control Plans

Temporary

ORIP maintains the Management Control Plans file of the Commission.  This file consists of the official copy of record of the comprehensive plans established by the Commission documenting its efforts to ensure compliance with OMB Circular A-123.

The plans are kept in the file until they are superseded.  After that, ORIP removes the expired plans from the file and automatically destroys them locally.

GRS 16,  Item no. 14 (b)

Office of Research, Information and Planning (ORIP)

Management Control Risk Analyses

Temporary

ORIP maintains the Risk Analyses file of the Commission.  This file consists of the official copy of record of the reports and supporting materials used to document review of program areas for susceptibility to loss or unauthorized use of resources, errors in reports and information, and illegal and unethical actions.

ORIP cuts off annually and automatically destroys the material in the file after completion of next review cycle.

GRS 16,  Item no. 14 (c)

Office of Research, Information and Planning (ORIP)

Management Control Annual Reports and Assurance Statements

Temporary

ORIP maintains the Annual Reports and Assurance Statements file of the Commission.  The reports and statements contained in the file are by headquarters and field offices that the Commission compiles into a single unified report for direct submission to the President or Congress.  Excluded are the official copies of record of the consolidated final reports submitted directly to the President or Congress.

ORIP cuts off annually and automatically destroys the material in the file after completion of  next review cycle.

GRS 16, Item no. 14 (d)

Office of Research, Information and Planning (ORIP)

Management Control Tracking Files

Temporary

ORIP maintains the manual and automated Tracking Files of Commission for managing the Commissions carrying out of OMB Circular A-123, and the Federal Managers Financial Integrity Act.

ORIP retains the material in the tracking files for one (1) year after the report is completed that the material pertains to when ORIP automatically destroys them onsite.

GRS 16, Item no. 14 (e)

Office of Research, Information and Planning (ORIP)

Management Control Review Files

Temporary

ORIP maintains the Review Files for the management control records of the Commission.  The files consist of correspondence, reports, action copies of audit findings, and other records that identify program internal control weaknesses, and corrective actions taken to resolve such problems. [OMB Circular A-123 provides for alternative internal control reviews under OMB Circulars A-76, A-127, or A-130.  Thus, this record keeping requirement applies to the official copies of record of these reviews, provided the Commission identifies them as alternative reviews in the Commissions management control plan.]

ORIP keeps the record copy of the material in the files until it is five (5) years old after the cutoff when no further corrective action is necessary.  After that, ORIP automatically destroys the closed records. 

Copies maintained by other offices as internal reviews are cut off when no further corrective action is necessary.  After the cutoff, the reviewing office automatically destroys the cutoff records one (1) year after the cutoff.

GRS 16, Item no. 14 (f)

Office of Research, Information and Planning (ORIP)

Program Performance and Review Files

Temporary

ORIP maintains the Program Planning and Control Files of the Commission.   These files consist of the official copy of record of documents supporting the program performance goals identified in the comprehensive management improvement program to be achieved with a specific time frame, which includes costs associated with implementation of program plans, analysis of the factors relating to resource expenditures, and program deficiencies and accomplishments.  For example, Performance Management System files, and Fiscal Year Review Files.

The record copies of the documents in the Program Planning and Control Files are kept in the files as active records until the close of the fiscal year to which they pertain to.  After the close of the fiscal year to which they pertain, ORIP may:

-Store them in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in ORIP specifically for the Commissions closed Program Performance and Review File materials; or

-Move the closed files to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the closed records to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the closed record copies from the Program Planning and Control Files are three (3) years old, ORIP automatically destroys or arranges for the destruction the closed records wherever they are temporarily kept.

NCI-403-79-01

RCS, Item no.  12.A.

Office of Research, Information and Planning (ORIP)

Research and Survey Files-

Temporary

ORIP maintains Research and Survey Files of the Commission.  These files contain the record copy of all material pertaining to the receipt, analysis and distribution of statistical reports from employers, local unions, and joint labor-management apprenticeship committees throughout the U.S. on employment trends or patterns; survey contracts and other related surveys to support the Commissions programs and operations.  The material contained in the files are arranged alphabetically by subject. 

 

NCI-403-79-01

RCS, Item no.  12.B.

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-1, Employer Information Reports 

Temporary

ORIP maintains the record copies of all EEO-1, Employer Information Reports, received by the Commission in the Research and Survey Files of the Commission.  The reports are by private employers with 100 or more employees regarding their work force that include information Title VII requires them to provide annually to the Commission.  The information in the reports includes number of employees, races, sex, job occupation, and number of persons included in each category.  [The EEO-1, Employer Information Report is a joint requirement by the Commission and OFCCP (Dept. Of Labor) and Small Business Administration]

Hard Copy (Paper) and Microfilmed Reports.  When ORIP receives paper reports, ORIP may microfilm the paper reports upon their receipt.  When ORIP verifies the paper reports have been microfilmed, ORIP may then destroy the paper reports that have been microfilmed and:

-Store the microfilm in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-1, Employer Information Reports; or

-Move the microfilm to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the microfilm to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the microfilm is ten (10) years old, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired microfilm.

NCI-403-75-01

RCS, Item no. 12 B

1 (a)

       

Non-microfilmed Reports.  Where ORIP receives paper reports and the reports are not microfilmed, upon compilation of the data in the reports ORIP may:

-Store the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-1, Employer Information Reports; or

-Move the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the paper reports are  ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired paper reports.

NCI-403-75-01

RCS, Item no. 12

B (1) (a) 3

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.    As stipulated in prior agreements between NARA and the Commission ORIP will annually offer to NARA all EEO-1, Employer Information Reports, ADP tape or other NARA approved substitute electronic media for permanent retention.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1 RCS, Item no. 12

B (1) (a) 4

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-2 Apprenticeship Information Reports

Temporary

ORIP maintains the record copies of all the EEO-2 Apprenticeship Information Reports received by the Commission in the Research and Survey Files of the Commission.  Joint labor-management apprenticeship committees file the reports regarding their apprenticeship programs that include information Title VII requires them to provide annually to the Commission.  The information in the reports includes number of apprentices, races, ethnic groups, sex, trade and year of apprenticeship and number of persons included in each category.

Record Copy.  Upon compilation of the data in the paper (hard copy) reports, ORIP may:

-Store the record copies of the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-2 Apprenticeship Information Reports ; or

-Move the record copies of the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer; or

-Transfer the record copies of the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the record copies of the paper reports are  ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired record copies of the paper reports.

NCI-403-75-1

RCS, Item no. 12

B (1) (b) 1

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.   As stipulated in prior agreements between NARA and the Commission ORIP will annually offer to NARA all EEO-2, Apprenticeship Information Reports ADP tape or other NARA approved substitute electronic media for permanent retention.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1 RCS, Item no. 12 B (1) (b) 2

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-2E, Apprenticeship Information Reports

Temporary

ORIP maintains the record copies of all the EEO-2E Apprenticeship Information Reports received by the Commission in the Research and Survey Files of the Commission.  Private employers operating apprenticeship programs file the reports regarding their apprenticeship programs that include information Title VII requires them to provide annually to the Commission.  The information in the reports includes number of employees, races, sex, ethnic groups, trade and year of apprenticeship, and number of persons included in each category.

Record Copy.  Upon compilation of the data in the paper (hard copy) reports, ORIP may:

-Store the record copies of the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-2E Apprenticeship Information Reports ; or

-Move the record copies of the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer; or

-Transfer the record copies of the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the record copies of the paper reports are ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired record copies of the paper reports.

NC1-403-75-1

RCS, Item no. 12

B (1) (c) 1

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.   As stipulated in prior agreements between NARA and the Commission ORIP will annually offer to NARA all EEO-2, Apprenticeship Information Reports ADP tape or other NARA approved substitute electronic media for permanent retention.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1RCS, Item no. 12 B

(1) (c) 2

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-3, Local Union Reports

Temporary

ORIP maintains the record copies of the EEO-3, Local Union Reports in the Research and Survey Files of the Commission.  The reports are by unions that include information Title VII requires them to provide biennially to the Commission.  The information in the reports includes membership, referrals and applicants by race/ethnic group and gender.

Record Copy.  Upon compilation of the data in the paper (hard copy) reports, ORIP may:

-Store the record copies of the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-3, Local Union Reports; or

-Move the record copies of the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer; or

-Transfer the record copies of the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the record copies of the paper reports are ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired record copies of the paper reports.

NCI-40375-1RCS, Item no. 12 B (1) (d) 1

   

Permanent

 

ADP Tape or other Electronic Media.  ORIP will annually offer to NARA all EEO-3, Local Union Report ADP tapes or other NARA approved substitute electronic media for permanent retention as stipulated in prior agreements between NARA and the Commission.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1RCS, Item no. 12 B

(1) (d) 2

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-4, State and Local Government Information Reports

Temporary

ORIP maintains the record copies of the Commissions Research and Survey Files EEO-4, State and Local Government Information Reports.  The reports are by State and local governments regarding their work force that include information Title VII requires them to provide the Commission.  The information in the reports includes number of employees, races, sex, job occupation, and number of persons included in each category.  [The EEO-4, State and Local Government Information Report is a joint requirement by the Commission and the Department of Housing and Urban Development, Department of Transportation, and Department of Justice.]

Hard Copy (Paper) and Microfilmed Reports.  When ORIP receives paper reports, ORIP may microfilm the paper reports upon their receipt.  When ORIP verifies the paper reports have been microfilmed, ORIP may then destroy the paper reports that have been microfilmed and:

-Store the microfilm in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-4, State and Local Government Reports; or

-Move the microfilm to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the microfilm to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the microfilm is ten (10) years old, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired microfilm.

NCI-403-75-1

RCS, Item no. 12 B

(1) (e) 1. 2.

Office of Research, Information and Planning (ORIP)

 

Temporary

 

Non-microfilmed Reports.  Where ORIP receives paper reports and the reports are not microfilmed, upon compilation of the data in the reports ORIP may:

-Store the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-4, State and Local Government Reports; or

-Move the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the paper reports are ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired paper reports.

NCI-403-75-1RCS, Item no. 12 B

(1) (e) 3

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.   ORIP will annually offer to NARA all EEO-4, State and Local Government Report ADP tapes or other NARA approved substitute electronic media for permanent retention as stipulated in prior agreements between NARA and the Commission.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1RCS, Item no. 12 B

 (1) (e) 4

Office of Research, Information and Planning (ORIP)

Research and Survey Files- EEO-5, Elementary and Secondary Staff Information Reports

Temporary

ORIP maintains the record copies of the Commissions Research and Survey Files EEO-5, Elementary and Secondary Staff Information Reports.  These reports are by elementary-secondary public school districts regarding their work force that include information Title VII requires them to provide biennially to the Commission.  The information in the reports includes number of employees, races, sex, job occupation, and number of persons included in each category.  [The EEO-5, Elementary and Secondary Staff Information Report is a joint requirement of the Commission and the Department of Education and Department of Justice.]

Hard Copy (Paper) and Microfilmed Reports.  When ORIP receives paper reports, ORIP may microfilm the paper reports upon their receipt.  When ORIP verifies the paper reports have been microfilmed, ORIP may then destroy the paper reports that have been microfilmed and:

-Store the microfilm in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-5, Elementary and Secondary Staff Information Reports; or

-Move the microfilm to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the microfilm to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the microfilm is ten (10) years old, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired microfilm.

NCI-403-75-1RCS, Item no. 12 B

(1) (f) 1. 2.

Office of Research, Information and Planning (ORIP)

     

Non-microfilmed Reports.  Where ORIP receives paper reports and the reports are not microfilmed, upon compilation of the data in the reports ORIP may:

-Store the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for EEO-5, Elementary and Secondary Staff Information Reports; or

-Move the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the paper reports are  ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired paper reports.

NCI-403-75-1RCS, Item no. 12 B (1) (f) 3

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.  ORIP will annually offer to NARA all EEO-5, Elementary and Secondary Staff Information Report ADP tapes or other NARA approved substitute electronic media for permanent retention as stipulated in prior agreements between NARA and the Commission.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1RCS, Item no. 12 B

(1) (f) 4

Office of Research, Information and Planning (ORIP)

Research and Survey Files- IPEDS-S (Formerly EEO-6) Higher Education Staff Information Reports

Temporary

ORIP maintains the record copies of the Commissions Research and Survey Files IPEDS-S (Formerly EEO-6) Higher Education Staff Information Reports.  These reports are by public and private institutions of higher education regarding their work force that include information Title VII requires them to provide biennially to the Commission.  The information in the reports includes work face data by race and ethnic categories, sex, length of contract, occupational categories and annual salary.  [The IPEDS-S (Formerly EEO-6) Higher Education Staff Information Report is a joint requirement of the Commission and Department of Education, Department of Justice, and OFCCP (Dept. Of Labor.]

Hard Copy (Paper) and Microfilmed Reports.  When ORIP receives paper reports, ORIP may microfilm the paper reports upon their receipt.  When ORIP verifies the paper reports have been microfilmed, ORIP may then destroy the paper reports that have been microfilmed and:

-Store the microfilm in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for IPEDS-S (Formerly EEO-6) Higher Education Staff Information Reports; or

-Move the microfilm to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the microfilm to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the microfilm is ten (10) years old, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired microfilm.

NCI-403-75-1RCS, Item no. 12 B

(1) (g) 1. 2.

Office of Research, Information and Planning (ORIP)

     

Non-microfilmed Reports.  Where ORIP receives paper reports and the reports are not microfilmed, upon compilation of the data in the reports ORIP may:

-Store the paper reports in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for IPEDS-S (Formerly EEO-6) Higher Education Staff Information Reports; or

-Move the paper reports to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer ; or

-Transfer the paper reports to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the paper reports are ten (10) years old after their due date, or when no longer needed for reference, whichever is later, ORIP automatically destroys or arranges for the destruction of the expired paper reports.

NCI-403-75-1RCS, Item no. 12 B

(1) (g) 3

Office of Research, Information and Planning (ORIP)

 

Permanent

 

ADP Tape or other Electronic Media.   ORIP will annually offer to NARA all IPEDS-S (Formerly EEO-6) Higher Education Staff Information Report ADP tapes or other NARA approved substitute electronic media for permanent retention as stipulated in prior agreements between NARA and the Commission.  ORIP should make all such offerings through the Office of the Chief Financial Officer.

NCI-403-75-1RCS, Item no. 12 B

(1) (g) 4

Office of Research, Information and Planning (ORIP)

Research and Survey Files- Data Sharing Agreements

Temporary

ORIP maintains the record copies of the Commissions Data Sharing Agreements with other agencies in the Commissions Research and Survey Files.  The agreements are arranged in the files alphabetically by agency.  The agreements are between the Commission and other federal, State and local government agencies to share statistical data on employment practices and trends, according to Commission prescribed data confidentiality requirements.

When the record copies of the agreements are one (1) year old, ORIP may:

-Store them in separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for the Commissions closed Data Sharing Agreements; or

-Move the record copies of the agreements to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer; or

-Transfer the record copies of the agreements to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When the record copies of the agreements are  ten (10) years old following their expiration ORIP automatically destroys or arranges for the destruction of the expired data sharing agreements.  ORIP may automatically destroy all other nonrecord keeping copies when no longer needed for reference.

NC1-403-79-1RCS, Item no. 12 B (2)

Office of Research, Information and Planning (ORIP)

Research and Survey Files- Research Project File

Temporary

ORIP maintains the Research Project File of the Commission.  The file consists of folders for each project arranged alphabetically by subject.  The folders contain record copies of all documentation reflecting a complete history of each project initiation through research and development to completion.  This includes, when created Commission personnel or contractors, procurement files, consisting of a copy of each

-contract or agreement for research services with related modifications, changes or addendums; initial and final proposals; project authorization documents;

-technical characteristics; progress reports; notice of completion or cancellation; and correspondence influencing the course of action taken on a project. For example, designs and specifications for EEO reports for survey contracts, and the monitoring of the projects for adherence to the terms of the contract.

Upon the completion of a research project, ORIP may:

-Store the file folder for the completed project in a separate letter-size two through five-drawer metal vertical or lateral filing cabinets with a lock specifically for the Commissions closed Research Project File folders; or

-Move the closed file folder and its contents to a NARA compliant commercial or other federal agency or other Federal Records Center arranged by the Office of the Chief Financial Officer; or

-Transfer the closed file folders and their contents to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer. 

When a closed Research Project File folder is five (5) years old following the completion of the project to which it pertains, ORIP automatically destroys or arranges for the destruction of the expired project file folders and their contents.   ORIP may automatically destroy all other non record keeping copies when no longer needed for reference.

NCI-403-79-1RCS, Item no. 12 B (3)

Office of Federal Operations (OFO)

Government Employment Programs-EEO General Files

Temporary

OFO establishes and maintains the Government Employment Programs-EEO General Files of the Commission.  The files are arranged alphabetically by subject and consist of general correspondence, plans, procedures and related records concerning all aspects of the equal employment opportunity programs of ADEA, EPA, Title VII, ADA, and Section 501 of the Rehabilitation Act, as amended.

OFO establishes and maintains the incoming and outgoing correspondence and material related thereto in the Government Employment Programs-EEO General Files for one (1) year.  After that, OFO should destroy all unofficial files/copies when no longer needed for reference, and the Offices official Government Employment Programs-EEO General Files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office specifically for the Commissions closed Government Employment Programs-EEO General Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Government Employment Programs-EEO General Files materials are three (3) years old, OFO either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Federal Operations (OFO)

Government Employment Programs-EEO Affirmative Action Plans

Temporary

OFO maintains the Commissions Government Employment Programs-EEO Affirmative Action Plans files.  These files are arranged geographically and by name of agency and consist of the EEO affirmative action plans submitted to the Commission by federal, state and local governments and public educational institutions, and correspondence relating to the Commissions review and approval of the individual plans.

OFO establishes and maintains the incoming and outgoing correspondence and material related thereto in the Government Employment Programs-EEO Affirmative Action Plans  for one (1) year. 

After that, OFO should destroy all unofficial files/copies when no longer needed for reference, and the Offices official Government Employment Programs-EEO Affirmative Action Plans files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office specifically for the Commissions closed Government Employment Programs-EEO Affirmative Action Plans files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the closed official files are two (2) years old, OFO automatically transfers them to the Federal Records Center, with the prior approval of the Office of the Chief Financial Officer, to later destroy when they five (5) years old.

GRS 1, Item no. 25 (h)

Office of Federal Operations (OFO)

Government Employment Programs-EEO Affirmative Action Program Reports

Temporary

OFO establishes and maintains the Government Employment Programs-EEO Affirmative Action Program Reports files of the Commission.  OFO arranges the files by quarter and by name of agencies.  The files contain record copies of the reports of onsite reviews by the Commission of Agency Affirmative Action Programs and correspondence relating thereto.

After the record copies of the reports are one (1) year old, OFO may:

-Store them a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for the Commissions closed Government Employment Programs-EEO Affirmative Action Program Reports material; or

-Move the closed records to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the closed records to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the closed records are five (5) years old, OFO automatically either destroys or arranges for the destruction of these records then.

GRS 1, Item no. 25 h (3)

Office of Federal Operations (OFO)

Appeals Records-Appellate Case Files

Permanent and Temporary

The Appellate Case Files of the Commission are maintained by OFO.  The files are arranged numerically by category and consist of appeals, petitions, requests for review, applications for interim relief, and requests to reopen Federal Agency, Merit Systems Protection Board and Equal Employment Opportunity Commission decisions involving equal employment opportunity matters.

The Office of Federal Operations retains appellate folders in the Appellate Case Files for one (1) year after the date of last action, including action in Federal Courts.  After that, OFO automatically transfers the one-year-old appellate files to the Federal Records Center to store until they are eligible for destruction three (3) years after their transfer.

NCI-403-79-1RCS, Item no. 16A

Office of Federal Operations (OFO)

Appeal Records-Control Cards and Logs

Temporary

OFO maintains the controls and logs for the Appellate Case Files of the Commission.  These are paper and electronic control card/forms, logs, and other cross reference indices to the appellate case files of the Commission.

OFO automatically destroys the paper and electronic controls and logs onsite when they are no longer needed for administrative purposes.

NCI-403-79-1

RCS, Item no. 16 B

Office of Federal Operations (OFO)

Appeal Records-Unsanitized Decisions

Temporary

OFO maintains the record copies of the unsanitized copies of all appellate decisions rendered by the Commission.

OFO automatically destroys the paper and electronic unsanitized copies of all appellate decisions rendered by the Commission when they are no longer needed for administrative purposes.

NCI-403-79-1

RCS, Item no. 16 C

Office of Federal Operations (OFO)

Appeal Records-Sanitized Decisions

Temporary

The Commission record copies of the sanitized copy of all appellate decisions rendered by it and decisions by the MSPB are maintained by OFO.  MSPB determines matters of discrimination prohibited by the laws administered by the Commission.

OFO automatically destroys the paper and electronic sanitized copies of all appellate decisions rendered by the Commission and MSPB when they are no longer needed for administrative purposes.

NCI-403-79-1

RCS, Item no. 16 D

Office of Field Programs (OFP)

General Correspondence File

Temporary

Except material that becomes part of an official charge/case file, the Office of Field Programs establishes and maintains a General Correspondence File for the Office of Field Programs.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Field Programs exists, rather than its internal administration or housekeeping activities.  The Office of Field Programs arranges the correspondence in the file chronologically and alphabetically by issue/subject.

OFP establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.

After that, OFP should destroy all unofficial files/copies when no longer needed for reference, which ORIP may destroy earlier when six (6) months old, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Field Programs specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, OFP either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Field Programs (OFP)

Compliance Records-Headquarters Subject File

Temporary

The Office of Field Programs maintains the Compliance Records-Headquarters Subject File of the Commission.  The file contains background papers, copies of charges and other supporting documents relating to the compliance process.

OFO automatically breaks the file annually and destroys locally the three (3) year-old material in the file.

NCI-403-79-1 RCS, Item no. 14.A.C.(2)

Office of Field Programs (OFP)

Compliance Records-Plans and Policy

Permanent

OFO maintains the Compliance Records-Plans and Policy files of the Commission.  These files are arranged alphabetically by subject and contain documents relating to the establishment of policy, direction, guidance and assistance in the compliance process.    Records include guidelines enunciating ADEA, EPA and/or Title VII related policy, policy interpretations of the equal employment opportunity laws and regulations, Commission rules and regulations published in the Federal Register, and other related matters to translate Commission policy.

OFP retains these records in the Compliance Records-Plans and Policy or one (1) year old.   After that, the one (1) year-old record copies of the materials in the files may be: 

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OFP specifically for the Commissions closed Compliance Records-Plans and Policy file  material; or

-Moved to a NARA compliant commercial or other federal agency warehouse arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

OFP may destroy locally all other non record copies when they are two (2) years old or when no longer needed for reference, whichever is later. 

When the record copy of a closed Compliance Records-Plans and Policy file is five (5) years old, OFP automatically transfers it to the Federal Records Center with the approval of the Office of the Chief Financial Officer.

When the closed files are fifteen (15) years old, OFP automatically offers them to NARA, through the Office of the Chief Financial Officer, for permanent retention.

NCI-403-79-1

RCS, Item no. 14 A

Office of Field Programs (OFP)

Compliance Records-Field Operations Review

Temporary

The Compliance Records-Field Operations Review files of the Commission are maintained by OFP.  The files are alphabetically by subject and consist of material generated through the monitoring of field management systems or plans to provide timely remedy or resolution of charges; development and refinement of charge processing procedures; and, evaluation of field offices and FEP agencies to ensure quality implementation of the charge processing system.

OFP breaks the Compliance Records-Field Operations Review files annually.  After that, OFP should destroy all unofficial files/copies when no longer needed for reference, and the Offices official files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OFP specifically for the Commissions closed Compliance Records-Field Operations Review material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Compliance Records-Field Operations Review material are three (3) years old, OFP destroys or arranges for the destruction of these records then.

NCI-403-79-1

RCS, Item no. 14 B

Office of Field Programs (OFP)

Compliance Records-Charges

 

Records pertaining to the compliance process which include receipt of complaints of job discrimination; investigation; conciliation with the employer, union, employment agency or labor management apprenticeship programs; compliance review; Commissioner charges; and general material pertaining to discrimination.  Record copies of documents, including forms and ADP data, created during the compliance process of a discrimination complaint are maintained in the official charge file.  The matrix applies to the headquarters and field offices of the Office of Field Programs.

 

NCI-403-79-1

Office of Field Programs (OFP)

Charge Files-Deferrals to State and Local Agencies

Permanent and Temporary

The Office of Field Programs maintains the charge files for all charges received by the Commission that have been forwarded to an FEP agency to process pursuant to the provisions of section 706(c) of title VII.  The files contain original charges by charging parties and record copies of all the incoming and outgoing documents arising from the deferrals. 

OFP uses the appropriate disposal authority for dismissal/closure charge files or settlement charge files or decision charge files.

NCI-403-79-1RCS, Item no. 14 D

Office of Field Programs (OFP)

Charge Files-Administrative Dismissals/Closures

Permanent and Temporary

The Office of Field Programs maintains the charge files, including Commissioner charge files, for all charges administratively dismissed by the Commission.  The files, which OFP arranges numerically by charge number, contain the record copies of all the incoming and outgoing administrative records regarding discrimination charges administratively dismissed by the Commission because of:

-Commission having no subject matter jurisdiction;

-Withdrawal of charge, including a Commissioner charge,  by charging party or Commissioner member with the consent of the Commission;

-Closure by issuance of a notice of right sue upon request by charging party;

-Closure by issuance of a final no cause letter of determination by the Commission where there is no cause to believe an unlawful employment practice has occurred or is occurring;

-Failure by charging party to cooperate with the Commission to the extent that the Commission is unable to resolve the charge;

-Failure by charging party to give the Commission requested necessary information, or failed or refused to appear or to be available for interviews or conferences as necessary;

-Failure by the Commission to locate a charging party after reasonable efforts to locate the charging party, including administrative closure where charging party not appraised of requirements to keep EEOC informed of address changes;

-Failure by charging party to file with the Commission a charge and every portion of it timely.

-Failure by charging party to state a claim on its face, or as amplified by the charging partys statements, under title VII or the ADA.

-Claim exclusively under section 717 of title VII or the Rehabilitation Act raised by charging party.

Permanent.  As stipulated in a prior agreement between NARA and the Commission, OFP automatically sets aside annually one (1) percent of all administrative dismissals for transfers to the Federal Records Center for storage until the records are eligible for transfer to the National Archives for permanent retention.  The transfers occur six (6) months after the date of dismissal or closure and one (1) year after the date of dismissal for lack of jurisdiction. 

Two (2) years old after the final Commission

action on the cases for these closed charge files,

the field office director, through Office of the

Chief Financial Officer will then transfer all the folders(s) to NARA for permanent record.

Temporary.  OFP automatically destroys locally all other administrative dismissal charge files when they are six (6) months old after the date of dismissal or closure, except charge files--

Transferable to the National Archives for permanent retention as described above; or

Dismissed for lack of jurisdiction; or

Where the Commission receives a Freedom of Information or Privacy Act request; or

Closed by issuance of a final no cause letter.

Lack of jurisdiction charge files.  OFP keeps all charge files for charges dismissed by the Commission for the lack of jurisdiction temporarily until they are one (1) year old from the date of their dismissal and then automatically destroys them locally.

NCI-403-79-1RCS, Item no. 14.C.(3)

NCI-403-79-1RCS, Item no. 14.C.(5)(a)2

NCI-403-79-1RCS, Item no. 14.C.(5)(a)3

     

-Refusal by charging party to accept a respondents settlement offer facilitated by the Commission that would afford full relief to the charging party;

-Failure by charging party to file with the Commission a charge and every portion of it timely.

-Failure by charging party to state a claim on its face, or as amplified by the charging partys statements, under title VII or the ADA.

-Claim exclusively under section 717 of title VII or the Rehabilitation Act raised by charging party.

No cause charge files of value. If a no cause charge file is of value to the Commission in its development of class action or pattern and practice for future cases, OFP keeps the charge file onsite for one (1) year. Then, OFP automatically transfers the one (1) year old files to the Federal Records Center to store and destroy three (3) years later.

No cause charge files of no future value. OFP temporarily keeps no cause charge files of no future value locally two (2) years after the Commission last action and then automatically destroys them locally.

FOIA and Privacy Act Requests. Where the Commission receives a Freedom of Information or Privacy Act request for any charge file and any portion of it before or after administrative dismissal, OFP automatically transfers the request and charge file to the Federal Records Center six (6) months after completion of all actions taken under the Freedom of Information or Privacy Act. The Federal Records Center will store the transferred charge file until its authorized destruction date or permanent retention, as appropriate. (See disposition instructions above for FOIA and Privacy Act requests to OLC and field offices.)

Relevant Documents/Evidence. Documents and evidence in closed charge files that may be relevant to open charge files against same respondents should be reserved and incorporated in the open charge file referencing the original charge file. The closed charge file incorporated with an open charge is disposed of by the authorized disposition for the new charge file.

NC1-403-79-1RCS, Item no.14.C.(5)(a)2

NC1-403-79-1RCS, Item no.14.C.(5)(a)3

Office of Field Programs (OFP)

Charge Files-Negotiated  Settlements, including Mediation Settlements

Permanent and Temporary

The Office of Field Programs maintains the charge files, including Commissioner charge files, for all charges resolved by settlement agreements, with or without monetary benefits, as the result of mediation or negotiation.

[A negotiated settlement occurs before the issuance of a cause letter of determination by the Commission.  A conciliation settlement occurs after the issuance of a cause letter of determination by the Commission. Mediation settlements occur where the Commission facilitates a settlement by permitting withdrawal of a charge by a charging party pursuant to § 1601.10 of title 29 of the CFR.]

Permanent.  As stipulated in a prior agreement between NARA and the Commission, OFP automatically sets aside annually three (3) percent of all the charges resolved by settlement agreements as the result of negotiation or mediation for transfer to the Federal Records Center for storage until eligible for transfer to the National Archives for permanent retention.  

The transfers generally automatically occur three (3) years after the expiration of the calendar year in which the respondent submits written notice of having satisfied each obligation in the settlement agreement, or date of signatures of the agreement, whichever occurs later except for charges resolved by settlement agreements without monetary benefits. 

Wherever settlement agreements result in no monetary benefits, the transfer occurs in two (2) years rather than three (3) years.  The Federal Records Center stores the transferred charge files until they are eligible for transfer to the National Archives for permanent retention.

Temporary.  Except settlement agreement charge files eligible for permanent retention or for which the Commission has received a Freedom of Information or Privacy Act request, OFP automatically destroys locally all settlement agreement charge files that are two (2) years old.

The two (2) year retention period begins after the expiration of the calendar year in which the respondent submitted written notice of having satisfied each obligation contained in the settlement agreement, or date of the signature of the settlement agreement, whichever occurs later. 

However, OFP destroys charge files involving concurrent ADEA/EPA/Title VII cases where charging parties realize monetary benefits three (3) years after the date of the Commissions last action rather than in two (2) years as in all other cases.

FOIA and Privacy Act Requests.  Where the Commission receives a Freedom of Information or Privacy Act request for any settlement agreement charge file, OFP automatically transfers the request and charge file to the Federal Records Center six (6) months after completion of all actions taken under the Freedom of Information or Privacy Act.  The Federal Records Center will store the transferred charge file until its authorized destruction date or permanent retention, as appropriate.

Relevant Documents/Evidence.   Documents and evidence in closed charge files that may be relevant to open charge files against same respondents should be reserved and incorporated in the open charge file referencing the original charge file.  The closed charge file incorporated with an open charge is disposed of by the authorized disposition for the new charge file.

NCI-403-79-1RCS, Item no. 14.C.(4)

       

FOIA and Privacy Act Requests. Where the Commission receives a Freedom of Information or Privacy Act request for any settlement agreement charge file, OFP automatically transfers the request and charge file to the Federal Records Center six (6) months after completion of all actions taken under the Freedom of Information or Privacy Act. The Federal Records Center will store the transferred charge file until its authorized destruction date or permanent retention, as appropriate. (See disposition instructions above for FOIA and Privacy Act requests to OLC and field offices.)

Relevant Documents/Evidence. Documents and evidence in closed charge files that may be relevant to open charge files against same respondents should be reserved and incorporated in the open charge file referencing the original charge file. The closed charge file incorporated with an open charge is disposed of by the authorized disposition for the new charge file.

 

Office of Field Programs (OFP)

Charge Files-Reasonable cause determinations

Permanent and Temporary

The Office of Field Programs maintains all of the cause charge files, including Commissioner charge files, of the Commission.  The files, which OFP arranges by year of closure and sequentially by charge number, contain the case files for all cases, successfully or unsuccessfully conciliated, that the Commission issues a final cause letter of determination.  Where the Commission has not settled or dismissed a charge or made a no cause finding as to every allegation in a charge, it issues final cause letters of determination.

Permanent.  OFP automatically sets aside annually three (3) percent of all the cause charge files, successfully or unsuccessfully conciliated, for transfer to the Federal Records Center for storage until eligible for transfer to the National Archives for permanent retention.  Two (2) years old after the final Commission action on the cases for these closed charge files, the field office director, through Office of the Chief Financial Officer will then transfer all the folders(s) to NARA for permanent retention.

Temporary.  OFP automatically transfers all cause charge files that are one (1) year old to the Federal Records Center for storage until eligible for destruction when three (3) years old, except cause charge files eligible for permanent retention or for which the Commission has received a Freedom of Information or Privacy Act request.  The one (1) year waiting period for transfer begins after the date of the Commissions last action.

FOIA and Privacy Act Requests.  Where the Commission receives a Freedom of Information or Privacy Act request for any cause charge file, OFP automatically transfers the request and charge file to the Federal Records Center six (6) months after completion of all actions taken under the Freedom of Information or Privacy Act.  The Federal Records Center will store the transferred charge file until its authorized destruction date or permanent retention, as appropriate.

Relevant Documents/Evidence.   Documents and evidence in closed charge files that may be relevant to open charge files against same respondents should be reserved and incorporated in the open charge file referencing the original charge file.  The closed charge file incorporated with an open charge is disposed of by the authorized disposition for the new charge file.

NCI-403-79-1RCS, Item no. 14.C.(5)(b)1

NCI-403-79-1RCS, Item no. 14.C.(5)(b)2

Office of Field Programs (OFP)

Charge Control Files

Temporary, Vital

The Office of Field Programs maintains the Charge Control Files of the Commission.  The files consist of the documents used to show action taken and to control charges.  These documents are the paper or electronic equivalents of the EEOC Form 40A, Charge Control Ledger, and EEOC Form 40B, Charge Control Action Memo.

EEOC Form 40A, Charge Control Ledger.  OFP keeps the manual (paper) or automated (electronic) ledgers until they are one (1) year old after closing.  OFP may microfilm the paper or electronic records then.  When OFP verifies the records have been microfilmed, OFP may then destroy the microfilmed paper or electronic records.

The record copy of the microfilmed records are retained in the Control Unit.  OFP automatically transfers annually a duplicate copy of the microfilmed records to the Federal Records Center to store as a Vital Record of the Commission.

NCI-403-79-1

RCS, Item no. 14

C 6. (a)

       

EEOC Form 40B, Charge Control Action Memo.  OFP keeps the memos arranged alphabetically by respondent in the Charge Control Files until OFP receives the latest automated printout generated by the Commissions Complaint Statistical Reporting System (CSRS) or a successor automated system.

NCI-403-79-1

RCS, Item no. 14

C 6. (b)

Office of Field Programs (OFP)

State and Local Programs-General Correspondence

Temporary

OFP maintains State and Local Programs-General Correspondence file of the Commission.  The file consists of letters, memoranda, relating to routine transactions of official business between the Commission and State and local FEP agencies (Other than material specified elsewhere in the matrix).

OFP maintains the record copy and all other copies of the incoming and outgoing correspondence in the State and Local Programs-General Correspondence file for one (1) year.  After that, OFP automatically destroys the non record copies if they are no longer needed for reference, and the record copies of the correspondence are:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OFP specifically for closed State and Local Programs-General Correspondence file material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial and Director of Administrative Services; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the record copies of the State and Local Program-General Correspondence file material are three (3) years old, OFP either destroys or arranges for the destruction of the closed records then.

NCI-403-79-1

Office of Field Programs (OFP)

State and Local Programs-Contract/Project File

Temporary

OFP maintains the State and Local Programs-Contract/Project File of the Commission.  The file contains documents, arranged alphabetically by agency, regarding State and local agencies receiving or apply for Commission funds to assist in the implementation of their programs to eliminate discrimination.  Records consist of application for 706 Agency designations, requests for proposals, correspondence (including memoranda of understanding) with the Fair Employment Agencies (706 Agencies), detailing their services and accomplishments, staffing and funding requirements; and other related material.

OFP maintains the record copies of the material in the State and Local Programs-Contract/Project file for three (3) years after the contract/project has been executed.  After that, OFP automatically transfers the record copy of the material to the Federal Records Center to store until eligible for destruction after ten (10) calendar years.  OFP automatically destroys all other copies of the file material when they are two (2) years old.

NCI-403-79-1

Office of Field Programs (OFP)

Discrimination Techniques Records-Systemic Selection Standards File

Temporary

The Systemic Selection Standards File of the Commission is maintained by OFP.  The file consists of discrimination techniques records generated in identifying and selecting potential subjects for systemic proceedings.  The materials in the file are arranged alphabetically by issue.

OFP maintains the record copy and all other copies of the Systemic Selection Standards File material for one (1) year.  After that, OFP automatically destroys the non record copies if they are no longer needed for reference, and the record copies of the file material are:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OFP specifically for the Commissions closed Systemic Selection Standards File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial and Director of Administrative Services; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the record copies of the Systemic Selection Standards File material are three (3) years old, OFP automatically transfers the material to the Federal Records Center to store until eligible for destruction when six (6) years old.

NCI-403-79-1

Office of Field Programs (OFP)

Discrimination Techniques Records-Respondent Investigative Files

Temporary

OFP maintains Respondent Investigative Files of the Commission.  The files are arranged alphabetically by respondent and contain documents assembled in the investigation of employment discrimination practices and are the evidence by which the Commission processes a charge.

OFP automatically transfers to the Federal Records Center for storage the record copy of all respondent investigative files one  (1) year after final resolution of the case to which the file pertains to destroy five (5) years from the date of transfer.    All other copies of the files are destroyed by OFP when no longer needed for reference, except the Official Charge/Case file copy of the investigative file.  The disposal instructions for the appropriate category of charge or case files described above are used instead.

NCI-403-79-1

Office of Field Programs (OFP)

Special Projects and Programs

[EEOC ended Special

Projects and Programs

in the mid-eighties.

This item will remain

in effect until

rescinded by NARA.]

Temporary

The Commissions Special Projects and Programs files for specialized enforcement programs are maintained by OFP.  The files contain documents generated in formulating, implementing, and monitoring specialized enforcement programs to eliminate discrimination in the private sector.  The files are arranged alphabetically by subject.

The files include special projects and programs which monitor the activities of and coordinate with external groups an specific constituencies, such as craft and industrial unions, bar associations, educational institutions and minority organizations; material pertaining to the encouragement and assistance to the private sector in effectively implementing affirmative action programs and policies; and related reported activities. 

OFP maintains the record copy and all other copies of the Special Projects and Programs files for one (1) year.  After that, OFP automatically destroys the non record copies if they are no longer needed for reference, and the record copies of the file material are:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in OFP specifically for the Commissions closed Special Projects and Programs files; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial and Director of Administrative Services; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the record copies of the Special Projects and Programs files are two (2) years old, OFP automatically transfers the material to the Federal Records Center to store until eligible for destruction when five (5) years old.

NCI-403-79-1

Office of Field Programs (OFP)

Government Employment Programs

[EEOC ended

Government

Employment

Programs for State

and Local

governments in the

mid-eighties. This

item will remain in

effect until rescinded

by NARA.]

 

Documents generated in planning, developing, and implementing programs which will facilitate action by the State and Local governments and public educational institutions to bring their employment practices into compliance with the Civil Rights Act as amended and the Rehabilitation Act as amended.  Files include EEO matters, affirmative action planning and programming in the State and Local governments and public educational institutions, affirmative action planning for employment and placement of the handicapped and aged in the State and Local governments and public educational institutions, and related reporting activities.

 

NCI-403-79-1

Office of Field Programs (OFP)

Government Employment Programs-EEO General Files

[EEOC ended

Government

Employment

Programs for State

and Local Programs in

the mid-eighties. This

item will remain in

effect until rescinded

by NARA.]

Temporary

OFO establishes and maintains the Government Employment Programs-EEO General Files of the Commission.  The files are arranged alphabetically by subject and consist of general correspondence, plans, procedures and related records concerning all aspects of the equal employment opportunity programs of ADEA, EPA, Title VII, ADA, and Section 501 of the Rehabilitation Act, as amended.

OFO establishes and maintains the incoming and outgoing correspondence and material related thereto in the Government Employment Programs-EEO General Files for one (1) year.  After that, OFO should destroy all unofficial files/copies when no longer needed for reference, and the Offices official Government Employment Programs-EEO General Files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office specifically for the Commissions closed Government Employment Programs-EEO General Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Government Employment Programs-EEO General Files materials are three (3) years old, OFO either destroys or arranges for the destruction of these records then.

NCI-403-79-1

 

Government Employment Programs-EEO Affirmative Action Plans

[EEOC ended

Government

Employment

Programs for State

and Local

governments in the

mid-eighties. This

item will remain in

effect until rescinded

by NARA.]

Temporary

OFO maintains the Commissions Government Employment Programs-EEO Affirmative Action Plans files.  These files are arranged geographically and by name of agency and consist of the EEO affirmative action plans submitted to the Commission by federal, state and local governments and public educational institutions, and correspondence relating to the Commissions review and approval of the individual plans.

OFO establishes and maintains the incoming and outgoing correspondence and material related thereto in the Government Employment Programs-EEO Affirmative Action Plans  for one (1) year. 

After that, OFO should destroy all unofficial files/copies when no longer needed for reference, and the Offices official Government Employment Programs-EEO Affirmative Action Plans files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office specifically for the Commissions closed Government Employment Programs-EEO Affirmative Action Plans files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the closed official files are two (2) years old, OFO automatically transfers them to the Federal Records Center, with the prior approval of the Office of the Chief Financial Officer, to later destroy when they five (5) years old.

NCI-403-79-1

 

Government Employment Programs-EEO Affirmative Action Program Reports

[EEOC ended

Government

Employment

Programs for State

and Local

governments in the

mid-eighties. This

item will remain in

effect until rescinded

by NARA.]

Temporary

OFO establishes and maintains the Government Employment Programs-EEO Affirmative Action Program Reports files of the Commission.  OFO arranges the files by quarter and by name of agencies.  The files contain record copies of the reports of onsite reviews by the Commission of Agency Affirmative Action Programs and correspondence relating thereto.

After the record copies of the reports are one (1) year old, OFO may:

-Store them a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for the Commissions closed Government Employment Programs-EEO Affirmative Action Program Reports material; or

-Move the closed records to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transfer the closed records to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the closed records are five (5) years old, OFO automatically either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Equal Opportunity (OEO)

Internal EEO General Correspondence File

Temporary

Except material that becomes part of an official charge/case file, the Office of Equal Opportunity establishes and maintains a General Correspondence File for the Office of Equal Opportunity.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Equal Opportunity exists, rather than its internal administration or housekeeping activities.  The Office of Equal Opportunity arranges the correspondence in the file chronologically and alphabetically by issue/subject.  EEO committee meeting records, including minutes and reports are also included in the file.

The Office of Equal Opportunity establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, the Office of Equal Opportunity should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Equal Opportunity specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official EEO General Correspondence File materials are three (3) years old, or when superseded or obsolete, whichever is applicable, the Office of Equal Opportunity either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-Official Discrimination Complaint Case Files

Temporary

OEO establishes and maintains the Office Discrimination Complaint Case Files of the Commission.  The files consist of individual case files  containing the record copies of complaints against the Commission with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described in 29 CFR 1613.222.  Cases resolved within the Commission, MSRP, FLRA, or by a U.S. Court.

Excluding duplicate case files or documents retained in the Commissions Official Discrimination Complaint Case Files, OEO retains the resolved case files until they four (4) years old after resolution of the case to which the case file pertains to when OEO automatically destroys locally the official discrimination complaint case file for the resolved complaint. 

Duplicate case files or documents kept by OEO until they are one (1) year old from the date that the case to which the file pertains to is resolved when OEO automatically destroys the duplicate case file.

GRS 1, Item no. 25 a. b.

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-Preliminary and Background Official Discrimination Complaint  Files

Temporary

OEO maintains the Preliminary and Background Official Discrimination Complaint Case Files of the Commission.  These files contain background records related to individual discrimination complaints that are not filed in the Official Discrimination Complaint Case Files, including records documenting complaints that do not develop into Official Discrimination Complaint Cases.

OEO retains the background records that pertain to complaints that have developed into Official Discrimination Complaint Cases but are not filed in the Official Discrimination Complaint Files for two (2) years after the date of final resolution of the case to which the record pertains to.  After that, OEO automatically destroys the records locally.

GRS 1, Item no. 25 c.

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-EEO Compliance Review Files

Temporary

OEO establishes and maintains the official EEO Compliance Review Files of the Commission containing records that cover the Commissions reviews, background documents, and correspondence relating to a Commission contractors employment practices.  OEO may agree with the Office of the Chief Financial Officer to share Commission contractor files that create such records.

OEO retains individual contractors file folders in the official Compliance Review Files for one (1) year following the date the Commission has taken final action concerning the review to which the file pertains to.  After that, such official Compliance Review Files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for the Offices closed Compliance Review Files; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Compliance Review Files  are seven  (7) years old, the OEO either destroys or arranges for the Federal Records Center to destroy the seven (7) year old records.

GRS 1, Item no. 25 d. (1)

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-EEO Compliance Reports

Temporary

OEO maintains the record copies of the EEO Compliance Reports of the Commission.  The reports are created from the Commissions reviews of its contractors employment practices concerning equal employment opportunity.

OEO retains the record copies of the Commissions EEO Compliance Reports regarding its contractors until they have reached the age of seven (7) years when OEO automatically destroys them locally.  OEO destroys all other nonrecord copies of the reports when no longer needed for reference. Appendix A, Order 201.001

GRS 1, Item no. 25 d. (2)

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-Employment Statistics Files

Temporary

OEO maintains the official Employment Statistics Files of the Commission containing employment statistics relating to race and sex of Commission employees.

OEO retains the paper record copies of  the statistics until they are five (5) years old when OEO automatically destroys the locally.  All other nonrecord copies are automatically destroyed when no longer needed for reference.

[NOTE: Electronic master files and data bases created to supplement replace the paper EEO employment statistics files of the Commission are not authorized for disposal under this Governmentwide recordkeeping authority.  All such electronic records must be scheduled by OEO by submitting a SF 115, Request for Records Disposition Authority, to NARA, through the Office of the Chief Financial Officer, for their proper disposal.]

GRS 1, Item no. 25 f.

Office of Equal Opportunity (OEO)

Internal Equal Employment Opportunity Records-EEO Affirmative Action Plans (AAP)

Temporary

OEO maintains the record copies of the EEO Affirmative Action Plans of the Commission, including the Commissions feeder plan for its consolidated AAP; locally review reports of the Commissions Affirmative Action Programs; and the Commission record copy of its annual reports of Affirmative Action accomplishments.

EEO Affirmative Action Plans.  OEO retains the record copies of the Commissions EEO Affirmative Plans until they are five (5) years old from the plans date when OEO destroys the aged plans locally.

Commission AAP Feeder Plans.  The Commissions AAP feeder plans to its consolidated EEO AAPs are kept by OEO for five (5) years from date of plans, or when their administrative purposes have been served, whichever is sooner.

Locally AAP Review Reports.  OEO retains the record copies of the Commission locally Affirmative Action Program review reports until they have reached the age of five (5) years from the reports date.

Annual AAP Accomplishments Report.  OEO keeps the record copies of the Commissions annual AAP accomplishments reports until they have reached five (5) years old from the reports date when OEO automatically destroys the aged for five (5) years reports.

GRS 1, Item no. 25 h.

Office of Human Resources (OHR)

Personnel Correspondence and Forms Files

Temporary

The Office of Human Resources establishes and maintains the Personnel Correspondence Files of the Commission.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Human Resources exists, rather than its internal administration or housekeeping activities.  The Office of Human Resources arranges the correspondence in the file chronologically and alphabetically by issue/subject.

The Office of Human Resources establishes and maintains the incoming and outgoing correspondence and forms relating to pending personnel action material related thereto in the Personnel Correspondence and Forms Files for one (1) year.  After that, the Office of Human Resources should destroy all unofficial files/copies when no longer needed for reference, and the Offices official Personnel Correspondence Files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for the Offices closed Personnel Correspondence Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Personnel Correspondence and Forms Files material are three (3) years old, the Office of Human Resources either destroys or arranges for the destruction of these records then.

GRS 1, Item no. 3

Office of Human Resources (OHR)

Official Personnel Folders (OPFs)

Temporary, Vital

The Office of Human Resources maintains the official personnel folders for all Commission employees. The Office of Personnel Management owns the personnel folder and its contents, which is part of the Governmentwide system of records OPM/GOVT-1.. 

Each individual Official Personnel Folder contains permanent records affecting the employees status and service as required by Civil Service laws and regulations, including reports of selection and other personnel actions named in section 2951 of title 5 of the United States Code.  The long-term records included in the file are chosen to protect the legal and financial rights of the Government and the employee.

Transferring employees.  When a person transfers from the Commission to another agency OHR, on request from the gaining agency, transfers the folder to the new employing agency.  Before making the transfer, OHR removes from the folder those records of a temporary nature filed on the left side of the folder; and ensures that all permanent records of the folder are complete, correct, and present in the folder.

Separating employees.  OHR retains the folders of persons separating from the Commission for thirty days or up to sixty days after their separation and then automatically transfers the folder to the National Personnel Records Center in St. Louis, MO.  NPRC will store the folder until the folder is requested for re-employment purposes or otherwise eligible for destruction sixty five (65) years after separation from Federal service.

GRS 1, Item no. 1

Office of Human Resources (OHR)

Service Record Cards

Temporary

The Office of Human Resources maintains the SF-7s, Service Record Card, for Commission employees.  Effective December 31, 1994, the SF-7 card became obsolete.

OHR retains SF-7s until the separation or transfer of the employee.  The SF-7s for separated or transferred employees are automatically destroyed onsite by OHR three (3) years after the employees separation or transfer from the Commission.

GRS 1, Item no. 2

Office of Human Resources (OHR)

Offers of Employment Files

Temporary

Correspondence, including letters and telegrams, offering appointments to potential employees.

OHR retains accepted offers until the offered appointment is effective.  When the name is received from an OPM certificate of eligibles the certificate of eligibles is returned to OPM with reply and application.  Offers for temporary or excepted appointment are filed with application and retained until receipt of an OPM inspection report or when two (2) years old, whichever is earlier.  At such time, OHR automatically destroys locally the offers with the applications.  OHR destroys immediately all other offers.

GRS 1, Item no. 4

Office of Human Resources (OHR)

Certificate of Eligibles Files

Temporary

Copies obtained from OPM of certificates of eligibles with related requests, forms, correspondence, and statement of reasons for passing over a preference eligible and selecting a nonpreference eligible.

OHR automatically destroys onsite when two (2) years old.

GRS 1, Item no. 5

Office of Human Resources (OHR)

Employee Record Cards

Temporary

Employee record cards used for informational purposes outside personnel offices (such as SF 7B).

[NOTE: Effective December 31, 1994, the SF 7 card became obsolete. Agencies may use an internal agency form.]

OHR automatically destroys onsite on separation or transfer of employee.

GRS 1, Item no. 6

Office of Human Resources (OHR)

Position Classification Files-Position Classification Standards Files

Temporary

OHR maintains the OPM Position Classification Files of the Commission.  The files consist of the position classification standards and guidelines issued or reviewed by OPM and used to classify and evaluate positions within the Commission.

OHR retains these files until superceded or obsolete when OHR automatically destroys onsite the superceded or obsolete materials.

GRS 1, Item no. 7

Office of Human Resources (OHR)

Position Classification Files-Commission Position Classification Standards Files

Temporary

OHR maintains the Commissions Position Classification Files.  The files consist of the correspondence and other records relating to the development of standards for classification of position peculiar to the Commission, and OPM approval or disapproval.  A case and review file is established for each OPM approved and disapproved Commission position classification standard.

OHR maintains the case file for each OPM approved and disapproved Commission position classification standard for five (5) years after the position for which the standard is used is abolished or description is superseded.  OHR automatically destroys the expired file locally.  The review file for each Commission position classification standard is retained by OHR until its two (2) years old when it is automatically destroyed locally by OHR.

GRS 1, Item no. 7 a. (2)

Office of Human Resources (OHR)

Position Classification Files-Position Descriptions

Temporary

OHR maintains the record copies of all of the position descriptions of the Commission.  The record copy of position descriptions include information on title, series, grade, duties and responsibilities, and related documents.

The record copies of the Commissions position descriptions are kept by OHR for two (2) years after the position concerned is abolished or description is abolished or  superseded when OHR automatically destroys locally the position description

GRS 1, Item no. 7 a. (2) (b)

Office of Human Resources (OHR)

Position Classification Files-Survey Files

Temporary

The Position Classification Survey Files of the Commission are maintained by OHR.  The files consist of classification survey reports on various positions prepared by classification specialists, including periodic reports.  The survey files also consist of the record copies of inspection, audit, and survey files including correspondence, reports, and other records relating to inspections, surveys, desk audits, and evaluations.

OHR keeps the record copies of the material contained in the classification survey reports files until they are either three (3) years old, or two (2) years old after inspection by OPM, whichever is sooner.  After which, OHR automatically destroys locally the aged classification survey reports.

When obsolete or superseded, OHR automatically destroys locally the record copies of the inspection, and audit files including, report, and other records relating to the inspections, surveys, desk audits, and evaluations.

GRS 1, Item no. 7 c. (1)

Office of Human Resources (OHR)

Position Classification Files-Appeals Files

Temporary

OHR maintains the Position Classification-Appeals Files of the Commission.  These files consist of the case files relating to classification appeals by Commission employees, excluding OPM classification certificates, and certificates of classification issued by OPM for Commission positions..

OHR automatically destroys locally all classification appeal case files when they are three (3) years old after the date the case is closed.

OHR retains all OPM certificates of classification until the affected position is abolished or superseded when OHR automatically destroys locally the certificates about the abolished or superseded position.

GRS 1, Item no. 7 d.

Office of Human Resources (OHR)

Interview Records

Temporary

OHR maintains the Interview Records of the Commission.  These records consist of record copies of the correspondence, reports, and other records relating to interviews with separating Commission employees.

Six (6) months after the interviewed employees transfer or separation, OHR automatically destroys locally the six (6) month old interview records.

GRS 1, Item no. 8

Office of Human Resources (OHR)

Performance Rating Board Case Files

Temporary

OHR maintains the Performance Rating Board Case Files of the Commission.  The files consist of copies of case files forwarded to OPM relating performance rating board reviews.

One (1) year after the case file is closed, OHR automatically destroys the closed case locally.

GRS 1, Item no. 9

Office of Human Resources (OHR)

Temporary Individual Employee Records

Temporary

OHR maintains the temporary individual employee records of the Commission.  These records consist of all copies of correspondence and forms maintained on the left side of the Official Personnel Folder in accordance with chapter 3 of The Guide to Personnel Recordkeeping, excluding the Immigration and Naturalization Service Form I-9 and performance-related records.

OHR maintains temporary individual employee records until they are superseded or obsolete, or upon separation or transfer of the employee concerned, unless specifically required to be transferred with the OPF, when OHR automatically destroys locally the superseded or obsolete records.

GRS 1, Item no. 10

Office of Human Resources (OHR)

Position Identification Strips

Temporary

OHR maintains the position identification strips for positions of the Commission.  The strips, such as the former SF 7D, contains summary data on each position occupied by Commission employees.

[Note: Effective December 31, 1994, the SF 7D became obsolete.]

OHR retains the position identification strips until they are superceded or obsolete when OHR automatically destroys them locally.

GRS 1, Item no. 11

Office of Human Resources (OHR)

Employee Awards Files-General Awards Records

Temporary

OHR maintains the general awards records in the Employee Awards Files of the Commission.  The general awards files consist of individual case files containing recommendations, approved nominations, correspondence, reports, and related handbooks on Commission-sponsored cash and noncash awards such as incentive awards, within-grade merit increases, suggestions, and outstanding performance.

Two (2) years after approval or disapproval of awards, OHR automatically destroys locally the two (2) year old case files.

[NOTE: These disposition instructions do not apply to Commission-level awards records.  Records relating to Commission-level awards must be scheduled by OHR by submitting a SF 115, Request for Records Disposition Authority, to NARA for their appropriate disposition.]

GRS 1, Item no. 12 a.

Office of Human Resources (OHR)

Employee Awards Files-Length of Service and Sick Leave Awards Files

Temporary

The Commissions Length of Service and Sick Leave Awards Files are maintained by OHR.  The files consist of correspondence, reports, computations of service and sick leave, and lists of awardees.

OHR maintains the length of service and sick leave awards files until they are one (1) year old from the date of award.  After that, OHR automatically destroys locally the one (1) year old files.

GRS 1, Item no. 12 b.

Office of Human Resources (OHR)

Employee Awards Files-Letters of Commendation and Appreciation

Temporary

OHR maintains in the Commissions  Employee Awards Files the record copies of letters to employees recognizing length of service and retirement and letters of appreciation and commendation for performance, excluding copies filed in the OPF.

The record copies of letters of commendation and appreciation are maintained in the Employee Awards Files until they are two (2) years old from the date of issuance.  After that, OHR automatically destroys them locally.

GRS 1, Item no. 12 c.

Office of Human Resources (OHR)

Employee Awards Files-Lists of nominees and winners and indexes of nominations

Temporary

OHR maintains the lists of nominees and winners and indexes of nominations for awards of the Commission.

OHR retains the lists and indexes until they are superseded or obsolete when OHR automatically destroys them locally.

[NOTE: These disposition instructions do not apply to Commission-level awards records.  Records relating to Commission-level awards must be scheduled by OHR by submitting a SF 115, Request for Records Disposition Authority, to NARA for their appropriate disposition.]

GRS 1, Item no. 12 d.

Office of Human Resources (OHR)

Incentive Awards Program Reports

Temporary

OHR maintains the record copies of the Commissions incentive awards program reports, which pertain to the operations of the Commissions incentive awards program.  The reports are arranged chronologically and filed in the Incentive Awards Program Reports file of the Commission.

OHR retains the Commissions incentive awards program reports until they are three (3) years old from the date of the end of the period to which the report pertains to.  After that, OHR automatically destroys locally the three (3) year old reports.

GRS 1, Item no. 13

Office of Human Resources (OHR)

Notifications of Personnel Actions-Chronological File

Temporary

OHR maintains the Notification of Personnel Actions Chronological File of the Commission.  The file contains the chronological file copies, arranged chronologically and by type of personnel action, of all Commission notifications of personnel actions such as employment, promotions, transfers, separations, exclusive of the copy in the OPF.

OHR retains the individual personnel actions in the Notification of Personnel Actions Chronological File until they are two (2) years old when OHR automatically destroys the two (2) year-old personnel actions.  Excluding copies in the OPF, OHR automatically destroys all other copies of notifications of personnel actions when they are one (1) year old.

GRS 1, Item no. 14

Office of Human Resources (OHR)

Employment Applications

Temporary

OHR maintains the Employment Applications file of the Commission.  The file consist of applications, including Optional Form (OF) 612, resumes, and any other applications developed by the Commission for its unique jobs with specialized requirements, and related records, excluding records relating to appointments requiring Senatorial confirmation and applications resulting in appointment which are filed in the OPF.

OHR keeps all the employment applications received by the Commission until inspected by OPM or when two (2) years old, whichever is earlier.  When, OHR automatically destroys the inspected or two (2) year old employment applications.

GRS 1, Item no. 15

Office of Human Resources (OHR)

Personnel Operations Statistical Reports

Temporary

The Personnel Operations Statistical Reports of the Commission are maintained by OHR, which are statistical reports in the operating personnel office and subordinate units relating to personnel

OHR automatically destroys the reports locally when they are two (2) years old.

GRS 1, Item no. 16

Office of Human Resources (OHR)

Reduction-in-Force Retention Registers

Temporary

OHR maintains the registers and related records used to effect reduction-in-force actions in the Commission, including reduction-in-force registers from which no reduction-in-force actions have been taken and related records.

OHR safeguards reduction-in-force registers and material related thereto from which reduction-in-force actions have been taken until they are two (2) years old from the effective date of the actions.  After that, OHR automatically destroys the two (2) year-old registers locally.  OHR automatically destroys locally all other reduction-in-force registers from which no reduction-in-force actions have been taken when they superseded or obsolete.

GRS 1, Item no. 17 b.

Office of Human Resources (OHR)

Supervisors Personnel Files

Temporary

OHR oversees the establishment and maintenance of the Supervisors Personnel Files in the headquarters and field of the Commission.  The Supervisors Personnel Files consist of correspondence, forms, and other records relating to positions, authorizations, pending actions, position descriptions, requests for personnel action, and records on individual employees duplicated in or not appropriate for the OPF.

OHR ensures the Supervisors Personnel Files are reviewed annually and superseded or obsolete documents in the files are destroyed, or that files for transferred or separated employees are destroyed within one (1) year after their separation or transfer.

GRS 1, Item no. 18

Office of Human Resources (OHR)

Individual Non-Occupational Health Records

Temporary

OHR maintains the Individual Non-Occupational Health Record Files of the Commission.  The files contain forms, correspondence, and other records, including summary records, documenting an individual employees medical history, physical condition and visits to Government health facilities, for nonwork-related purposes, excluding the employee medical records in their Employee Medical Folder.

OHR retains the individual non-occupational health records file for six (6) years after the date of last entry of medical information in an individuals file.  After that OHR, automatically destroys the individuals file.

GRS 1, Item no. 19

Office of Human Resources (OHR)

Health Unit Control Files

Temporary

OHR maintains the Health Unit Control Files of the Commission.  The files consist of logs or registers reflecting daily number of visits to dispensaries, first aid rooms, and health units.

Where the information is summarized on statistical reports, OHR retains the logs or registers from which the information was obtained for three (3) months after last entry on the logs or registers.  If the information is not summarized, OHR retains the logs or registers for two (2) years after the last entry in the logs or register.

GRS 1, Item no. 20

Office of Human Resources (OHR)

Employee Medical Folder (EMF)

Temporary

OHR maintains the Employee Medical Folders of the Commission.  The folders contain long-term medical records as defined in 5 CFR Part 293, Subpart E, and temporary or short-term records.

[NOTE: Electronic master files and data bases created to supplement or replace the Employee Medical Folder are not authorized for disposal under the General Records Schedule of NARA. Such files must be scheduled by OHR by an SF 115 submitted to NARA for approval or disapproval.]

Transferring employees.  When a person transfers from the Commission to another agency OHR, transfers the folder following the instructions in Subpart E, 5 CFR 293.  Before transferring the folder, OHR removes from the folder those records of a temporary nature and ensures that all long-term records of the folder are complete, correct, and present in the folder.  

All of the temporary records removed from the transferred folder are retained by OHR for one (1) year after the employees transfer when OHR automatically destroys them locally.

Separating employees.  OHR retains the folders of persons separating from the Commission for thirty (30) days after their separation and then automatically transfers the folder to the National Personnel Records Center in St. Louis, MO.  Before transferring the folder, OHR removes from the folder those records of a temporary nature and ensures that all long-term records of the folder are complete, correct, and present in the folder.

All of the temporary records removed from the transferred folder are retained by OHR for one (1) year after the employees separation when OHR automatically destroys them locally.

NPRC destroys the transferred folders seventy-five (75) years after the birth date of the employee; sixty (60) years after the date of the earliest document in the folder, if the date of birth cannot be ascertained; or thirty (30) years after latest separation, whichever is later.

GRS 1, Item no. 21 (1)

GRS 1, Item no. 21 (2)

Office of Human Resources (OHR)

Statistical Summaries-Employee Health

Temporary

The record copies statistical summaries and reports with related papers pertaining to the health of Commission employees are maintained by OHR.

[NOTE: Electronic master files and data bases created to supplement or replace the employee health statistical summaries and reports are not authorized for disposal under the General Records Schedule of NARA. Such files must be scheduled by OHR on an SF 115 submitted to NARA for approval or disapproval.]

OHR retains the statistical summaries for two (2) years after the date of summary or report when OHR automatically destroys the two (2) years old summary or report locally.

GRS 1, Item no. 22

Office of Human Resources (OHR)

Employee Performance File System Records

Temporary

OHR maintains the Employee Performance File System Records of the Commission for its Non-SES appointees, as defined in 5 U.S.C. § 4301(S) and SES appointees as defined in 5 U.S.C. § 3132a(2).

[NOTE: Performance records pertaining to Presidential appointees are not covered by NARAs General Records Schedule. Such records must be scheduled by submitting an SF 115 to NARA.]

Non-SES appointees

-General.  Excluding performance records superseded through an administrative, judicial, or quasi-judicial procedure, or unacceptable performance appraisals, or former employees performance-related records, OHR retains for four (4) years the record copies of all individual performance plans and ratings, including supporting documents and  other summary performance appraisals such as performance appraisals and job elements and standards upon which they are based, for Commission non-SES appointees when OHR automatically destroys locally the expired plans and ratings.

-Unacceptable performance appraisals.  OHR automatically destroys locally all appraisals of unacceptable performance for non-SES appointees, where a notice of proposed demotion or removal is issued but not effected and all related documents, after the employee completes one (1) year of acceptable performance from the date of the written advance notice of proposed removal or reduction-in-grade notice.

-Administrative, judicial, or quasi-judicial performance records supersession.  OHR automatically destroys locally all performance records superseded through an administrative, judicial, or quasi-judicial procedure when superseded.

SES-appointees

-General.  Excluding performance records superseded through an administrative, judicial, or quasi-judicial procedure, and former SES appointee performance-related records, OHR retains for five (5) years the record copies of all individual performance plans and ratings, including supporting documents and  other summary performance appraisals such as performance appraisals and job elements and standards upon which they are based, for Commission SES appointees when OHR automatically destroys locally the expired plans and ratings.

-Administrative, judicial, or quasi-judicial performance records supersession.  OHR automatically destroys locally all performance records superseded through an administrative, judicial, or quasi-judicial procedure when superseded.

-Former SES appointee performance-related records.  Except the appointees latest rating of record that is less than five (5) years old, including the performance plan upon which it is based, and any summary rating, all other performance ratings and plans of a former SES appointee are retained until they are five (5) years old when OHR then automatically destroys them locally.

OHR places the former SES appointees latest of record that is less than five (5) years old, including the performance plan upon which it is based, and any summary rating on the left side of the former SES appointees OPF and forwards it to the gaining federal agency upon transfer or to the National Personnel Records Center if the appointee leaves federal service.

GRS 1, Item no. 23

Item no., 23 a. (1)

Item no. 23 a. (2)

Item no. 23 b.

Item no. 23 b. (1)

Item no. 23 b. (2)

Office of Human Resources (OHR)

Employee Housing Requests

Temporary

OHR maintains the official Employee Housing Requests file  of the Commission.  The file contains the record copies of all employee housing requests requesting assistance of the Commission in housing matters, such as rental or purchase.

OHR retains the individual requests in the file until they are one (1) year old when OHR automatically destroys the one (1) year old requests locally.

GRS 1, Item no. 25 e.

Office of Human Resources (OHR)

Personnel Counseling Records-Counseling Files

Temporary

OHR maintains the official Personnel Counseling Files of the Commission for headquarters Commission employees, and oversees the same such files maintained by the field offices for Commission field employees.  The file consists of folders containing records that cover an individuals counseling by personnel that include reports of interviews, analyses, and related records.

OHR ensures that all official individual file folders maintained in headquarters and field offices are retained for and destroyed three (3) years after termination of the individuals counseling.

GRS 1, Item no. 26 a.

Office of Human Resources (OHR)

Personnel Counseling Records-Alcohol and Drug Abuse Program

Temporary

OHR maintains the official records arising from the Alcohol and Drug Abuse Program of the Commission.  This consists of records created in planning, coordinating, and directing the Commissions alcohol and drug abuse program.

OHR retains the record copies of the records arising from the planning, coordinating, and directing the Commissions Alcohol and Drug Abuse Program until they are three (3) years old when OHR automatically destroys them locally.

GRS 1, Item no. 26 b.

Office of Human Resources (OHR)

Standards of Conduct Files

Temporary

The official Standards of Conduct Files of the Commission are maintained by OHR.  The files consist of individual folders, arranged by subject, containing correspondence, memoranda, and other records relating to the employee codes of ethics and standards of conduct.

OHR retains the Commissions record copies of its Standards of Conduct Files records until the file material is obsolete or superseded when OHR automatically destroys them locally.

GRS 1, Item no. 27

Office of Human Resources (OHR)

Labor Management Relations Records-Labor Management Relations General and Case Files

Temporary

OHR establishes and maintains the official Labor Management Relations General and Case Files of the Commission.  The files consist of individual folders containing correspondence, memoranda, reports, and other records relating to the relationship between Commission management and employee unions or other groups.

OHR retains the Commissions official Labor Management Relations General and Case Files records until they are five (5) years old after expiration of the agreement to which the records pertain to.  After that, OHR automatically destroys the five (5) year old file records.

GRS 1, Item no. 28 a.

Office of Human Resources (OHR)

Labor Management Relations Records-Labor Arbitration General and Case Files

Temporary

OHR maintains the official Labor Arbitration General and Case Files of the Commission.  The files consist of individual folders containing correspondence, forms, and background papers relating to individual labor arbitration cases involving the Commission.

The files are maintained by OHR for five (5) years after final resolution of the case to which the file pertains.  When all of the records in  an individual file folder are five (5) years old, OHR automatically destroys the five (5) year-old file and its contents locally.

GRS 1, Item no. 28 b.

Office of Human Resources (OHR)

Training Records-General File of Commission Sponsored Training

Temporary

OHR maintains the official General File of Commission Sponsored Training of the Commission.  Excluding the record copy of manuals, requirement reviews, plans, and objectives relating to the establishment and operations of training courses and conferences, the file contains record copies of the correspondence, memoranda, agreements, authorizations, reports, requirement reviews, plans, and objectives relating to the establishment and operation of training courses and conferences of the Commission.

[NOTE: All of the training records described above as excluded from this item no. must be scheduled by OHR through the Office of Chief Financial Officer and Director of Administrative Services by submission of an SF 115 to NARA.]

OHR retains the material in the Commissions General File of Commission-sponsored Training until it is five (5) years old or five (5) years after completion of a specific training program, excluding background and work files that OHR automatically destroys locally when three (3) years old.

GRS 1, Item no. 29 a.

Office of Human Resources (OHR)

Training Records-Employee Training

Temporary

OHR maintains the employee training records of the Commission.  The records consist of correspondence, memoranda, reports, and other record relating to the availability of training and employee participation in training programs sponsored by other government agencies or other non-Government institutions.

OHR retains the record copies of all employee training records until they are five (5) years old or when superseded or obsolete, whichever is sooner, when OHR automatically destroys locally the closed records.

GRS 1, Item no. 29 b.

Office of Human Resources (OHR)

Audiovisual Records-Internal Personnel and Administrative Training Audiovisual Records that Do Not Reflect the Mission of the Commission

Temporary

OHR collects, compiles, and centrally maintains the internal personnel and administrative training audiovisual records of the Commission that do not reflect its mission.

Motion Pictures.  OHR retains motion picture films acquired from outside sources for personnel and management training until they are one (1) year old after completion of the training to which they pertain when it automatically destroys locally the one (1) year old records.

Video Recordings.  Video recordings acquired from outside sources for personnel and management training is also kept by OHR until they are one (1) year old after completion of the training to which they pertain when it automatically destroys locally the one (1) year old records.

GRS 21, Item no. 17

Item no. 14

Office of Human Resources (OHR)

Audiovisual Records-Motion Picture Films Acquired from Outside Sources for Personnel and Management Training

Temporary

OHR collects, compiles, and centrally maintains all the motion films acquired by the Commission from outside sources for Commission personnel and management training purposes.

OHR retains such films for training purposes

until they are one (1) year old after completion of

the training program for which the films are used

when OHR automatically destroys.

GRS 21, Item no. 9

Office of Human Resources (OHR)

Administrative Grievance Files (5 CFR 771)

Temporary

The official Administrative Grievance Files of the Commission are maintained by OHR.  The file contains records relating to grievances raised by Commission employees, except EEO complaints.  The individual grievance files include statements of witnesses, reports of interviews and hearings, examiners findings and recommendations, a copy of the original decision, related correspondence and exhibit, and records relating to a reconsideration request.

OHR may keep each official individual employee grievance file for four (4) years but no later than seven (7) years after the grievance to which the grievance file pertains is closed when OHR automatically destroys locally the file concerned.

[NOTE: OHR keeps all closed administrative grievance files for either four (4) or seven (7) years.  OHR does not use different retention period for individual employee grievance files and OHR has published in the Privacy Act for these records the retention period it has chosen.]

GRS 1, Item no. 30 a,

Office of Human Resources (OHR)

Adverse Action Files (5 CFR 752) and Performance-Based Actions (5 CFR 432)

Temporary

OHR maintains the official Adverse Action Files and Performance-Based Actions records of the Commission.  These files and records relate to adverse actions and performance-based actions (removal, suspension, reduction-in-force, furlough) against Commission employees.  Excluding letters of reprimands filed in the employees OPF, the individual employee files contain the record copies of proposed adverse action with supporting documents; statements of witnesses; employees reply; hearing notices, reports, and decisions; reversal of action; and appeal records.

OHR may keep each official adverse action and performance-based file for four (4) years but no later than seven (7) years after the action to which the file pertains is closed when OHR then automatically destroys locally the file concerned and its contents.

[NOTE: OHR keeps all closed such files for either four (4) or seven (7) years.  OHR does not use different retention period for individual employee grievance files and OHR has published in the Privacy Act for these records the retention period it has chosen.]

GRS 1, Item no. 30 b.

Office of Human Resources (OHR)

Personal Injury Files

Temporary

The official Personal Injury Files of the Commission are maintained by OHR.  The individual files contain forms, reports, correspondence, and related medical and investigatory records relating to on-job-injuries, whether or not a claim for compensation was made, excluding copies filed in the Employee Medical Folder and copies submitted  to the Department of Labor

OHR maintains each individual file as an open file until termination of compensation or when deadline for filing a claim has passed.  Then, the individual file concerned is closed or cut off and kept by OHR for three (3) years from the date the file is closed.  OHR automatically destroys locally the closed file then.

GRS 1, Item no. 31

Office of Human Resources (OHR)

Merit Promotion Case Files

Temporary

All of the Commissions official merit promotion case files are maintained by OHR.  These files consist of individual files containing records relating to the promotion of an individual that document qualification standards, evaluation methods, selection procedures, and evaluations of candidates.

OHR retains each official individual merit promotion case file until it is two (2) years after the personnel action is completed or immediately after an OPM audit, whichever is sooner.

GRS 1, Item no. 32

Office of Human Resources (OHR)

Examining and Certification Records

Temporary

Reserved.

Reserved.

 

Office of Human Resources (OHR)

Occupational Injury and Illness Files

Temporary

OHR maintains the official Occupational and Injury and Illness Files of the Commission.  The files contain reports and logs, including Occupational Safety and Health Administration (OSHA) Forms 100, 101, 102, and 200, or equivalents, maintained as prescribed in 29 CFR 1960 and OSHA pamphlet 2014 to document all recordable occupational injuries and illnesses for each establishment.

OHR retains material in the Occupational Injury and Illness Files until they are five (5) years old when OHR automatically destroys locally the closed files material.

GRS 1, Item no. 34

Office of Human Resources (OHR)

Denied Health Benefits Requests Under Spouse Equity Act

Temporary

The official Denied Health Benefits Requests Under the Spouse Equity Act files are maintained by OHR.  The files are denied eligibility files consisting of applications, court orders, denial letters, appeal letters, and related papers.

Health benefits denied, not appealed.  The individual official Denied Health Benefits Requests Under the Spouse Equity Act files are kept by OHR until they are three (3) years old where health benefits are denied, and not appealed, when OHR automatically destroys the file concerned locally.

Health benefits denied, successfully appealed. Where health benefits are denied by the Commission and successfully appealed to OPM, OHR keeps the file concerned to create an enrollment file according to Subchapter S17 of the FEHB Handbook.

Health benefits denied, unsuccessfully appealed.  If the appeal to OPM unsuccessful, OHR keeps the file for the unsuccessful appeal until it is three (3) years old from the date of denial by OPM when OHR automatically destroys locally the denied file and its contents.

GRS 1, Item no. 35 a.

Item no. 35 b. (1)

Item no. 35 b. (2)

Office of Human Resources (OHR)

Federal Workplace Drug Testing Program Files

Temporary

The official Federal Workplace Drug Testing Program Files of the Commission are maintained by OHR.  The files consist of the Commissions drug testing program records created and received under Executive Order 12564 and Public Law 100-71, Section 503 (101 Stat. 468), excluding consolidated statistical and narrative reports concerning the operation of the Commission program, including annual reports to Congress, as required by Pub. L. 100, § 503(f).

[NOTE: (1) Disciplinary action case files pertaining to actions taken against employees for drug use, drug possession, failure to comply with drug testing procedures, and similar matters are covered by NARAs Governmentwide recordkeeping requirement under General Records Schedule 1, item no. 30b.  Any positive test results records that are relevant to litigation or disciplinary actions should be disposed of no earlier than the related litigation or adverse action case file(s).]

Commission drug test plans and procedures.  Excluding documents filed in record sets of formal issuances (directives, procedural handbooks, operating manuals, and the like), OHR retains the record copies of the Commissions plans and procedures, with related drafts, correspondence, memoranda, and other pertinent records about the development of procedures for the Commissions drug testing programs, including the determination of testing incumbents in designated positions, until they are three (3) years old or when superseded or obsolete when OHR destroys the records locally.

Employee acknowledgment of notice forms.  OHR retains the record copies of all forms completed by employees whose positions are designated sensitive for drug testing purposes acknowledging that they have received notice that they may be tested until the employee separates from the testing-designated position when OHR automatically destroys locally the employee forms.

Selection/scheduling records.  The records relating to the selection of specific employees/applicants for testing and scheduling of tests, including lists of selectees, notification letters, and testing schedules, are kept by OHR until they are three (3) years old.

Specimen collection and handling records-Permanent Records Books.  OHR retains the Permanent Records Books identifying data on each specimen, recorded at each collection site in the order in which the specimens were taken for three (3) years after the date of last entry in the books.  At such time, OHR automatically destroys the books locally.

GRS 1, Item no. 36a.

GRS 1, Item no. 36 b.

GRS 1, Item no. 36 c.

GRS 1, Item no. 36 d. (1)

GRS 1, Item no. 36 e. (1)

GRS 1, Item no. 36 e. (2)

       

Specimen collection and handling records-Chain of custody records. The forms and other records used to maintain control and accountability of specimens from the point of collection to the final disposition of the specimen are kept by OHR until they are three (3) years old when OHR automatically destroys the records locally.

Test Results-Positive Results. OHR retains records documenting individual positive test results, including reports of testing, notifications of employees/applicants and employing offices, and documents relating to follow-up testing until the individual leaves the Commission or when three (3) years old, whichever is later.

Test Results-Negative Results. OHR retains negative result test result records for three (3) years and automatically destroys locally the records when they are three (3) years old.

GRS 1, Item no. 36 d. (2)

GRS 1, Item no. 36 e. (1)

GRS 1, Item no. 36 e. (2)

Office of Human Resources (OHR)

Donated Leave Program Case Files

 Temporary

OHR maintains the Donated Leave Program Case Files of the Commission.  The individual case files document the receipt and donation of leave for medical emergencies, including recipient applications, Commission approvals or denials, medical or physician certifications, leave donation records or OF 630-A, supervisor/timekeeper approvals, leave transfer records, payroll notification records, and leave program termination records.

OHR retains each individual case until it is one (1) year old from the date in which the case is closed when OHR automatically destroys the file locally.

GRS 1, Item no. 37

Office of Human Resources (OHR)

Wage Survey Files

Temporary

OHR establishes and maintains the Wage Survey Files, as appropriate.  The files consist of wage survey reports and data, and background documents and correspondence about area wages paid for each employee class; background papers establishing need, authorization, direction, and analysis of wage surveys; development and implementation of wage schedules; and requests for authorization of specific rates, excluding authorized wage schedules and wage survey recapitulation sheets.

OHR retains the records in the files until they are superceded after completion of a second succeeding wage survey when OHR automatically destroys the superceded records locally.

GRS 1, Item no. 38

Office of Human Resources (OHR)

Retirement Assistance Files

Temporary

The Retirement Assistance Files of the Commission are maintained by OHR.  The individual files contain correspondence, memoranda, annuity estimates, and other records used to assist retiring Commission employees or their survivors claim insurance or retirement benefits.

OHR retains the individual files and their contents until it is one (1) year old from the date that assistance was given  when OHR automatically destroys locally such files

GRS 1, Item no. 39

Office of Human Resources (OHR)

Handicapped Individual Appointment Case Files

Temporary

OHR maintains the Handicapped Individual Appointment Case files of the Commission.  The files are individual case files containing position title and description; fully executed SF 171 or equivalent; medical examiners report; a brief statement explaining accommodation of impairment; and other documents related to previous appointment, certification, and/or acceptance or refusal, created according to FPM chapter 306-11, subchapter 4-2, or later OPM pertinent issuance.

OHR retains each individual case file until it is five (5) years old from the date of approval or disapproval of accommodation when OHR automatically destroys locally the five (5) year-old files concerned.

GRS 1, Item no. 40

Office of Human Resources (OHR)

Pay Comparability Records

Temporary

OHR maintains the Pay Comparability Records of the Commission.  The records are created under implementation of the Federal Employees Pay Comparability Act, including written narratives and computerized transaction registers documenting use of retention, relocation and recruitment bonuses, allowances, and supervisory differentials, and case files consisting of requests for and approval of recruitment and relocation bonuses and retention allowances.

OHR retains the Commissions Pay Comparability Records and case files until they are three (3) years old following date of approval or upon completion of the relevant service agreement or allowance, whichever is later.

GRS 1, Item no. 41

Office of Human Resources (OHR)

Alternate Worksite Records

Temporary

The Commissions Alternate Worksite Records are maintained by OHR.  The records consist of individual approved and unapproved requests or applications to participate in an alternate worksite program; agreements between the Commission and the employee; and records relating to the safety of the worksite, the installation and use of equipment, hardware, and software, and the use of secure, classified information or data subject to the Privacy Act.

Approved Requests.  OHR retains the individual case files for each approved employee Alternative Worksite request or application for one (1) year after the end of the employees participation in the program when OHR automatically destroys them locally.

Unapproved Requests.  OHR retains the individual case files for each unapproved employee Alternative Worksite request or application for one (1) year from the date the request or application is rejected when OHR automatically destroys the case files and their contents for the unapproved requests.

Forms and other records.  Forms and other records generated by the Commission or the participating employee evaluating the alternative worksite program are kept by OHR until they are one (1) year old, or when no longer needed, whichever is later.

GRS 1, Item no. 42 a.

Item no. 42 b.

Item no. 42 c.

Office of Human Resources (OHR)

Payroll-Individual Employee Pay Record

Temporary

OHR directly or through the Commissions payroll processor maintains the individual employee payroll record for each employee of the Commission.

OHR directly or through the Commission payroll processor retains the pay record for each employee as maintained in an electronic data base, which may be a stand-alone payroll system or part of a combined personnel/payroll system, are updated in part or in whole as required.

Individual pay records, which may be in paper or microform but not in machine readable form, containing pay data on each employee within the Commission are kept for one (1) year following the end of the pay year to which they pertain to.  After that, the individual pay records may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for individual pay records; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the employee separates or transfers, the employees pay records are automatically transferred to the National Personnel Records Center to retain until fifty-six (56) years old when they are automatically destroyed.

GRS 2, Item no. 1

Office of Human Resources (OHR)

Noncurrent Payroll Files

Temporary

OHR directly or through the Commissions payroll processor maintains the copies of noncurrent payroll data as maintained by the Commissions payroll processor in either microform or machine-readable form.

OHR directly or through the Commissions payroll processor retains the noncurrent payroll files copy of noncurrent payroll data as maintained by the Commissions payroll processor in either microform or machine-readable form to automatically destroy fifteen (15) years after close of the pay year in which generated.

GRS 2, Item no. 2

Office of Human Resources (OHR)

Time and Attendance-Leave Application Files

Temporary

OHR oversees the establishment and maintenance of the employee Leave Application Files in the headquarters and field offices of the Commission.  The files contain employee leave applications and any supporting documentation of requests and approvals of leave.

Where the employee initials time card or equivalent, OHR ensures employee leave applications and documentation related thereto are destroyed at the end of the following pay period in which the leave was used.

If the employee has not initialed time card or equivalent, OHR ensures the employees leave application plus any supporting documentation are kept to destroy only after GAO audit or when three (3) years old, whichever is sooner.

GRS 2, Item no. 6

Office of Human Resources (OHR)

Time and Attendance Source Records

Temporary

OHR oversees the maintenance of the Time and Attendance Source Records of the Commission in the headquarters and field offices.

The Commissions Time and Attendance Source Records consist of all time and attendance records upon which leave input data is based, such as time or sign-in sheets; time cards (such as Optional Form (OF) 1130); flexitime records; leave applications for jury and military duty; and authorized premium pay or overtime, maintained at duty post, upon which leave input data is based. Records may be in either machine-readable or paper form.

OHR ensures all headquarters and field offices retain the time and attendance source records for their office employees automatically to destroy only after GAO audit or when six (6) years old, whichever is sooner.

GRS 2, Item no. 7

Office of Human Resources (OHR)

Time and Attendance-Time Attendance Input Records

Temporary

OHR directly or through the Commissions payroll processor maintains the Time and Attendance Input Records of the Commission.  The records consist of paper or machine readable form used to input time and attendance data on Commission employees into a payroll system.

OHR or the Commissions payroll processor retains the input form to destroy only after GAO audit or when six (6) years old, whichever is sooner.

GRS 2, Item no. 8

Office of Human Resources (OHR)

Time and Attendance-Leave Record

Temporary

OHR directly or through the Commissions payroll processor creates or receives the individual Leave Record for each Commission employee.

Upon separation or transfer of Commission employee, OHR prepares or obtains from the Commissions payroll processor the employees record of leave, such as SF 1150, to file on the right side of the employees OPF.

OHR or the Commissions payroll processor retains the separate  record copy of each leave record prepared by OHR or the Commissions payroll processor for a separated or transferred employee destroy only after the leave is three (3) years old.

GRS 2, Item no. 9

Office of Human Resources (OHR)

Tax Files

Temporary

OHR directly or through the Commissions payroll processor maintains the employer Tax Files of the Commission.  The files contain Commission employee withholding allowance certificates; Commission copy of employee wages and tax statements; and Commission copies of its employer reports of Federal tax withheld, including reports relating to income and social security tax, and state equivalents.

OHR or the Commissions payroll processor retains Commission employee withholding allowance certificates and their state equivalents to destroy only four (4) years after superseded or obsolete or upon separation of employee.

The Commissions copies of employee wages and tax documents, such as IRS Form W-2 and state equivalents, are retained by OHR or the Commissions payroll processor to destroy only when four (4) years old.

OHR or the Commissions payroll processor retains the Commissions copies of employer reports of Federal Tax withheld with related papers and reports to destroy only  when four (4) years old.

GRS 2, Item no. 13

Office of Human Resources (OHR)

Savings Bond Purchase Files

Temporary

OHR directly or through the Commissions payroll processor maintains the Savings Bond Purchase Files of the Commission.

Authorizations for Purchase and Request for Change - U.S. Savings Bonds, SB 2152, or equivalents are retained to destroy only when superseded or after separation of employees.

U.S. Savings Bond registration files: issuing agents copies of bond registration stubs to destroy only four (4) months after the date of issuance of a bond.

U.S. Savings Bond receipt and transmittal files: receipts for and transmittals of U.S. Savings Bonds are retained to destroy only four (4) months after the date of issuance of a bond.

GRS 2, Item no. 14

Office of Human Resources (OHR)

Combined Federal Campaign and Other Allotment Authorizations

Temporary

OHR directly or through the Commissions payroll processor maintains the Combined Federal Campaign and Other Allotment Authorizations records of the Commission.

Employee authorizations for individual allotment to the Combined Federal Campaign are retained until after GAO audit or when three (3) years old, whichever is sooner when they are automatically destroyed locally.

Other authorizations, such as union dues and savings are retained until after GAO audit or when three (3) years old, whichever is sooner.

GRS 2, Item no. 15

Office of Human Resources (OHR)

Thrift Savings Plan Election Form

Temporary

OHR directly or through the Commissions payroll processor maintains the Thrift Savings Plan Election Form file of the Commission.  Form TSP-1 authorizes deduction of employee contribution to the Thrift Savings Plan.

The election forms are retained until superseded or after separation of employee when they are automatically destroyed locally.

GRS 2, Item no. 16

Office of Human Resources (OHR)

Direct Deposit Sign-up Form (SF 1199A)

Temporary

OHR directly or through the Commissions payroll processor maintains the Commission employee Director Deposit Sign-up Forms (SF 1199a).

The deposit forms are retained until superseded or after employee separation when they are automatically destroyed locally.

GRS 2, Item no. 17

Office of Human Resources (OHR)

Levy and Garnishment Files

Temporary

OHR directly or through the Commissions payroll processor maintains the Levy and Garnishment Files of the Commission.  The files contains such records as the Official Notice of Levy or Garnishment (IRS Form 668A or equivalent), change slip, work papers, correspondence, release and other forms, and other records relating to charge against retirement funds or attachment of salary for payment of back income taxes or other debts of Federal employees.

OHR or the Commissions payroll processor retains the individual Levy and Garnishment Files automatically to destroy locally only after three (3) years after garnishment or levy is terminated.

GRS 2, Item no. 18

Office of Human Resources (OHR)

Payroll System Reports

Temporary

OHR maintains the official Payroll System Reports of the Commission. 

Reports on errors, ticklers, system of operation reports are retained by OHR to destroy only after all related actions are completed or when no longer needed, not to exceed two (2) years.

Reports and data used for Commission workload and or personnel management purposes are kept by OHR to destroy locally only when two (2) years old.

Fiscal information reports on the Commissions payroll are kept by OHR to destroy locally only after GAO audit or when three (3) years old, whichever is sooner.

GRS 2, Item no. 22

Office of Human Resources (OHR)

Payroll Change Files

Temporary

OHR directly or through the Commissions payroll processor maintains the official Payroll Change Files of the Commission.  The files contain records used to direct a change or correction of an individual pay transaction whether created and maintained by the Commission or its payroll processor.

The copies of the payroll changes that are subject to GAO audit are retained to destroy only after GAO audit or when three (3) years old, whichever is sooner.  All other copies are automatically destroyed locally one (1) month after the end of related pay period.

GRS 2, Item no. 23

Office of Human Resources (OHR)

Payroll Correspondence

Temporary

OHR maintains the official Payroll Correspondence file of the Commission.  The file contains correspondence between the Commission and its payroll processor regarding general and routine administrative issues that do not relate to individual payments.

OHR retains the record copies of the incoming and outgoing correspondence in the file until two (2) years old when OHR automatically destroys the two (2) year old correspondence.

GRS 2, Item no. 24

Office of Human Resources (OHR)

Retirement Files

Temporary

OHR directly or through the Commissions payroll processor maintains the Retirement Files of the Commission.  The files contain reports, registers, or other control documents, and other records relating to retirement, such a SF 2807 or equivalent.

CSRS/FERS related records are retained until they are automatically destroyed upon receipt of official OPM acceptance of the Commissions annual summary of retirement actions.

GRS 2, Item no. 28

Office of Information Technology (OIT)

General Correspondence File

Temporary

The Office of Information Technology establishes and maintains a General Correspondence File for the Office of Information Technology.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Information Technology exists, rather than its internal administration or housekeeping activities.  The Office of Information Technology arranges the correspondence in the file chronologically and alphabetically by issue/subject.

The Office of Information Technology establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, the Office of Information Technology should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Information Technology specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, the Office of Information Technology either destroys or arranges for the destruction of these records then.

NCI-403-79-1

Office of Information Technology (OIT)

Information (ADP) Systems Planning Documents Temporary

 

ORIP maintains the record copies of the Information (ADP) Systems Planning Documents of the Commission.  These are descriptive documents required to initiate, develop, operate, and maintain specific applications.

ORIP annually reviews the Information (ADP) Systems Planning Documents and automatically destroys them upon completion of project or when data has served all useful purposes for which it was created.

NCI-403-79-1

RCS, Item no. 12 (C) (1)

 

Information (ADP) Systems Processing Files

Temporary

ORIP maintains the records copies of the Commissions Information (ADP) Systems Processing Files.  These consist of work files, test data, input/output document flow data, publications and similar operational records.  For example, computer tapes and printouts of investigative material used as evidence in court proceedings or validation studies.

When no longer needed, or when raw data is satisfactorily processed into final or reduced data, ORIP automatically disposes of these files.

NCI-403-79-1

RCS, Item no.

12 C (2)

Office of Information Technology (OIT)

Information (ADP) Systems Master Files

Temporary

ORIP maintains the record copies of the Information (ADP) Systems Master Files of the Commission regarding its financial management system and all other systems.

ORIP retains and disposes of the Information (ADP) Systems master files about the Commissions financial management system and all other systems following the same retention requirements described in this matrix applicable to all Commission budget and finance records and other housekeeping systems (i.e., fiscal accountability, supply management, and payroll administration) paper based systems, or when the files no longer serve the purpose for which it was created.

NCI-403-79-1

RCS, Item no.

12 (C) 3

Office of Information Technology (OIT)

Information (ADP) Systems Statistical Master File-Complaint Statistical Reporting System (CSRS) or successor system(s)

Permanent and Temporary

Automated records containing informational on all persons filing complaints with EEOC which allege discrimination based on race, color, religion, sex, national origin, age, or disability in hiring, firing, wages, training, apprenticeship, and all other conditions of employment.  The system includes the names and addresses of charging parties and respondents, descriptions of complaints, locations of complaints, administrative or legal actions taken regarding complaints, and the resolution of the complaints.  Used as a reporting system by which EEOC district offices report discrimination complaints to Headquarters and provides the mechanism through which administrative control and statistics are maintained.

Master Tapes or Digital Media.  ORIP annually transfers the final Information (ADP) Systems Statistical Master File-Complaint Statistical Reporting System (CSRS) Master Tapes or NARA approved substitute digital media to NARA for permanent retention. 

Security Back-up Files. ORIP retains the systems security back-up files (mini-masters of charges data maintained in an EEOC tape or digital library) until they are two (2) years old when they are automatically disposed of by ORIP if no longer needed for administrative or reference purposes.

Edit Cycle.  Reformatted data exported from the system including computer print out reports are retained by ORIP for three months when they automatically disposed of by ORIP if no longer needed for other administrative purposes.

NCI-403-79-1

RCS, Item no.

12 C (3) (b) 1. b

NCI-403-79-1

RCS, Item no.

12 C (3) (b) 1. c.

NCI-403-79-1

RCS, Item no.

12 C (3) (b) 1. a.

Office of Information Technology (OIT)

Communications Records-Communication General Files (Telecommunications)

Temporary

OIT maintains the Communications General Files about the internal administration and operation of the telecommunications services of the Commission. 

Telecommunications correspondence.  OIT retains the record copies of the correspondence and related records created and received by the Commission pertaining to the internal administrative and operation of the Commission telecommunication function until all such correspondence and related records are two (2) years old.  After that, OIT automatically destroys the expired records locally.

Telecommunications general files.  The Commissions telecommunications general files, including plans, reports, and other records pertaining to equipment requests, telephone service, and like matters are kept by OIT until they are three (3) years old when OIT automatically destroys locally all such expired records.

Telecommunications Statistical Reports.  All statistical reports pertaining to the Commissions telecommunications functions and activities including cost and volume data are kept by OIT until they are one (1) year old when OIT automatically destroys the one (1) year old reports and material related thereto locally.

Telecommunications voucher files

-OIT keeps reference copies of the Commissions telecommunications vouchers, bills, invoices, and related records for one (1) fiscal year when OIT automatically destroys them locally.

-Records relating to installation, change, removal, and servicing of telecommunications equipment are kept by OIT for one (1) year after an audit or when three (3) years old, whichever is sooner.  When, OIT automatically destroys these records locally.

GRS 12, Item no. 2

GRS 12, Item no. 2 b.

GRS 12, Item no. 2 c.

GRS 12, Item no. 2 d.

Office of Information Technology (OIT)

Telecommunications Operational Files

Temporary

OIT maintains the Telecommunications Operational Files of the Commission.  The files consist of individual file folders containing record copies of message registers, logs, performance reports, daily load reports, and related and similar records. 

OIT retains the contents of the files until they are six (6) months old when OIT automatically destroys or deletes the materials.

GRS 12, Item no. 3

Office of Information Technology (OIT)

Telephone Use (Call Detail) Records

Temporary

The Telephone Use (Call Detail) Records of the Commission are maintained by OIT.  These records consist of initial reports by telephone service providers about the use of the Commissions telephone lines during a specified period as well as records generated from initial reports for administrative, technical, or investigative follow-up.  The reports contain information as the originating number, destination number, destination city and state, date and time of use, duration of use, and the estimated or actual cost of the use.

OIT retains the Commissions record copies of its Telephone Use (Call Detail) Records until they are three (3) years old when OIT automatically destroys the copies locally.  OIT may destroy such records earlier if the information needed to identify abuse has been captured in other records

GRS 12, Item no. 4

Office of Inspector General

General Correspondence File

Temporary

The Office of Inspector General establishes and maintains a General Correspondence File for the Office of Inspector General.  The file contains all the original incoming communications and initialed record copies of outgoing and interoffice correspondence arising from the functions for which the Office of Inspector General exists, rather than its internal administration or housekeeping activities.  The Office of Inspector General arranges the correspondence in the file chronologically and alphabetically by issue/subject.

The Office of Inspector General establishes and maintains the incoming and outgoing correspondence and material related thereto in the General Correspondence File for one (1) year.  After that, the Office of Inspector General should destroy all unofficial files/copies when no longer needed for reference, and the Offices official General Correspondence File may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the Office of Inspector General specifically for its closed General Correspondence File material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official General Correspondence File material are three (3) years old, the Office of Inspector General either destroys or arranges for the destruction of these records then.

NCI-403-79-1

All Headquarters and Field Offices

Office Administrative Files

Temporary

Copies of records created and received by the office related to the internal administration or housekeeping activities of the office rather than the functions for which it exists.

These records generally include records about the office organization, staffing, procedures, and communications, including facsimile machine logs;

-the expenditure of funds, including budget records;

-day-to-day administration of the Office personnel including training and travel;

-supplies and office services and equipment requests and receipts;

-and the use of office space and utilities. 

Copies of records concerning the offices internal activity and workload reports, including work progress, statistical, and narrative reports prepared in the office, and other materials that do not serve as unique documentation of the programs or functions of the office.

Each individual headquarters and field office establishes and maintains the incoming and outgoing correspondence and material related thereto in the Office Administrative Files for one (1) year.  After that, each individual headquarters and field office should destroy all unofficial files/copies when no longer needed for reference, and the official Office Administrative Files may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in each the individual headquarters and field office specifically for its closed Office Administrative Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the official Office Administrative File materials are two (2) years old, Each individual headquarters and field office either destroys or arranges for the destruction of these records then.

GRS 23, Item no. 1

All Headquarters and Field Offices

Schedules of Daily Activities

Temporary

Calendars, appointment books, schedules, logs, diaries, and other records documenting meetings, appointments, telephone calls, trips, visits, and other activities by office managers, supervisors, and employees while serving in an official capacity, excluding materials determined to be personal.

Each individual headquarters and field office retains their schedules of daily activities containing substantive information relating to offices official activities, the substance of which has not been incorporated into other office official files, as active records for one (1) year.  After that, the office should destroy all other unofficial files/copies when no longer needed for reference, and the record copies of the schedules may be:

-Stored in a separate letter-size two through five-drawer metal vertical or lateral filing cabinet with a lock in the office specifically for its closed Office Administrative Files material; or

-Moved to a NARA compliant commercial or other federal agency record storage facility arranged by the Office of the Chief Financial Officer; or

-Transferred to the Federal Records Center with the prior approval of the Office of the Chief Financial Officer.

When the record copies of the offices schedules of daily activities are two (2) years old, the office they may either destroys or arranges for the destruction of these records then.

GRS 23, Item no. 5

All Headquarters and Field Offices

Suspense Files

Temporary

Documents arranged in chronological order as a reminder that an action is required by the office on a given date or that a reply to action is expected and, if not received, should be traced on a given date.

Notes or other reminders for office to take action are retained by offices until action is taken when offices automatically destroy the related suspense file records pertaining to the action taken.

File or extra copies of an offices outgoing communication, filed by the date on which a reply is expected are automatically destroyed by offices when a reply is received if the suspense copy is an extra copy, or incorporated into the offices official files if the suspense copy is the file copy.

GRS 23, Item no. 6

All Headquarters and Field Offices

Transitory Files

Temporary

Office Transitory Files consist of documents of short-term interest which have no documentary or evidential value and normally need not be kept more than ninety (90) days.  Examples are:

-Route requests for information or publications and copies of replies that require no administrative action, no policy decision, and no special compilation or research for reply.

-Originating office copies of letters of transmittal that do not add any information to that contained in the transmitted material, and receiving office copy if the filed separately from transmitted material.

-Quasi-official notices including memoranda and other records that do not serve as the basis of official actions, such as notices of holiday or charity and welfare fund appeals, bond campaigns, and similar records.

Each individual headquarters and field office automatically destroys such records locally when three (3) months old.

GRS 23, Item no. 7

All Headquarters and Field Offices

Tracking and Control Records

Temporary

Logs, registers, and other records used to control or document the status of correspondence, reports, or other records authorized for destruction by NARA.

Each individual headquarters and field office retains their Tracking and Control Records until they are two (2) years old, or two (2) years old after the date of last entry, whichever is applicable.

GRS 23, Item no. 8

All Headquarters and Field Offices

Finding Aids (Or Indexes)

Temporary

Indexes, lists, registers, and other finding aids used only to provide access to records authorized for destruction by NARA, excluding records containing abstracts or other information that can be used as an information source apart from the related records.

Each individual headquarters and field office automatically destroys or delete locally all finding aid records with the related records.

GRS 23, Item no. 9

All Headquarters and Field Offices

Electronic Mail and Word Processing System Copies

Temporary

Electronic copies of records created on electronic mail and word processing systems and used solely to generate a recordkeeping copy of the records covered by NARA General Records Schedule or SF-115.  Electronic copies of records created on electronic mail and word processing systems maintained for updating, revision, or distribution is also included.

One hundred and eighty (180) days after the recordkeeping copy has been produced, all headquarters and field offices automatically delete locally all electronic copies of no further administrative value after the recordkeeping copy is made, including copies maintained by individuals in personal files, personal electronic mail directories, or other personal directories on hard disk or network drives, and copies on shared network drives used only to produce the recordkeeping copy.

Each individual headquarters and field office automatically destroys or delete all electronic copies of records used for distribution, revision, or updating maintained besides the recordkeeping copy when distribution, revision, or updating is completed.

GRS 23, Item no. 10