Cover
Operating Manual
The Guide to Personnel Recordkeeping
(Update 13, June 1
st
, 2011)
THE GUIDE TO PERSONNEL RECORDKEEPING
Table of Content
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TABLE OF CONTENTS
TABLE OF CONTENTS ............................................................................................................................................... I
REVISION HISTORY SHEET ..................................................................................................................................... III
CHAPTER 1 GENERAL PERSONNEL RECORDKEEPING POLICIES ............................................................................ 1-1
OVERVIEW ................................................................................................................................................................ 1-1
GENERAL RECORDS MANAGEMENT ............................................................................................................................... 1-1
SAFEGUARDING PERSONNEL RECORDS............................................................................................................................ 1-5
INTERAGENCY PERSONNEL RECORDS .............................................................................................................................. 1-6
ELECTRONIC RECORDS ................................................................................................................................................. 1-8
CHAPTER 2 ESTABLISHING PERSONNEL RECORDS ............................................................................................... 2-1
OVERVIEW ................................................................................................................................................................ 2-1
IDENTIFYING PRIOR FEDERAL CIVILIAN SERVICE ................................................................................................................ 2-1
REQUESTING RECORDS FOR PRIOR SERVICE ..................................................................................................................... 2-2
ESTABLISHING FOLDERS ............................................................................................................................................... 2-4
REVIEWING AND COMBINING RECORDS .......................................................................................................................... 2-7
EMPLOYMENT SYSTEMS OUTSIDE THE OFFICE OF PERSONNEL MANAGEMENT’S RECORDKEEPING AUTHORITY .............................. 2-9
CHAPTER 3 FILING DOCUMENTS IN THE PERSONNEL FOLDER ............................................................................. 3-1
GENERAL FILING PROCEDURES ...................................................................................................................................... 3-1
INFORMATION ABOUT THE SECTIONS ............................................................................................................................. 3-4
SECTION 3-A. APPLICATIONS FOR FEDERAL EMPLOYMENT ................................................................................................. 3-4
SECTION 3-B. APPOINTMENT SUPPORT .......................................................................................................................... 3-6
SECTION 3-C: AWARDS ............................................................................................................................................ 3-11
SECTION 3-D: BENEFITS ............................................................................................................................................ 3-12
SECTION 3-E: INVESTIGATIVE PROCESS ........................................................................................................................ 3-18
SECTION 3-F: PERSONNEL ACTIONS ............................................................................................................................ 3-19
SECTION 3-G: OTHER PERSONNEL DOCUMENTS ............................................................................................................ 3-22
SECTION 3-H: CHANGES IN FILING REQUIREMENTS ......................................................................................................... 3-29
SECTION 3-I: TRAINING ............................................................................................................................................. 3-30
CHAPTER 4 HOW TO RECONSTRUCT A PERSONNEL FOLDER ............................................................................... 4-1
HOW TO RECONSTRUCT A PERSONNEL FOLDER ................................................................................................................ 4-1
HOW TO RECONSTRUCT A PERSONNEL FOLDER DUE TO A CHANGE IN GENDER IDENTITY .......................................................... 4-6
CHAPTER 5 "JOINTLY-OWNED" PERSONNEL FOLDERS......................................................................................... 5-1
RECORDKEEPING AGREEMENTS WITH THE OFFICE OF PERSONNEL MANAGEMENT ................................................................... 5-1
CHAPTER 6 HOW TO RESPOND TO REQUESTS FOR INFORMATION ..................................................................... 6-1
COVERAGE ................................................................................................................................................................ 6-1
REQUEST FROM CURRENT EMPLOYEE ............................................................................................................................. 6-1
REQUEST FROM FORMER EMPLOYEE .............................................................................................................................. 6-2
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REQUEST FROM GOVERNMENT OFFICIAL ........................................................................................................................ 6-3
REQUEST FROM THE PUBLIC ......................................................................................................................................... 6-4
ACCOUNTING OF DISCLOSURE FROM PERSONNEL RECORDS ................................................................................................ 6-6
REQUEST FOR INFORMATION OWNED BY OTHER AGENCIES ................................................................................................ 6-7
CHAPTER 7 TRANSFERRING RECORDS ................................................................................................................. 7-1
OVERVIEW ................................................................................................................................................................ 7-1
TRANSFERRING PERSONNEL RECORDS ............................................................................................................................ 7-1
TRANSFERRING ELECTRONIC OFFICIAL PERSONNEL FOLDERS (EOPF) .................................................................................... 7-1
TRANSFERRING RECORDS TO ANOTHER AGENCY ............................................................................................................... 7-2
SAMPLE TRANSCRIPT USED IN LIEU OF TRANSFERRING FOLDERS .......................................................................................... 7-5
TRANSFERRING RECORDS TO THE NATIONAL PERSONNEL RECORDS CENTER ........................................................................... 7-6
NOTICE TO SEPARATED EMPLOYEES - RETENTION OF PERSONNEL AND MEDICAL FOLDERS ........................................................ 7-8
USED IN LIEU OF TRANSFERRING FOLDERS ..................................................................................................................... 7-11
CHAPTER 8 INDEX OF DOCUMENTS .................................................................................................................... 8-1
OVERVIEW ................................................................................................................................................................ 8-1
INDEX OF DOCUMENTS BY FORM NUMBER ...................................................................................................................... 8-1
APPENDIX A: STANDARD FORM 127, REQUEST FOR OFFICIAL PERSONNEL FOLDER, FEB 2011 ........................... 1
APPENDIX B: GENDER REASSIGMENT TEMPLATE LETTER FROM AGENCY TO NPRC ............................................ 1
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Revision History Sheet
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REVISION HISTORY SHEET
Release
No
Date
Chapter
Revision Description
Page No
13
June 1
st
, 2011
1
General Personnel Recordkeeping
Policies
Recognition and acknowledgement
of electronic official personnel folder
(eOPF) as the official record
1-1
3
Incorporation of DG forms numbers
pertaining to eOPF
Section 3-B: Call or Active Duty
Orders to the Uniform Services
3-11
Section 3-C: Awards
3-18
Section 3-F-Personnel Actions,
Documenting Personnel Actions
3-30
Section 3-G: Change to Minority
Group Identifiers Ethnicity and
Race Identification
3-40
Section 3-I: Training agencies not
operating in an electronic format to
submit training data to OPF
3-31
4
Reconstruct a Personnel Folder
due to a Change in Gender Identity
4-6
7
Transferring Electronic Official
Personnel Folder (eOPF)
7-2, 5
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Chapter 1 General Personnel Recordkeeping Policies
Overview
This chapter describes general policies governing the creation, maintenance, and disposition of
records used to document human resource management programs established by the Office of
Personnel Management (OPM).
The Guide to Personnel Recordkeeping will state that agencies will recognize the format of the
official personnel folder as the official record. That format will be either paper or for those
agencies that have converted to an electronic format and that format has gone through the
appropriate verification and validation process, the record is recognized as the electronic official
personnel folder.
Regulation
Personnel recordkeeping regulations are found in part 293 of title 5, Code of Federal
Regulations. These regulations establish policies and minimum requirements governing the
creation, development, maintenance, processing, use, dissemination and safeguarding of the
personnel records OPM requires agencies maintain.
General Records Management
Coverage
These instructions refer to storing Official Personnel Folders (OPFs), whether in paper or
electronic format, the permanent records that follow an employee throughout his or her career.
The Official Personnel Folders are under OPM’s control although they are in the physical
custody of the employing agencies and virtual custody of those agencies that recognize the
electronic official personnel folder (eOPF) as the official record.
These instructions do not apply to agency personnel processing systems. These systems are
designed to support personnel operations, feed payroll systems, and meet managers’,
personnelists’, and employees’ needs for information necessary to manage day-to-day
operations. Agencies may create and store their internal, operational information as they choose,
subject to general National Archives and Record Administration (NARA) recordkeeping
guidance. These internal records are not a substitute for the official, permanent documentation
that constitutes the Official Personnel Folder
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Example: The payroll/ personnel system operated through National Finance Center
processes personnel actions, uses that information to process pay actions, and
stores personnel information for access by appropriate employees. The
National Finance Center system is not covered by these instructions. The
Standard Form 50 and other documents produced by the system become part
of the Official Personnel Folder covered by these instructions.
Creating Records
These instructions apply to recordkeeping, not to the process for creating the record. The
circumstances under which a record is created are defined in the appropriate program regulation
and guidance.
Example: These instructions cover filing Official Personnel Folder copies of health
benefits registration forms. The Office of Personnel Management manual,
FEHB: HANDBOOK, explains when to create a health benefits registration
form.
Agencies that want to create electronic versions of standard or optional forms must get approval
from the sponsoring agency. OPM is the sponsoring agency for most of the forms in the official
Personnel Folder.
Example: The Office of Personnel Management is the sponsoring agency for Standard
Form 50, “Notification of Personnel Action.”
Example: The Federal Retirement Thrift Investment Board is the sponsoring agency for
TSP-1, “Thrift Savings Plan Election Form.”
The sponsoring agency establishes procedures for approving electronic processing systems.
These systems allow records to be generated, approved, and stored by electronic means.
Program regulations or operational guidance are the usual sources for these procedures.
Example: Procedures creating electronic processing systems for the Standard Form 50,
“Notification of Personnel Action” are in the Office of Personnel Management
Operating Manual, THE GUIDE TO PROCESSING PERSONNEL
ACTIONS.
Definition: Records
Records include all papers, maps, photographs, machine-readable materials or other
documentation, regardless of physical form/virtual form (electronic), made or received by the
Government in connection with the transaction of public business and preserved as evidence of
decisions, operations, or other activities of the Government.
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The NARA administers the Federal records management program as stated in 44 U.S.C. section
3101. NARA’s regulations on records creation, maintenance, and disposition are in Chapter XII
of title 36, Code of Federal Regulations.
Civilian personnel records are any records concerning an individual which are maintained and
used in the personnel management or personnel policy setting process. These include records that
relate to the supervision over, and management of, Federal civilian employees; records on the
general administration and operation of human resource management programs and functions; as
well as records that concern individual employees.
Examples:
Position classification correspondence
The Official Personnel Folder/eOPF
Adverse action case file
Creating Personnel Records
Personnel records may be created because they are required by:
statute or Executive Order
regulation
operational guidance from central management agencies
agency records management programs
Each Office program that requires agencies to create personnel records, which may be used in
making any determination about an individual, is responsible for establishing minimum
standards of accuracy, relevancy, necessity, timeliness, and completeness of the record that
would promote fairness to the individual in the determination, 5 U.S.C. 552a (e)(5). An agency
holding an OPF concerning one of its employees is the custodian of the OPF during the period
the person to whom it pertains is an employee of the agency and is responsible for the
maintenance of that record regardless of format or media employed.
Retention of Personnel Records
The NARA regulations in Title 36, Code of Federal Regulations, include procedures for
determining how long agencies must keep records and when they may dispose of records. NARA
issues General Records Schedules that provide authority to dispose of such records, generally on
a Government-wide basis. To cover records common to a number of agencies, General Records
Schedule 1 covers civilian personnel records and General Records Schedule 20, Electronic
Records.
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Privacy Act Records
The Privacy Act of 1974, as amended (5 U.S.C. 552a) applies to individual records maintained in
a “system of records,” meaning a group of records under the control of an agency. Information
is retrieved by the name or other particular identifier (for example, employee number) assigned
to the individual.
Example: The Privacy Act applies to the Official Personnel Folder.
Example: The Privacy Act does not apply to files on position classification standards
development.
Agencies that maintain systems of records must publish notices in the Federal Register
describing the records, their uses, and the ways people can access the records.
The Office of Management and Budget (OMB) publishes Government-wide guidance
concerning the Privacy Act. OMB Circular A-130 describes agencies’ responsibilities for
implementing the reporting and publication requirements of the Privacy Act.
Government-wide Systems of Records
Agency must publish a notice in the Federal Register when it establishes or revises a system of
records. 5 U.S.C. 552a(e)(4). OPM publishes systems of records for a number of
Governmentwide human resource management functions. These are:
OPM/GOVT-1 General Personnel Records
OPM/GOVT-2 Employee Performance File System Records
OPM/GOVT-3 Records of Adverse Actions, Performance Based
Reduction in Grade and Removal Actions, and
Termination of Probationers
OPM/GOVT-5 Recruiting, Examining, and Placement Records
OPM/GOVT-6 Personnel Research and Test Validation Records
OPM/GOVT-7 Applicant Race, Sex, National Origin, and Disability Status
Records
OPM/GOVT-9 File on Position Classification Appeals, Job Grading Appeals, and
Retained Grade or Pay Appeals
OPM/GOVT-10 Employee Medical File System Records
These are OPM’s records, although they are in the physical custody of other agencies. OPM’s
regulations implementing the Privacy Act are in part 297 of title 5, Code of Federal Regulations.
The notices that describe the Office’s systems of records, including the Governmentwide
systems of records, are published in the Federal Register.
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Agency Records
Agencies may establish their own personnel recordkeeping requirements to meet special needs.
If an agency establishes a system of records as defined in the Privacy Act, the agency is
responsible for ensuring the Act’s requirements are met following OMB’s guidance. Note,
however, OMB Circular A-130 says “Agencies should not publish systems of records that
wholly or partly duplicate existing government-wide systems of records.”
Example: Life insurance coverage (FEGLI code) is contained in both the Official
Personnel Folder and agency payroll records. Thus, agency payroll records
may contain personnel information; but since agency payroll records are not
covered by OPM’s Governmentwide systems of records, only the FEGLI
election documentation in the OPF is within OPM’s system of records.
Central Personnel Data File (CPDF) and Enterprise Human Resources Integration data
warehouse’s Central Employee Record (CER) are part of OPM/Govt-1 system of records. CPDF
and CER are highly reliable sources of statistical data on the workforce of the Federal
government. However, the accuracy and completeness of each data element within the
individual records that comprise the aggregate files are not guaranteed, and should not be used as
a substitute for the Official Personnel Folder/eOPF in making personnel determinations or
decisions concerning individuals.
Safeguarding Personnel Records
General Protection
Agencies should have management controls to ensure personnel records:
adequately document human resource management operations;
are accurate and timely;
are protected against loss or unauthorized alteration;
document the employment history of individuals employed by the Federal
Government;
can be located when necessary;
are retained and disposed of as required by General Records Schedules 1.; and
secured against unauthorized access. For example, paper or microfiche/ microfilmed
personnel records subject to the Privacy Act should be stored in locked metal file
cabinets or in a secured room. Access to electronic records are limited to authorized
users through use of logins, passwords, access codes and entry logs. 5 CFR
293.106,107,108 provide additional guidance and requirements.
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Access to personnel records subject to the Privacy Act should be limited to those whose official
duties require such access. This limitation applies to paper, microfiche/ microfilm, and
electronic records. Agencies should establish procedures to allow employees or their designated
representatives’ access to their own records. These procedures should ensure the records remain
subject to the agency’s control at all times. Agencies must ensure those authorized to access
personnel records, subject to the Privacy Act, understand how to apply the Act’s restrictions on
disclosing information from systems of records. See Chapter 6 of this Guide for special
instructions on releasing information from personnel records.
Prior to transfer of a Personnel Folder (whether in a paper or electronic format) to an agency
under OPM’s recordkeeping authority, agencies must remove or conceal all Social Security
Numbers (SSNs) and other personally identifying information belonging to someone other than
the subject that are displayed on records in the Personnel Folder (i.e., lists covering more than
one employee in a personnel action) and provide a copy to the employee of the changed record.
Exceptions: Any SSNs for beneficiaries and assignees identified on FEGLI forms SF
2823, Designation of Beneficiary and RI 76-10, Assignment Federal
Employee’s Group Life Insurance Benefit; SF 2809 and SF 2810; and FEHB
or FEGLI-related documents of a legal or medical nature such as those
described in Section 3-D; Benefits (p. 3-19) must NOT have non-employee
SSNs redacted, as this information is crucial to payment of benefits.
In addition, agencies must guard against disclosure of personally identifying information (PII)
belonging to someone other than the subject of the personnel file that may occur when an
individual request access to his/her personnel files. Agencies must review a personnel file prior
to providing access to the subject of the file and take appropriate action such as removal or
concealment of SSNs and other PII.
Disciplinary Action
Any employee who discloses personal information from personnel records knowing that such a
disclosure is unauthorized may be subject to disciplinary action as well as criminal sanctions as
provided under the Privacy Act.
Interagency Personnel Records
Interagency personnel records are those transferred with the employee as he or she moves from
agency to agency. The three types of interagency personnel records are:
Official Personnel Folder (OPF)/eOPF
Employee performance records
Employee Medical Folder (EMF)
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Official Personnel Folder
The Official Personnel Folder (Standard Form 66) or its approved electronic equivalent is a file
containing records that cover an individual’s employment history. It covers Executive Branch
service under title 5, United States Code. The long-term records included in the file protect the
legal and financial rights of the Government and the employee.
Employee Performance Records
Employee performance records include ratings of record, supporting documentation for those
ratings, and any other performance-related material required by agency performance appraisal
system.
The employee performance records are covered by the Governmentwide system of records,
OPM/GOVT-2. Agencies may decide what records to maintain and where to store such records.
When an employee leaves (transfers to another agency or separates from Government), some
information from the employee performance records must be put in the Official Personnel
Folder. Chapter 7 of this Guide has instructions on transferring employee performance
information.
Employee Medical Folder
The Employee Medical Folder (EMF) is Standard Form 66-D. Records from the EMF are
transferred to long-term occupational medical records when an employee separates from the
agency. Occupational medical records are records that contain employment-related information
about an employee’s health status, including personal and occupational health histories and the
opinions and written evaluations generated in the course of diagnosis and/or employment-related
treatment/examinations by medical health care professionals and technicians.
Medical records described above must never be filed in the Official Personnel Folder.
Agencies decide what medical records to maintain and where to store such records during the
employee’s service with the agency. Agencies may use the Employee Medical Folder to store
medical records during the employee’s service but must use the Employee Medical Folder to
transfer long-term occupational medical records when the employee separates. The Employee
Medical Folder transferred to another agency may not include drug testing records created under
Executive Order 12564 or records relating to employee drug and alcohol abuse counseling or
treatment or other counseling programs conducted under chapter 79 of title 5, United States
Code. Refer to Chapter 7 of this Guide for instructions on transferring the Employee Medical
Folder.
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The Employee Medical Folder is part of the Governnmentwide system of records, OPM/GOVT-
10.
Other Federal Service
Federal service includes Government service outside of OPM’s recordkeeping authority.
Records documenting that service are not filed under the instructions in this Guide and are not
kept in an Official Personnel Folder. OPM has reached agreements to share files with a number
of agencies that create such records. Section 2-A of this Guide shows the agencies and types of
employment not under OPM’s recordkeeping authority. It also explains the procedures for
transferring records created outside OPM’s recordkeeping authority. When employment records
created under OPM’s recordkeeping authority are mixed in the same file with employment
records created outside OPM’s recordkeeping authority, they are generally kept in a Merged
Records Personnel Folder (Standard Form 66-C) or approved electronic equivalent.
Example: Employment with the General Accountability Office is outside OPM’s
recordkeeping authority.
Electronic Records
Electronic records are information recorded in a form only a computer can process. Electronic
formats include any media read by a computer.
Office of Personnel Management eOPF Requirements
The purpose of the electronic Official Personnel Folder (e-OPF) and the paper Official Personnel
Folder (OPF) is to document the employment history of individuals employed by the Federal
Government. The electronic Official Personnel Folder must be complete; that is, when
combined with any other documents the agency chooses to retain in paper, or is required by law
or regulation to be maintained in paper, it must contain all the information.
OPM requires that each agency ensures that electronic Official Personnel Folder systems
Be thoroughly documented.
Be able to produce legible paper copies of all records. These copies should be in
compliance with the Guide to Preparing Personnel Actions, Chapter 3, Subchapter 3 for
SFs 50 & 52. Other form copies should be in conformance with the requirements of the
program office that requires the collection and use of the information in accordance with
41 CFR subchapter B, Management and Use of Information and Records, part 101-11-
203 (b), Standard Forms and Optional Forms Management Program.*
Have access controls to ensure a high level of security and confidentiality.
Allow correction and removal of erroneous records under strict authorization controls.
Include backup and disaster recovery procedures.
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Provide for regular recopying, reformatting, and other maintenance necessary to ensure
that the records will be retained and useable throughout its life cycle.
Identify information in a way that authorized users can retrieve and maintain the required
records.
*This is not to discourage the use of electronic summaries of information previously
provided on a form. It is to ensure the information captured by the summary meets
the requirements of the program office that requires the collection and use of the
information.
Approval Process for eOPF
Requests for approval to establish electronic Official Personnel Folders should describe how the
proposed system will meet requirements set by NARA, Office of Management and Budget
(OMB), and Office of Personnel Management (OPM). Offices should request approval to create
electronic Official Personnel Folders from:
Deputy Associate Director
Office of the Chief Information Officer
Office of Personnel Management
1900 E Street, NW.
Washington DC 20415-6000
e-mail: [email protected]
An agency may create electronic Official Personnel Folders after OPM approves the system.
OPM will work with the National Archives and Records Administration to authorize retention of
the electronic Official Personnel Folder as the official record. Part of the process may include the
conversion of paper OPFs to the electronic format. The general standard for the converted
record is that it must be of a quality that is as legible as the paper original. This applies to the on
screen image as well as paper reproduction from an electronic image. After conversion the
agency must continue to maintain paper folders for the period specified in the approval.
Exceptions: The following documents must be initiated in paper:
RI 76-10, Assignment of Federal Employee’s Group Life Insurance
Standard Form 2823, Designation of Beneficiary under the Federal
Employee’s Group Life Insurance
Standard Form 3102, Federal Employees Retirement System
Designation of Beneficiary
Standard Form 2808, Designation of Beneficiary, CSRS
Regarding the witness signatures on the preceding documents, the document must be initiated in
paper with handwritten signatures. They may then be converted to an electronic format via
electronic scanning.
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Standards
Electronic Official Personnel Folders must meet the National Archives and Records
Administration’s standards for electronic records. These standards are in part 1234 of title 36,
Code of Federal Regulations.
Security Requirements
The electronic Official Personnel Folder system must meet the security requirements established
under OMB Circular No. A-130. Copies of this circular may be obtained from:
Executive Office of the President
Publications Service, Suite G-2200
725 17th Street, NW.
Washington DC 20503
Transferring Electronic Official Personnel Folders (eOPF)
The last employing (losing) agency will provide access to the electronic folder in an appropriate
electronic format designated by the gaining agency or provide a paper format if the electronic
systems are not compatible or if the gaining agency is operating in a paper environment. The
losing agency, after completion of a transfer of an electronic personnel folder, must disable its
access to the electronic version of the personnel folder to ensure it complies with the
requirements of regulations implementing the Privacy Act at 5 CFR 297.401.
Electronic Signatures
This covers the use of electronic signatures on personnel documents except as specifically
excluded on Part C-2 of the Standard Form 52 and block 50 of the Standard Form 50. Guidance
on the use and approval for electronic signatures in Part C-2 of the Standard Form 52 and in
block 50 of the Standard Form 50 is found in Chapter 3 of the Guide to Processing Personnel
Actions.
For the purpose of this policy, an electronic signature is defined as:
A signature initiated from an electronically generated process.
Listed below are two examples of electronic signatures:
A computer data compilation of any symbol or series of symbols, executed, adopted, or
authorized by an individual to be the legally binding equivalent of the individual's
handwritten signature.
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A data element associated with a message that identifies a person and indicates his or her
approval of the contents of the message.
The Government Paperwork Elimination Act (GPEA), Public Law 105-277, requires agencies to
provide individuals or entities the option to submit information or transact with the agency
electronically and to maintain records electronically when practicable. GPEA specifically states
electronic records and their related electronic signatures are not to be denied legal effect,
validity, or enforceability merely because they are in electronic form.
The Office of Management and Budget (OMB) issued guidance on the implementation of GPEA
and use of electronic signatures in Appendix II of OMB Circular A-130, Management of Federal
Information Resources.
Agencies may institute the use of electronic signatures for personnel records, business
applications, and information collection whenever the use of electronic transactions is practicable
and:
the use is not prohibited by law or regulation;
the document containing the electronic signature is not required to be retained in paper
format; or the document is not on the following list of exclusions.
Electronic Signature Exclusions
SF 2823 Designation of Beneficiary under FEGLI Program*
SF 3102 Designation of Beneficiary FERS*
SF 2808 Designation of Beneficiary( CSRS)
RI 76-10 Assignment of Federal Employees, Group Life Insurance (FEGLI)
(must be witnessed)
*Regarding the witness signatures on the preceding documents, the document must be initiated
in paper with handwritten signatures. They may then be converted to an electronic format via
electronic scanning.
Signatures as Part of the Official Record
Agencies may accept both hand-written and electronic signatures as part of the official record.
Agencies may recognize official records in either electronic or paper format.
If the agency recognizes the official record in an electronic format, it may accept:
An electronic signature; or
A hand-written signature as a part of a document and convert the document (i.e. scan it)
into an accessible, reproducible, legible, quality approved electronic format. Once the
conversion has been completed, the contents of the document along with the signature are
recognized as the official record.
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If the agency recognizes the official record in paper format, it can accept the electronic or hand-
written signature as a part of a document and file the document on the appropriate side of the
official personnel folder.
Inquiries
Questions concerning the technical use of electronic signatures and alternatives should be
directed to the agency’s CIO. Other questions about the use of electronic signature for personnel
documents should be directed to:
Office of Personnel Management
Deputy Associate Director
Office of the Chief Information Officer
1900 E Street, N.W.
Washington, DC 20415-5000
E-mail: [email protected]
Microforms
OPM may approve requests to create microform Official Personnel Folders both for storage
while the employee is serving with the office that creates the microform and for transfer to the
next employing office or the National Personnel Records Center.
Microform Official Personnel Folders must meet NARA standards for microform records. These
standards are found in part 1230 of title 36, Code of Federal Regulations.
Offices planning to maintain microform Official Personnel Folders should obtain a copy of the
Guidelines and Control Requirements for Microform Official Personnel Records. These
guidelines include information on the format, organization, and maintenance of microform
records.
Address requests for a copy of the guidelines to:
Office of Personnel Management
Deputy Associate Director
Office of the Chief Information Officer
1900 E Street, NW.
Washington DC 20415-6000
email: [email protected]
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Offices must submit a microforms operations plan that describes how they will create and
maintain microform Official Personnel Folders that meet NARA and OPM requirements. After
the microforms operations plan is approved, the office may create microform folders but must
continue to maintain paper folders for the period specified in the plan’s approval. At the end of
that period, the office must certify their microform system meets all requirements in the
operations plan. The microform folders will then be the official records.
Offices maintaining microform Official Personnel Folders as the official record will transfer
those microform records just as they would transfer paper records.
Reading Microforms
An office that receives a microform Official Personnel Folder must maintain that folder as the
official record. If the receiving office cannot effectively use the microform Official Personnel
Folder in its operating environment, it should contact the office that created the microform and
arrange to get paper copies of necessary documents. These paper copies are for the receiving
office’s internal use; they will not replace the official microform record.
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Chapter 2 Establishing Personnel Records
Overview
This chapter describes procedures for establishing interagency personnel records when an agency
hires an individual. Interagency personnel records include:
personnel folders
medical folders
performance records
General Rule
Each employee will have a single personnel folder which will document the entire period of
Federal civilian service. If long-term occupational medical records are created on the employee,
these records will be combined in a single medical folder that will be used for the entire period of
Federal civilian service. The procedures described in this chapter are designed to ensure all
appropriate interagency personnel records are available in a single folder.
Identifying Prior Federal Civilian Service
First Step
The first step in determining how to establish the appropriate records systems for a new
employee is to identify whether or not he or she has been previously employed in the Federal
civilian service. Records of such service are usually combined with records created during the
current period of employment.
Where to look
Review the employee’s application and the Standard Form 144, Statement of Prior Federal
Service to determine if he or she has been previously employed in the Federal civilian service.
Definition: Federal civilian service
Federal civilian service includes appointments with and without pay in the Executive,
Legislative, and Judicial branches of the Federal Government. For this purpose, it also includes
periods of volunteer service under section 3111 of title 5, United States Code documented on a
Standard Form 50.
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There are periods of service that are not Federal civilian service but may be creditable for certain
purposes, such as annual leave accrual, reduction-in-force, and retirement.
Examples: military service, volunteer service with the Peace Corps or ACTION,
employment under Department of Agriculture county committees, work with
overseas broadcasting corporations.
Records covering these periods of service are retained by the agency or organization for which
the service was performed. The actual records of such service are not combined with personnel
records covering Federal civilian employment. Summaries or verification of such creditable
service are made part of the employee’s personnel folder as supporting documentation for
service credit or other similar determinations. Chapter 6 of the Operating Manual, THE GUIDE
TO PROCESSING PERSONNEL ACTIONS, and Chapter 20 of the Operating Manual, THE
CSRS AND FERS HANDBOOK FOR PERSONNEL AND PAYROLL OFFICES provide
guidance on verifying such service.
Requesting Records for Prior Service
Requesting records
When the employee begins work, the personnel office must request the personnel records for
new employees with prior Federal civilian service. Where and how to request prior service
records depends on the type of prior service the employee had and whether he or she is currently
a Federal employee.
National Personnel Records Center
Always contact the National Personnel Records Center (NPRC) to make sure all prior service
records are filed together. The employee may not list all prior service in the application
documents; a former employer may have failed to check for all prior service records.
Request both personnel and medical folders.
Personnel Folder: Send a Standard Form 127, Request for Official Personnel Folder, in
duplicate, to request any personnel folder(s).
Employee Medical Folder: Send a Standard Form 184, Request for Employee Medical
Folder, to request any medical folder(s).
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Send the requests to:
National Archives and Records Administration
National Personnel Records Center
1411 Boulder Boulevard
Valmeyer, IL. 62295
Note there are two separate forms to request both the personnel and medical folders.
Performance records transferred from agency to agency will be on the left side of the personnel
folder.
Previous or current employer
Records generally will be with the previous employer if the person:
Is or has been on that employer’s rolls within 90 days prior to the new appointment
Is receiving severance pay
Is on the previous employer’s reemployment priority list
Was last employed in the Foreign Service and has separated within the year prior to the
new appointment.
Send the previous employer a note requesting the personnel folder (including performance
records) and medical folder. Include a copy of the Standard Form 50, Notification of Personnel
Action, appointing the person. (If it is not available, use a copy of the Standard Form 52,
Request for Personnel Action or other approved document showing the appointment and
effective date).
Employers using transcript
Some employers not within OPM’s recordkeeping authority do not transfer personnel records.
These employers will provide a transcript of service and documents on benefits. The benefits
documents generally include the equivalent of the Official Personnel Folder copy of health
insurance, life insurance, retirement, and Thrift Savings Plan documents. If the employer has a
leave system similar to the civil service, the benefits documents may include information on the
employee’s leave balances. Request a transcript of service, benefits documents, and leave
balances, instead of requesting the personnel and medical folders from these employers.
Employers who provide transcripts service include:
Architect of the Capitol
Board of Governors of the Federal Reserve System
Central Intelligence Agency
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Congressional Budget Office
District of Columbia Government
Federal Bureau of Investigation
Tennessee Valley Authority*
U.S. Botanical Gardens
U.S. House of Representatives
U.S. Senate.
*The Tennessee Valley Authority’s transcript is a microfiche copy of their personnel records.
Establishing Folders
Performance records
Follow agency instructions to establish employee performance files. Performance records
transferred from a previous employer may be filed with performance records created in the
current agency. The General Records Schedules specifies performance records for non-Senior
Executive Service employees should be destroyed when 4 years old; for Senior Executive
Service employees, when 5 years old.
Medical records
Follow agency instructions to establish employee medical files. Medical records should be
transferred from previous employers in an Employee Medical Folder, Standard Form 66 D.
Agencies have the option to continue to use that folder for any medical records created during
the current period of employment. Regardless of how the records are stored during the
employee’s service, all long-term occupational medical records must be placed in a single
Employee Medical Folder when the employee leaves the agency. Chapter 7 contains information
on transferring medical records when an employee separates.
Personnel records
Personnel records that document an individual’s Federal career are placed in a single personnel
folder or eOPF. The type of folder to be used depends on the kinds of service the employee has.
There are three authorized personnel folders:
Official Personnel Folder, Standard Form 66
Merged Records Personnel Folder, Standard Form 66 C
Foreign Service Administrative Folder
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Official Personnel Folder
The Standard Form 66, Official Personnel Folder must be used when:
All of the employee's Federal service is under OPM’s recordkeeping authority. (All
employment in the competitive service, Senior Executive Service, excepted service under
Schedule A, B or C is under the Office’s recordkeeping authority.); OR
Any service outside OPM’s recordkeeping authority is documented by a transcript.
Section 2-A lists service documented by a transcript rather than an exchange of records.
The Merged Records Personnel Folder
When the employee has service both under OPM’s recordkeeping authority and under one of the
personnel systems listed below. The Standard Form 66 C, Merged Records Personnel Folder
must be used instead of the Standard Form 66, Official Personnel Folder. Records under the
systems listed below are combined with records created under OPM's recordkeeping authority in
a single folder but each agency retains “ownership” of its records.
Administrative Office of the U.S. Courts
Civilian Intelligence Personnel Management System within the Department of Defense
Federal Judicial Center
Government Accountability Office
Library of Congress
Medical positions filled under title 38 United States Code within the Department of
Veterans Affairs
National Security Agency
Non-Appropriated Fund Instrumentalities within the Department of Defense
Transportation Security Administration
U.S. Postal Service
White House - Executive Office of the President
Section 2-A contains more information on how to identify records for personnel systems not
under OPM’s recordkeeping authority.
Foreign Service Folder
The Foreign Service (Administrative) Folder must be used when the employee has any Foreign
Service experience. Once a Foreign Service Folder has been created, all of the employee’s
personnel records are kept in that Folder. Section 2-A lists the agencies that make Foreign
Service appointments.
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Examples:
Employee held a Schedule B accepted appointment with the U.S. Fish and Wildlife
Service prior to appointment to a competitive service position in the Internal Revenue
Service. Use the Official Personnel Folder since all service is under OPM’s
recordkeeping authority.
Employee held a competitive service position with the Bureau of Prisons and an excepted
service position with the Federal Bureau of Investigation prior to appointment in the
Senior Executive Service with the Forest Service. Use the Official Personnel Folder.
The Federal Bureau of Investigation retains its personnel records and provides a
transcript that becomes part of the Official Personnel Folder.
Employee of the General Accountability Office is hired by the Bureau of Prisons. Use a
Merged Records Personnel Folder. Service with the General Accountability Office since
October 1, 1980, is not under OPM ’s recordkeeping authority but the General
Accountability Office has agreed to transfer its personnel records using a Merged
Records Personnel Folder.
Foreign Service employee in Department of State is hired by the Internal Revenue
Service. Use a Foreign Service Folder. Foreign Service is not under OPM’s
recordkeeping authority but the Department of State has agreed to transfer its personnel
records using the Foreign Service Folder.
Schedule A employee in the Department of State is hired for a competitive service
position by the Internal Revenue Service. Use an Official Personnel Folder. Excepted
service (Schedule A) and competitive service employment are under OPM’s
recordkeeping authority.
Use the existing personnel folder
If there is an existing personnel folder, use it unless it is in poor condition. Check to make sure
the records are filed in the correct type of folder. Create a new folder if needed.
Folder label
The Official Personnel Folder, Merged Records Personnel Folder, and Employee Medical Folder
(Standard Forms 66, 66 C, and 66 D) all require the same type label. The position of the label on
the right side of the folder is indicated on the folder. The label must have the following three
items.
NAME: Type the employee's name exactly as it is on the Standard Form 50, Notification
of Personnel Action.
DATE OF BIRTH: Type the date of birth, month, day and year in six numerals with
dashes between day, month, and year.
Example: January 14, 1974 is typed 01-14-74.
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SOCIAL SECURITY NUMBER: Type the employee's social security number (SSN)
directly under the name. Show an SSN for all United States citizens and for all foreign
nationals serving in the 50 states and non-foreign areas listed in section 591.205 of title 5,
Code of Federal Regulations (5 CFR 591.205).
Example: DOE, JANE R.
SSN: 999-99-9999
Use "FNO" instead of the social security number for foreign nationals serving in locations other
than the 50 states or non-foreign areas listed in 5 CFR 591.205.
Do not make any marks or notations on the folder
Do not add any markings, notations, or tabs to the Official Personnel Folder, Merged Records
Personnel Folder, or Employee Medical Folder. Do not add any markings or notations on the
label. Only official codes authorized by the National Personnel Records Center are permitted on
the front of the folder.
When using a bar code labeling system, place the bar code label:
on the side of the folder containing the file label, but at the end opposite the employee's
name; or
on the back of the folder.
Reviewing and Combining Records
Rule
If the employee had prior Federal civilian service, records for that service must be combined
with records for the current period of employment in a single file or folder. Follow the
procedures below to review and combine records.
Example: The National Personnel Records Center sends two Official Personnel Folders
in response to a request for a new employee’s records. The records from these
two folders must be combined with the records created during the
appointment process into a single Official Personnel Folder.
Performance Records
The left side of the personnel folder (or the “Temporary” folder in eOPF) should contain the
performance records transferred from agency to agency. These records are:
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Senior Executive Service: Annual summary ratings are five years old or less; any
appraisals prepared since the most recent annual summary rating; and performance plans
for each rating.
All Others: Ratings of record four years old or less. Ratings of record include the
evaluation of the employee’s performance against the elements and standards plus the
summary level, pattern, and ending date of the appraisal.
If the performance records are not in the folder and it appears the employee was subject to a
performance appraisal system, request the records from the former employer. Follow the
agency’s instructions for filing performance records.
Medical Records
Review records in the Employee Medical Folder to ensure they are in chronological order.
Combine these records with any medical records created during the appointment process.
Follow the agency’s instructions for filing medical records.
Personnel Records
Step 1 Action
Remove any documents transferred on the temporary or left side of the folder and follow agency
instructions for processing those documents.
Documents transferred on the temporary or left side of the folder include the performance
records, Record of Leave Data (Standard Form 1150) or equivalent record of leave balances, and
documentation of indebtedness to the health benefits fund for pay periods begun before
September 30, 1996.
Step 2 Action
Remove inappropriately filed documents.
Always remove any reference to race or ethnicity including the Standard Form 181, Race and
National Origin identification; the Standard Form 256, Self-identification of medical Disability;
and OPM form 1635, Welfare to Work Program.
Do not remove any other records in a merged Records Personal Folder or Foreign Service Folder
for periods of employment outside of OPM’s recordkeeping authority. Refer to Chapter 3 to
decide which documents should be filed in an Official Personnel Folder and in the portions of
Merged Records Personnel Folder or Foreign Service Folder dealing with employment under the
Office’s authority.
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Step 3 Action
Check the documents for completeness and accuracy. Follow the appropriate program
instructions to correct any errors.
Example: follow instructions in THE GUIDE TO PROCESSING PERSONNEL
ACTIONS to correct Standard Form 50, Notification of Personnel Action.
Step 4 Action
Combine all appropriate records in chronological order in a single folder.
Employment Systems Outside the Office of Personnel Management’s
Recordkeeping Authority
Federal civilian service includes Government service under employment systems outside OPM’s
recordkeeping authority. Some of the agencies authorized to use these employment systems
have agreed to transfer their personnel records and mix those records with personnel records
created during periods of employment under OPM’s recordkeeping authority. Other agencies do
not transfer personnel records but do provide transcripts of service and other documentation (for
example, health insurance, life insurance, retirement, and Thrift Savings Plan documents).
The material in this section describes the employment systems outside OPM’s recordkeeping
authority, the agencies that use those systems and information that helps to identify service under
those systems.
Employment System or Agency
Employment System or
Agency
Description
Administrative Office of the U.S.
Courts
Identify service by the agency name.
Transfer personnel folders.
Use the Merged Records Personnel Folder
Architect of the Capitol
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder/eOPF.
Board of Governors of the Federal
Reserve System
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder/eOPF.
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Employment System or Agency
Employment System or
Agency
Description
Central Intelligence Agency
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder/eOPF.
Civilian Intelligence Personnel
Management System
Used by Department of Defense, including the
Departments of Air Force, Army, and Navy.
Identify by legal authority UAM on records.
Transfer personnel folders.
Use the Merged Records Personnel Folder.
Congressional Budget Office
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder.
District of Columbia Government
Identify service by the agency name.
Service prior to January 1, 1980 should be
documented in an Official Personnel
Folder/eOPF.
Service on and after January 1, 1980 is
documented by a transcript.
Use the Official Personnel Folder.
Federal Bureau of Investigation
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder.
Federal Judicial Center
Identify service by the agency name.
Transfer personnel folders.
Use the Merged Records Personnel Folder
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Employment System or Agency
Employment System or
Agency
Description
Foreign Service
Used by:
Agency for International Development,
Broadcasting Board of Governors, Departments
of Agricultural (Animal and Plant Health
Inspection Service, Foreign Agriculture
Service), Department of Commerce
(International Trade Administration),
Department of State, Peace Corps
Identify service by Foreign Service Folder and
legal authority UFM and pay plan FA, FE, FO,
FP, or FZ on records.
Transfer personnel folders.
Use the Foreign Service (Administrative)
Folder/eOPF.
General Accounting Office
Identify service by the agency name.
Transfer personnel folders or electronic
personnel folders.
Use the Merged Records Personnel Folder.
Library of Congress
Identify service by the agency name.
Transfer personnel folders or electronic
personnel folders.
Use the Merged Records Personnel Folder.
Medical and other positions Filed
Under Title 38 United States Code-
Department of Veterans Affairs
Identify service by the agency name.
Transfer personnel folders.
Use the Merged Records Personnel Folder or
electronic personnel folders.
National Security Agency
Identify service by the agency name.
Transfer personnel folders.
Use the Merged Records Personnel Folder
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Employment System or Agency
Employment System or
Agency
Description
Non-appropriated Fund
Instrumentalities Department of
Defense
Department of Defense NAF
Agencies:
NAF(Army Air Force Exchange)
NAF(Army Morale, Welfare
Recreation Activity)
NAF(Air Force Morale, Welfare
Recreation Activity)
NAF(Navy Instillation Command)
NAF(Marine Corps Community
Service)
NAF(Defense Logistics Agency)
NAF(Armed Forces Information
Service)
NAF(Defense Finance and
Accounting Service)
NAF(Defense Human Resource
Resources Activity)
NAF(Office of the Secretary of
Defense)
NAF(Navy Exchange Service
Command)
Identify service by Non-appropriated Fund
folder and/or to non-appropriated fund,
exchange services, open mess or other services
provided by Defense agencies.
Transfer personnel folders.
Use the Merged Records Personnel Folder.
Tennessee Valley Authority
Identify service by the agency name.
Service documented by a transcript on
microfiche.
Use the Official Personnel Folder.
Transportation Safety Administration
Identify service by the agency name.
Transfer personnel folders/electronic personnel
folders .
Use the Merged Records Personnel Folder.
U.S Botanical Gardens
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder.
U.S. House of Representatives
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder.
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Employment System or Agency
Employment System or
Agency
Description
U.S. Postal Service
Identify service by Postal Service, folder and/or
PS form numbers on record.
Transfer personnel folders.
Use the Merged Records Personnel Folder
U.S. Senate
Identify service by the agency name.
Service documented by a transcript.
Use the Official Personnel Folder.
White House- Executive Office of the
President
Identify service by the agency name or title 3,
United States Code on records.
Transfer personnel folders or electronic
personnel folders.
Use the Merged Records Personnel Folder.
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Chapter 3 Filing Documents in the Personnel Folder
General Filing Procedures
Records are filed in the Official Personnel Folder to document events in an individual’s Federal
employment history that have long-term consequences for the employee and the Government.
Care should be exercised in filing documents correctly to ensure all documents pertaining to an
employee's rights and benefits are available in the personnel folder when needed.
Personnel folder documents are either long-term or temporary documents. Certain documents
must never be filed in the personnel folder.
Long-term Documents
Long-term documents are records kept for the life of the folder, usually 115 years from the
employee's date of birth. These documents are filed in chronological order on the right (or in the
“Permanent” folder in eOPF) side of the personnel folder.
Temporary Documents
Temporary documents are documents not kept for the life of the personnel folder. These
documents are filed on the left side (or in the “Temporary” folder in eOPF) of the folder.
Prohibited Documents
Prohibited documents are records that must never be replaced in a personnel folder. The
prohibition may come from statutes, such as the Privacy Act, or from regulation such as title 29,
Code of Federal Regulations.
Example: Standard Form 181, Race and National Origin Identification
Rescinded filing requirements
Rescinded filing requirements are document filing requirements cancelled as of a given date.
When filing requirements are rescinded, the document(s) should no longer be filed on the right
side of the personnel folder. See section 3-H for instructions on handling documents already on
file in the personnel folder.
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Obsolete Forms
Specific forms may become obsolete because of legislative or procedural changes in human
resource programs. They may be replaced by other forms or documents. The entire process
under which the forms were created may be discontinued. Even though the form is obsolete, the
reason for keeping the form as a part of the employee’s history may still exist. The form may
still be filed appropriately as a long-term document in the personnel folder. Such obsolete forms
are listed in the sections of this chapter as documents authorized for long-term retention in the
personnel folder.
Procedures
Before filing documents in the personnel folder:
Step 1 Action
Make sure the document should be filed in the personnel folder. Some documents must never be
filed in the personnel folder. Other documents belong in case files rather than the personnel
folder. Once a document is entered within the OPF, it will not be altered or amended except
pursuant to law. (On occasion, OPM has granted agency requests to block out the first five digits
of the SSN and will continue to do so on a case-by-case basis.)
Reminder: Social Security Numbers (SSNs) and other personally identifiable information
belonging to someone other than the subject that are displayed on records in the Personnel Folder
must be removed or concealed ( i.e., lists covering more than one employee in a personnel
action), and the agency must provide a copy to the employee of the changed record
Step 2 Action
Place the document correctly on the right or left side and in chronological order.
Placement – Right Side
The right side (or in the “Permanent” folder in eOPF) of the personnel folder is reserved for
long-term documents. Only documents authorized by OPM may be placed on the right side of
the folder. These documents are listed in the sections in this chapter. Note these instructions
cover filing only. For information on when and how to create the document, refer to the
appropriate program guidance.
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Placement – Left Side
The left side (or in the “Temporary” folder in eOPF) of the personnel folder is used for
temporary documents. In a few cases, program guidance requires a document be filed on the left
side of the personnel folder. Those cases are listed in the sections in this chapter. Documents
not listed in the sections may be filed in the personnel folder at the agency’s option.
Agencies may choose to file other material on the left side of the folder as long as:
The document relates to the individual who is the subject of the folder. General
documentation of personnel operations is not appropriate for filing in the personnel
folder.
The document is a personnel record- not travel, payroll or financial records. Disclosure
records are not personnel records
OPM guidance does not prohibit filing the document in the folder. Prohibited documents
are listed in the sections in this chapter.
Other guidance does not require the materials be filed in separate files; for example,
documentation of health benefits enrollments under temporary continuation of coverage.
Examples of material to be filed on the left side:
Current position description;
Standard Form 1152, Designation of Beneficiary for Unpaid Compensation;
Letters of reprimand or caution.
Examples of material not to be filed on the left side:
Time and attendance reports;
Records on claims under the Federal Employee’s Compensation Act;
Equal Employment Opportunity complaint records.
When an employee leaves the agency, only specific temporary documents are transferred with
the personnel folder. These documents include performance information, notice of employee
indebtedness to health benefits fund, and records of leave data (Standard Form 1150). Chapter 7
contains more information on transferring personnel folders.
Chronological Order
Right hand side documents must be filed in the personnel folder in chronological order by
effective date. File the document with the more recent date on top of the document with the
earlier effective date. However, when:
forms have no effective date, file them by completion date; and
more than one form has the same effective date, file them in any order within the
effective date.
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Examples of chronological order:
An employee’s Standard form 2809, Health Benefits Registration, signed January 12,
1994, but effective the first day of the pay period beginning January 20, 1994, is placed
on top of the employee’s appointment Standard Form 50, Notification of Personnel
Action effective January 12, 1994.
An employee’s standard Form 2817, Life Insurance Election, Standard Form 2809,
Health Benefits Registration, and Thrift Savings Plan 1, Thrift Savings Plan Election
Form are all effective on January 12, 1994. The three forms are filed together as a group
in no particular order within the group.
Information About the Sections
Use chapter 8 to locate filing instructions
Chapter 8 of this Guide lists forms separately indexed by form number and by topic/title. Refer
to Chapter 8 for the page in this chapter that has filing instructions for a particular form.
Agency forms
Agencies may have approved exceptions to Standard Forms. Procedures for creating personnel
documentation may authorize agencies to create their own forms equivalent to the Government-
wide forms. Follow the filing instructions for the related Government-wide forms to file any
approved agency exceptions or equivalents.
Organization
Information in the sections is grouped by type of document. Specific documents are listed
alphabetically within type of document. Obsolete forms are identified as such.
Section 3-A. Applications for Federal Employment
List of documents
This section provides instructions for filing documents related to applications for Federal
employment.
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Document(s)
Applications including:
Civil Service Commission Form 8 (obsolete),
Application Form,
Optional Form 612 (Optional Application for Federal Employment),
Resume
Standard Forms (obsolete):
57, Application for Federal Employment,
58, Supplemental experience and Qualifications Statement,
60, Job Application,
171, Application for Federal Employment,
171-A, continuation Sheet for Standard Form 171,
172, Amendment to Application for Federal Employment,
173, Job Qualification Statement
Personnel Folder Filing Instructions
File on the right side only when the document is used for one of the purposes listed below:
as basis for first Federal appointment;
as basis for latest Federal appointment;
as latest certification of eligibility for veterans’ preference;
as basis for rating in a civil service examination; or
to show OPM has completed a background investigation. (The application will have a
note that the case was processed. File by stamped date; when not stamped, file by
signature date).
NOTE: A position change (promotion, reassignment) in the same agency is not a new
appointment. These applications should not be filed on the right side.
Document(s)
Attachments to Applications
Attachments authorized for retention in the personnel folder include only items
requested in the job announcement and refer to basic qualifications, such as:
Civil service Commission (obsolete):
226, Certification of Scholastic Achievement,
1170, Supplemental Qualifications Statement
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License (DG 42)
Office of Personnel Management Form 1170/17
Supplemental Qualifications Statement/List of College Courses and Certificate of
Scholastic Achievement
School Transcript (DG 05)
Personnel Folder Filing Instructions
File these forms on the right side when they are part of an application authorized for right side
retention. (DG 15)
NOTE: Remove other documents from the application, such as:
Photographs,
Publications submitted as proof of accomplishments,
Position Descriptions,
Diplomas,
Training Certificates, or
Performance Appraisals.
Section 3-B. Appointment Support
List documents
This section provides filing instructions for documents that support appointments.
Document(s)
Appointment Affidavit
Standard Form 61, Appointment Affidavit
Personnel Folder Filing Instructions
File all forms on the right side. Keep only those forms required by OPM guidance, not those
completed at the agency’s option.
Document(s)
Approvals/Authorizations
Approvals and authorizations required for an appointment include:
Civil Service Commission Forms (obsolete):
492, Application to Establish Eligibility for Reinstatement to Career Conditional
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493, Application to Establish Eligibility for Conversion to Career- Conditional
617, Application to Establish Eligibility for Reinstatement to Career
Conditional under Public Law 84-380 and 85-847
618, Application to Establish Eligibility for Conversion to Career Conditional
under Public Law 84-380 and 85-847
648, Recommendation for Conversion to Career Appointment Under
Regulation 315.703a.
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Approvals/Authorizations, Continued
Civil Service Commission Forms (obsolete), Continued
2800a, Proof of Selection for Career (or Career- Conditional) Appointment
2800b, Authorization of a Career-Conditional Appointment
Form or letter from the Office of Personnel Management or an agency appointing
officer identifying the individual employee and:
cancels competitive status;
authorizes a personnel action (DG 09); (This refers to a unique authorization NOT
to standard authorizations such as those on Standard Form 52.)
verifies competitive status, veterans’ preference, or service history;
disapproves a personnel action because of nonexistence of competitive status.
Recommendation by Postmaster General to convert an employee to career
appointment in the Post Office under Public law 84-836 (process is no longer in
effect.) (DG 26)
Standard Form 59, Request for Approval of Non- Competitive Action
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Appointment Affidavit
Optional Form 306, Declaration for Federal Employment
Standard Form 61-B (obsolete), Declaration Appointee
Personnel Folder Filing Instructions
File these documents on the right side.
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Document(s)
Military Service
Records that document call or order to active military duty for reservist differential;
records that document military service creditable for leave accrual, reduction-in-force,
retirement or veterans’ preference (DG 45) include:
Call or Active Duty orders to the Uniform Services (DG 77)
DD214, Certificate of Release or Discharge from Active Duty
Letters
National Guard Bureau and Reserve reports of separation and records of service
Standard Form 813 (formerly Office of Personnel Management Form 813),
Verification of a Military Retiree’s Service in Nonwartime Campaigns or Expeditions
Statements from the Armed Forces accepted by the agency as proof of military
service
Personnel Folder Filing Instructions
File these military service records on the right side.
These records may be attached to other forms, such as the Standard Form 15, Application for 10-
Point Veteran Preference or the Standard Form 144, Statement of Prior Federal Service.
Reference Checks/Pre-employment Inquiries
Documents that show results from checks made of employment or personal references, or
pre-employment vouchers and inquiries (including telephone inquiries)
Personnel Folder Filing Instructions
Do not file such documents in the personnel folder. If kept, file documents in the recruitment
file.
Document(s)
Selective Service Registration (DG 30)
Proof of Selective Service registration status includes:
Acknowledge letter or other proof of registration or exemption issued by Selective
Service System annotated and signed by the employee;
Agency reproduction of Applicant’s Statement of Selective Service Registration
Status in 5 Code of Federal Regulations 300.704;
Office of Personnel Management Form 813 (obsolete), Statement of Selective
Service Registration Status
Optional Form 306, Declaration for Federal Employment
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Personnel Folder Filing Instructions
File the statement or other proof on the right side.
Document(s)
Senior Executive Service
Appointment support specifically applicable to the Senior Executive Service includes:
Statement by a career appointee (DG 37) that he/she elects to continue under the
provisions of the Senior Executive Service upon receiving an appointment by the
President that requires Senate confirmation.
Statement of acceptance or declination (DG 36) of conversion to a position in the
Senior Executive Service
Written agreement (DG 14) that the individual voluntarily accepts the conditions
when changing from a career to a non-career or limited appointment
Personnel Folder Filing Instructions
File signed documents on the right side.
Document(s)
Statement of Prior Federal Service
This material documenting the calculation of creditable service for leave may include:
Agency substitute for Standard Form 144-A, such as a printout with the
information listed in Chapter 6 of THE GUIDE TO PROCESSING PERSONNEL
ACTIONS
Standard Form 144, Statement of Prior Creditable Service
Standard Form 144-A, Statement of Prior Creditable Service -- Worksheet
Supporting documentation, such as:
Affidavits accepted as proof of service creditable for leave (DG 50);
Agency annotated verification of prior service (DG 53);
Letters verifying active service with the Public Health Service and National
Oceanic Atmospheric Administration (DG 54);
Proof of creditable military service; and
Statements showing proof of creditable volunteer service with the Peace Corps,
Corporation for National Service (formerly ACTION), or Volunteers in Service to
America (VISTA) (DG 23).
Personnel Folder Filing Instructions
File these documents on the right side.
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NOTE: The list of supporting documentation is not exhaustive. Any credible material
the agency accepts as proof or verification of service for leave may be
attached to the Statement of Prior Federal Service Worksheet.
Document(s)
Statements of Understanding (DG 38)
Written statement that the employee understands he/she is leaving the competitive service
voluntarily to accept an appointment in the excepted service.
Example: Competitive service employee selected for the Presidential Management
Fellows Program
Personnel Folder Filing Instructions
File statements of understanding on the right side when signed by the employee.
Document(s)
Test Material
Answer sheets from written examinations
Personnel Folder Filing Instructions
Do not file test material in the personnel folder.
Document(s)
Veterans’ Preference
Material that supports veterans’ preference determinations includes:
Standard Form 14 (obsolete), Claim for Veteran's Preference
Standard Form 15, (DG 40, DG 39 for 30 % disabled) Application for 10-Point
Veteran Preference
Supporting documentation, such as:
Death certificate (DG 08); and
Decree of annulment (DG 46).
Personnel Folder Filing Instructions
File documents on the right side.
NOTE: The list of supporting documentation is not exhaustive. Any material the
agency accepts as proof or verification used in determining veterans’
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preference may be attached to the Application for 10-Point Veteran
Preference.
Document(s)
Veterans’ Preference, Continue
Supporting documentation, continued:
Documentation of military service and separation under honorable conditions;
Official statement from the Department of Veterans Affairs or a branch of the
Armed Forces documenting a service-connected disability;
Official statement, citation or certificate showing the award of the Purple Heart
(DG 47);
Physician’s statement.
Personnel Folder Filing Instructions
File documents on the right side.
NOTE: The list of supporting documentation is not exhaustive. Any material the
agency accepts as proof or verification used in determining veterans’
preference may be attached to the Application for 10-Point Veteran
Preference.
Section 3-C: Awards
List documents
This section provides instructions for filing awards.
Document(s)
Agency Award Forms
Agency forms, certificates, letters, etc. for cash awards that do not affect an employee's
rate of basic pay
Personnel Folder Filing Instructions
Retain documents on the right side only if they show an award was granted under a formal
agency award program and:
the award was dated prior to 1986. (Standard Form 50 became the official documentation
for awards in 1986.); OR
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the award was dated between 1986 and 1998 and the agency form was an approved
substitute for the Standard Form 50.
Effective January 1, 1999, only documentation of Presidential rank awards and separation
incentives may be filed on the right side of the Official Personnel Folder. No other awards
actions effective after December 31, 1998, are authorized for long term (right side) retention.
Document(s)
Award Justification
Award justification and other reference material
Personnel Folder Filing Instructions
Do not file this material in the personnel folder.
File this material according to agency instructions. Recommendations for awards and supporting
documentation are part of the Employee Performance Records system discussed in Chapter 1.
Section 3-D: Benefits
List documents
This section provides instructions for filing benefits.
Document(s)
Health Insurance
Enrollment
Standard Form 2809, Health Benefits Registration Form including any authorized
attachments, such as:
Court or Administrative Order under FEHB Children’s Equity Act
Medical documentation used in making a self-support determination for a child 22
years of age or over (DG 51);
Statement of foster child status;
Statement supporting acceptance of a late registration. (DG 56)
Standard Form 2810, Notice of Change in Health Benefits including any authorized
attachments, such as:
Employee’s election to terminate benefits during a period of nonpay status or
insufficient pay (DG 52).
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Transcript, Office of Personnel Management approved documentation of health benefits
enrollments processed electronically (for example, through Employee Express)
Personnel Folder Filing Instructions
File these documents on the right side.
NOTE: Medical certificates and documentation should be placed in a sealed envelope
before being attached to any enrollment forms to limit access.
Document(s)
Health Insurance
Legal/medical documentation applicable to FEHB Program such as:
Court orders awarding FEHB benefits
Medical documentation used in making a disabled dependent child determination
Statement of foster child status
Indebtedness to Health Benefits Fund
Documentation the employee is indebted to the health benefits fund, including election to
continue coverage and the amount owed.
Personnel Folder Filing Instructions
File these documents on the left side until the debt is paid. Once the debt is paid, the material
must be removed.
NOTE: These procedures apply to debt for pay periods that began before September
30, 1996. Debt for later periods is to the agency, not to the health benefits
fund, and all documentation remains with the agency to which the employee is
indebted.
Document(s)
Health Insurance
Premium Conversion Waiver/Election (DG 60)
Form used to elect or waive pre-tax treatment of employee FEHB premiums.
Personnel Folder Filing Instructions
File this form on the right side.
Document(s)
Health Insurance
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Temporary Continuation of Coverage (DG 21)
Notice of eligibility for temporary continuation of health benefits coverage (signed copy
or file copy with delivery receipt attached).
Personnel Folder Filing Instructions
File these documents on the right side.
NOTE: Information on enrollment, payments, and other correspondence on the period
of continued coverage should be part of a separate health benefits file.
Document(s)
Life Insurance
Life Insurance Forms
All life insurance forms must be filed in the Official Personnel Folder unless a form
contains specific instructions to do something different
RI 76-10, Assignment of Federal Employee’s Group Life Insurance
OFEGLI approval section of application Standard Form 2822 “Request for Insurance
Standard Form 2823, Latest Designation of Beneficiary under the Federal Employee’s
Group Life Insurance
Standard Form 3102, Federal Employees Retirement System Designation of Beneficiary
DG 80, Certification for Foster Children
Statement of foster child status
Personnel Folder Filing Instructions
Follow instructions on the life insurance form. In general, file these documents on the right side.
Refer to the Federal Employees’ Group Life Insurance Program Handbook for Employees,
Annuitants, Compensationers and Employing Offices.
Document(s)
Retirement
Coverage Determinations (DG 11, 68, 69, 70 , 71, 82)
Any documentations of an individual’s retirement coverage, including approval of CSRS
coverage under 5 CFR 831.205 and coverage under CSRS- Special or FERS- Special.
Personnel Folder Filing Instructions
File these documents on the right side.
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NOTE: Determinations may be made by the agency or the Office of Personnel
Management.
Document(s)
Retirement
Deposits for Military Service
Applications:
Standard Form 2803, Application to Make Deposit or Redeposit - Civil Service
Retirement System
Standard Form 3108, Application to Make Service Credit Payment for Civilian Service
- Federal Employees Retirement System
Personnel Folder Filing Instructions
File applications on the left side.
Document(s)
Retirement
Deposits for Military Service (DG 66), Continued
Earnings:
RI 20-97, Estimated Earnings during Military Service
Election:
Office of Personnel Management Form 1515, Military Service Deposit Election
Worksheet:
Office of Personnel Management Form 1514, Military Deposit Worksheet
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Retirement
Designation of Beneficiary
Standard Form 3102, Federal Employees Retirement System Designation of
Beneficiary including any authorized attachments, such as a trustee designation.
Personnel Folder Filing Instructions
File these documents on the right side.
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NOTE: This form is sent to the Office of Personnel Management when the employee
leaves Federal service.
Document(s)
Retirement
Disability Retirement
Notice of Approval of Disability Retirement Application
(DG 20)
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Retirement
Elections
Election of Federal Employees Retirement System with Credit for Non-
appropriated Fund Instrumentality Service under Public Law 104-106 (DG 43)
Election of Retroactive Non-appropriated Fund Instrumentality Retirement
Coverage by Federal Employees Retirement System Employees under Public Law
104-106 (DG 44)
Notice employee elected to retain coverage under a Non-appropriated Fund
Retirement Plan (DG 73)
Notice of right to elect continued coverage while serving in a non- Federal
organization (DG 48)
Office of Personnel Management Form 1561 (obsolete), Retirement Election for
Certain Senior Officials
RI 38-130 (formerly Standard Form 2816), Retirement, Life Insurance, and Health
Benefits under the Indian Self-Determination and Educational Assistance Act - Public
Law 93-638
Standard Form 3109 (formerly Office of Personnel Management Form 1555),
Election of Coverage and any approved attachments such as an authorization for
retroactive election
Standard Form 3110 (formerly Office of Personnel Management Form 1556),
Former Spouse’s Consent to Federal Employees Retirement System Election
Standard Form 3111 (formerly Office of Personnel Management Form 1560),
Request for Waiver, Extension or Search in Connection with Election of Federal
Employees Retirement System and any authorized attachments
Enhanced Service Certifications
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Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Retirement
Retirement Fund Data
Retirement fund data may be:
Correspondence dealing with a payment, refund form, or repayment to the Civil
Service Retirement System or the Federal Employees Retirement System
Standard Form 2802, Application for Refund of Retirement Deductions
Standard Form 2804, Application to Make Voluntary Contributions
Standard Forms 2806 and 3100, Individual Retirement Record
Personnel Folder Filing Instructions
Do not file any of these forms in the personnel folder.
NOTE: OPM retains individual retirement files that include this information.
Document(s)
Retirement
Summary of Service
Summaries of creditable service include:
Standard Form 2801-1, Certified Summary of Federal Service (Civil Service
Retirement System)
Standard Form 2815 (obsolete), Employee Service Statement
Standard Form 3107-1, Certified Summary of Federal Service (Federal Employees
Retirement System)
Personnel Folder Filing Instructions
File these documents on the right side.
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Section 3-E: Investigative Process
List documents
This section provides instructions for filing documents about the investigative process.
Document(s)
Investigative Notices
Investigative notices contain information showing the case was investigated, the level of
the investigation, confirmation the case was adjudicated, and the date a determination
was made.
Investigative notices include:
Certification of Investigation Notice, Form DG-04 or similar agency form
Closed-Discontinued Notice (DG 06)
Closed-Incomplete Notice (DG 07)
Standard Form 85, Data for Non-Sensitive or Non-critical Sensitive Positions
Personnel Folder Filing Instructions
If the agency recognizes the electronic format as the official record, agencies may convert the
document into an accessible, reproducible, legible, quality approved electronic format. Once the
conversion has been completed, the contents of the document may be recognized as the official
record.
For agencies that recognize the paper format as the official record, all contents of the document
will be accepted in their original form and filed on the right side.
NOTE: The Closed-Discontinued Notice and Closed-Incomplete Notice should be
removed when the case is adjudicated and the Certification of Investigation
Notice is filed.
Prior to 4/1/1990, the Standard Form 85 may have served as notice that a security/suitability
determination had been made. Those documents contain the words “Stamped EO 10450.” Only
those forms (stamped and completed prior to 4/1/1990) may be retained in the Official Personnel
Folder.
Document(s)
Investigative Report Material
This material includes:
Investigative reports, memos, other material generated during the investigation
process
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Office of Federal Investigations Form 36, Special Background Investigations
Additional Data
Standard Form 85, Data for Non-Sensitive or Noncritical Sensitive Positions
Standard Form 85-P, Data for Public Trust Positions
Standard Form 86, Security Investigation Data for Sensitive Positions
Standard Form 87, Fingerprint Chart
Personnel Folder Filing Instructions
Do not file copies of this material in the Official Personnel Folder.
Follow your agency’s instructions; copies are generally filed in the agency security file.
Exception: A Standard Form 85 completed prior to 4/1/1990 which also has an annotation
“Stamped EO 10450" may be filed in the folder. These are the only copies of
Standard Form 85 included in the Official Personnel Folder.
Section 3-F: Personnel Actions
List documents
This section provides instructions for filing notification of personnel action.
Document(s)
Grade and Pay Retention (DG 65)
Documentation of the application of grade and/or pay retention including copy of a
letter to the employee describing the circumstances warranting the grade and/or pay
retention and nature of the entitlement.
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Notification of Personnel Action
The Office of Personnel Management’s Operating Manual, THE GUIDE TO
PROCESSING PERSONNEL ACTIONS, identifies employment events documented
as personnel actions. Only those personnel actions that have long term consequences
for the employee’s Federal career are filed on the right side of the OPF.
Approved forms for documenting these actions include:
Standard Form 50, Notification of Personnel Action
Standard Form 50-A (obsolete), Notice of Short Term Employment
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Personnel Folder Filing Instructions
File these documents on the right side. Agency exceptions to the Standard Form 50 were
authorized under special circumstances; most of these exceptions were rescinded in 1986.
NOTES: Refer to the instructions in THE GUIDE TO PROCESSING PERSONNEL
ACTIONS to determine if a particular action is to be documented on the right
side of the Official Personnel Folder. Any of the following actions effective
on or after January 1, 1999, are not authorized for right side retention in the
Official Personnel Folder:
Exception to Reduction in Force Release;
Realignment;
Student Loan Repayment; and
All awards, bonuses, lump sum performance payments, or incentives,
except Presidential Rank awards and separation incentives.
If agencies choose to produce a Standard Form 50 for these actions, (for example, performance
awards), these Standard Form 50s may not be filed on the right side of the Official Personnel
Folder. Agencies may use an agency-issued nature of action code beginning with 9 and a
Standard Form 50 to document some actions taken during an employee’s career. Examples
include: change in accounting code, change in ceiling slot, details to positions at the same grade
level with no promotion potential. These are not personnel actions as defined in THE GUIDE
TO PROCESSING PERSONNEL ACTIONS. Unless the action is one that is to be documented
using any agency-approved form (for example, completion of supervisory/managerial
probationary period), it is not authorized for right side retention in the Official Personnel Folder.
Document(s)
Notification of Personnel Action, Continued
Other documents used in lieu of the Standard Form 50 as authorized in THE GUIDE
TO PROCESSING PERSONNEL ACTIONS. Examples include:
Computer printed notice of pay increase (DG 31)
List forms (DG 74)
Optional Form 69, Assignment Agreement - Title IV of the Intergovernmental
Personnel Act of 1970 (prior to 5-13-87)
Pay schedule annotated to indicate new pay rate (DG 31)
Standard Form 52, Request for Personnel Action
Standard Form 1126 (obsolete), Payroll Change Slip
Personnel Folder Filing Instructions
File these documents on the right side.
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These documents are authorized for long-term retention only as they document personnel
actions.
Example: pay slip that documents a within-grade increase.
Non-Example: pay slip that describes an employee’s pay in a particular pay period.
Optional Form 69, Do not file agreements dated after 5-13-87.
Document(s)
PMRS Termination (DG 25)
Notification letter to employee that the Performance Management and Recognition
System ended
Personnel Folder Filing Instructions
File the notification on the right side.
Document(s)
Reconstructed History Under Public Law 95-454
Office of Personnel Management Form 1368 (obsolete), Pay Authorization Under the
Civil Service Reform Act of 1978
Personnel Folder Filing Instructions
File the document on the right side.
Document(s)
Resignation (DG 29)
Documentation of employee’s decision to resign includes:
Agency notice accepting resignation by Presidentially appointed policy-making officers
President's acceptance of resignation by Presidentially appointed policy-making officers
Record of the conversation between an agency official and an employee who submits
an oral resignation
Standard Form 52, Request for Personnel Action
Written resignation by the employee when submitted on document other than the
Standard Form 52
Personnel Folder Filing Instructions
File documentation of the employee’s decision on the right side.
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Document(s)
Retirement Reason
Documentation of the employee’s reason for retiring may include:
Reduction-in-force notice (DG 34)
Written documentation (DG 58) of reason for retiring other than the Standard Form 52
Standard Form 52, Request for Personnel Action
Personnel Folder Filing Instructions
File these documents on the right side.
NOTE: These documents show the employee’s reason for retiring. They are retained
as part of the personnel action documenting the retirement. The retirement
application is not authorized for long- term retention in the folder.
Document(s)
Transcript of Service (DG 67)
Documents showing appointments, and position or salary changes created to:
Reconstruct an employee’s history when the personnel folder was lost or destroyed, (DG
27) or
Document employment information for service in personnel systems not under OPM’s
recordkeeping authority.
Personnel Folder Filing Instructions
File the documents on the right side.
Section 3-G: Other Personnel Documents
List documents
This section provides instructions for filing documents not found on the previous sections.
Document(s)
Alcohol and Drug Abuse
Records on employee alcohol or drug abuse counseling or treatment
Personnel Folder Filing Instructions
Do not file these documents in the personnel folder.
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NOTE: Follow agency instructions. These documents should not be filed in the
Employee Medical Folder.
Document(s)
Appeals
Appeal files and related correspondence
Personnel Folder Filing Instructions
Do not file these documents in the personnel folder.
Document(s)
Authorized by Specific Directive (DG 22)
Documents specifically approved or required for long-term retention in the personnel
folder. These documents may be authorized by OPM, the Merit Systems Protection
Board, or similar agency to ensure the employee’s career history is correctly interpreted.
Personnel Folder Filing Instructions
File these types of documents on the right side.
Document(s)
Birth Certificate (DG 03)
Certified birth certificate or any other certified record of birth
Personnel Folder Filing Instructions
File the certified record of birth on the right side when needed, to be sure date of birth is correct.
Document(s)
Briefing/Debriefing
Standard Form 312 (formerly Standard Form 189), Classified Information
Nondisclosure Agreement
Other documents such as:
o agency checklists
o employee certifications
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Personnel Folder Filing Instructions
File the Standard Form 312 and Standard Form 189 on the right side.
Do not file other documents in the personnel folder.
Document(s)
Complaints
Personnel Folder Filing Instructions
Do not file documents about complaints in the personnel folder.
Document(s)
Decisions and Settlement Agreements
These include:
An arbitral award
Court order*
*Court orders involving the compliance or non-compliance of individuals insured under the
FEGLI program to name his/her children or former spouse as the beneficiary or Court or
Administrative Order under the FEHB Children’s Equity Act;
Decision of an agency head which adopts the recommendations of an agency fact
finder
A decision, order, or a settlement agreement reached under the rules and
regulations of:
The Merit Systems Protection Board
The Equal Employment Opportunity Commission
The Federal Labor Relations Authority
OPM or the agency
Settlement agreement between an individual and an agency under circumstances
other than those above
Personnel Folder Filing Instructions
Do not file copies of decisions and agreements in the personnel folder.
*Court Orders
File these documents on the right side.
The OPF must be flagged in some way to indicate that it contains a court order.
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When an employee retires and is eligible to continue FEGLI as an annuitant, any court
order in his/her OPF must be sent to OPM with the retirement application and other life
insurance forms.
When an employee dies, any court order in his/her OPF must be sent to the Office of
Federal Employees’ Group Life Insurance (OFEGLI), along with other life insurance
forms.
When a compensationer separates or completes 12 months in non-pay status and is
eligible to continue FEGLI as a compensationer, any court order in his/her OPF must be
sent to OPM along with other life insurance forms.
Document(s)
Demonstration Project (DG 10)
Documents that explain impact of demonstration project (for example, pay-setting
policies to be used when employee leaves project)
Personnel Folder Filing Instructions
File these documents on the right side.
Document(s)
Disclosure from Personnel Folder (DG 01)
These documents are required by the Privacy Act of 1974, as amended. They include the
date, nature, purpose of each disclosure of information from the folder and the name and
address of the person or agency to whom the disclosure was made. They include:
A document prepared by the agency releasing information from the folder
Standard Form 127, Request for Official Personnel Folder (Separated Employee)
Personnel Folder Filing Instructions
File the accounting of disclosure on the right side.
NOTE: The Standard Form 127 is filed by the National Personnel Records Center, not
by agencies.
Refer to Chapter 6 for instructions on documenting accountings of disclosure.
NOTE: An agency may choose to use the form on which information was disclosed as
the accounting, for example, the Standard Form 75, “Request for Preliminary
Employment Data,” or use a single sheet of paper to document the disclosure.
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Document(s)
Drug Testing Records
Drug testing program records under an agency plan implementing Executive Order 12564
Personnel Folder Filing Instructions
Do not file these records in the personnel folder.
Document(s)
Garnishment
Documents about garnishment of an employee's wages
Personnel Folder Filing Instructions
Do not file these documents in the personnel folder.
Document(s)
Grievance
Grievance files and correspondence
Personnel Folder Filing Instructions
Do not file these documents in the personnel folder.
Document(s)
Medical Disability
Standard Form 256, Self-Identification of Medical Disability
Personnel Folder Filing Instructions
Do not file such documents in the personnel folder.
Document(s)
Medical Records
Records on employee occupational illnesses, accidents, injuries, exposures, and other
medical or health maintenance matters. Examples of medical records include:
Agency dispensary or health unit files or records
Certification of disability, job readiness and need for reasonable accommodation
Standard Form 177 (obsolete), Statement of Physical Ability for Light Duty Work
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Records and correspondence about an employee's claim for compensation from the
Office of Workers' Compensation Programs, for a job related disease or injury
Personnel Folder Filing Instructions
Do not file medical records in the personnel folder.
Document(s)
Medicare Eligibility
Office of Personnel Management Form 1528 (obsolete), Notification of Earnings for
Medicare Eligibility
Personnel Folder Filing Instructions
File the form on the right side.
Document(s)
Minority Group Identifiers
These include:
Office of Personnel Management Form 1468
Race and National Origin Identification-Hawaii (Obsolete)
Standard Form 181, Ethnicity and Race Identification
Personnel Folder Filing Instructions
Do not file any designation of minority status in the personnel folder.
Document(s)
Payroll, Leave, Financial Records
These records include:
Employee's tax withholding forms
Leave requests
Statements of financial withholdings
Time and attendance records
Personnel Folder Filing Instructions
Do not file payroll records in the personnel folder.
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NOTE: This prohibition does not include the Standard Form 1150 and Standard Form
1150-A. Those forms should be filed on the left side when the employee
leaves the agency.
Document(s)
Performance
Ratings of record and related material
Personnel Folder Filing Instructions
Follow agency guidance for filing performance records in the Employee Performance File
System.
Refer to Chapter 7 of this Guide for instructions on filing performance records in the personnel
folder when the employee leaves the agency.
Document(s)
Reconstruction (DG 27)
Agency notice the personnel folder was reconstructed
Personnel Folder Filing Instructions
File the agency notice on the right side. The notice will be the top document on the
reconstructed portion of the folder.
Document(s)
Supervisory /Managerial Probation (DG 49)
Evidence of satisfactory completion of probationary period for managerial and
supervisory positions
Personnel Folder Filing Instructions
File the form established under agency procedures for documenting satisfactory completion of
probationary period on the right side.
NOTE: Performance appraisals/performance ratings are not to be filed as part of the
probationary period completion documentation.
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Document(s)
Welfare to Work Program
Office of Personnel Management Form 1635 (Obsolete), Welfare to Work Program
Personnel Folder Filing Instructions
Do not file this document in the folder.
Section 3-H: Changes in Filing Requirements
Introduction
This Section contains the rules to follow when filing requirements change. Instructions on filing
specific documents as long-term records in the Official Personnel Folder may change whether or
not the requirements to prepare the document change. An obsolete form may continue to be filed
because it contains information important to the individual’s career history. Current forms may
no longer be filed as long-term records because the information they contain applies only to the
current agency. This Section covers changes in filing requirements for long-term (right side or
eOPF “Permanent” folder) Official Personnel Folder documents.
Example: The Immigration and Naturalization Service form I-9, “Employment
Eligibility Verification” was filed on the right side of the Official Personnel
Folder. Effective January 1997, the filing requirement was changed and the
form was no longer authorized as a right side document. The form and the
Immigration and Naturalization Service’s implementing instructions did not
change.
Document Removal
When the requirement to file a document as a long-term Official Personnel Folder record is
rescinded, agencies should issue instructions for handling the document. When appropriate, the
agency may file the document as a temporary or left hand side Official Personnel Folder record.
Agencies may also establish their own separate filing procedures.
Elimination of the long term Official Personnel Folder filing requirement is not authorization to
destroy the document. NARA issues instructions on records disposition. The General Records
Schedules provide disposal authorization for records common to a number of Federal agencies.
Agencies must follow these instructions on records disposition.
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Rules
This section contains guidance on implementing changes in Official Personnel Folder filing
requirements.
Guidance in Implementing Changes in OPF
WHEN
AND
THEN
The requirement to file a
document as a long-term
Official Personnel Folder
record is rescinded
The document is received on
or after the rescission date
Do not file the document on
the long-term (right) side in the
Official Personnel Folder.
Follow agency filing
instructions
The requirement to file a
document as a long-term
Official Personnel Folder
record is rescinded
The document is already in the
Official Personnel Folder
Remove the document
immediately from the right
hand side and follow agency
filing instructions.
OR
Leave the document in the
Official Personnel Folder until
the employee leaves the
agency and then remove it
before transferring the Folder.
A filing requirement for a
document is revised from
long-term to temporary
The document is received on
or after the revision date
File the document on the left
hand side of the Folder
A filing requirement for a
document is revised from
long-term to temporary
The document is already on
the right hand side in the
Official Personnel Folder
Move the document
immediately from the right to
the left hand side.
OR
Leave the document on the
right hand side until the
employee leaves the agency
and then remove it before
transferring the Folder
Section 3-I: Training
Introduction
Agencies will collect all training data elements identified in this chapter and submit this
information to OPM. Combined with other information, the training data collected will help
agencies achieve their mission and human capital objectives. Additionally, Human Resource
Development (HRD) specialists will regularly analyze training data as a way to continuously
improve their agency’s training program.
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Data collected will represent the training portion of an employee’s official personnel folder and
will be in an electronic format. The electronic format will include training events for all
coursework including, but not limited to, supervisory, managerial, and leadership development
programs; formal mentoring programs; SES candidates programs, etc. Such training events
must be reported to OPM using the specific codes prescribed in the Guide to Human Resources
Reporting.
For agencies not operating in an electronic format, the training data elements will be submitted in
a SF-182 or other paper format until such time the agency initiates a process that can accept the
data in an electronic format.
Regulation
Personnel recordkeeping regulations are found in section 293 of title 5, Code of Federal
Regulations. Federal agencies must report the training data elements specified in this guide for
each employee, and establish a schedule of records in accordance with regulations promulgated
by NARA and the General Service Administration.
OPM’s authority for requiring the collection and reporting of training data is found in section
4115 of title 5, United States Code and section 410 of title 5, Code of Federal Regulations.
Training Data Collection
Agencies must collect the following training data elements which will constitute the training
portion of an employee’s official personnel folder:
List of Training Data Elements
Training Title
Training Type Code
Training Sub-Type Code
Training Start Date
Training End Date
Continued Service Agreement Expiration Date
Continued Service Agreement Required
Indicator
Training Accreditation Indicator
Training Credit
Training Credit Designation Type Code
Training Credit Type Code
Training Duty Hours
Training Non Duty Hours
Training Delivery Type Code
Training Purpose Type Code
Training Source Type Code
Training Materials Cost
Training Per Diem Cost
Training Travel Cost
Training Tuition and Fees Cost
Training Nongovernmental Contribution Cost
Alpha-numeric, or numeric, codes for the Training data elements are found in Chapter 4 of the
Guide to Human Resources Reporting.
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Chapter 4 How to Reconstruct a Personnel Folder
How to Reconstruct a Personnel Folder
A transcript of service serves as the notice of reconstruction. The transcript is to remain as the
top document of the reconstructed portion in the personnel folder. See Chapter 7 of this Guide
for instructions on creating and formatting a transcript of service.
Request to Reconstruct Personnel Folder
Upon the request of an employee to reconstruct his or her personnel folder, use the following
procedures.
Step 1 Copy any relevant documents the employee can furnish.
Example:
Applications for Federal Employment.
Standard Form 50, Notifications of Personnel Action.
Earnings and Leave Statements.
Step 2 Request a computer-generated employment history from agencies where the
individual was previously employed.
NOTE: While agencies are no longer required to keep Chronological File copies of
Standard Form 50, Notification of Personnel Action, request copies when they
may be available.
Step 3 Request retirement records.
If the employee made retirement contributions...
Request a copy of all Individual Retirement Records, Standard Form 2806 and 3100.
Provide the employee's name, social security number, and date of birth for each
Individual Retirement Record requested. Send the request to:
Office of Personnel Management
Retirement Operations Center
P. O. Box 45
Boyers, PA 16017
Requests may also be faxed to 724-794-4668. Insure privacy of the personal information is
maintained when requesting an Individual Retirement Record to be faxed to the personnel office.
Detailed earnings information can be requested from the Social Security Administration. Send
the request to:
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Social Security Administration
6401 Security Boulevard
Baltimore, MD 21235
NOTE: Advise the employee to use Form SSA-7050-F3 to request earnings by each
employer.
It is important the employee know the Social Security Administration will charge a fee for this
service and the fee is based on the number of years of earnings to be reported.
Step 4 Ask the National Personnel Records Center to search for personnel and payroll
records.
Address the request to:
National Archives and Records Administration,
National Personnel Records Center,
1411 Boulder Blvd, Valmeyer, IL 62295,
ATTENTION: Chief, Civilian Reference Branch
(DO NOT OPEN IN MAILROOM)
To request a search for the personnel folder:
Submit a Standard Form 127 (see appendix A), Request for Official Personnel Folder
(OPF). In the Remarks section, put the following statement:
o "The OPF for this employee is lost or destroyed. This is to request a search be made
by NPRC for the OPF of the named employee."
This statement is required to insure the missing Official Personnel Folder was not
inadvertently returned to the National Personnel Records Center.
To request a search for payroll records:
Submit a memo on the agency letterhead. Include the employee’s name, social security
number, agency in which employed and the following:
o "This is to request a search of any payroll records on the named employee that may
be stored at NPRC."
Not all agencies store payroll records at the National Personnel Records Center. If the
records are not there, contact the agency.
Step 5 Obtain Documents
Obtain any copies of certificates establishing the employee's qualifications for specific jobs.
Contact the office that issued appointment certificates for the individual. Use records that
document Federal service from the investigative files, and security clearances where appropriate.
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Step 6 Create Transcript of Service, (DG 27)
Transcript must be created to reflect new identity of employee. Transcript must contain the
following information and will capture the data elements reflected in blocks 1-49 of the SF-50,
Data Elements Reflected in Blocks 1-49 of the SF-50
Nature of Personnel Action:
Name ( as directed by the court
order)
Social Security Number
Date of Birth
Effective Date (of Action)
Nature of Action (NOA) Code
Legal Authority Code
Legal Authority Regulation
Position Title and Number(s)
Pay Plan
Occupation Code
Grade/Level
Step/Rate
Total Salary
Pay Basis
Locality Pay
Adjusted Basic Pay
Other Pay
Name/Location of Position’s
Organization
Employee’s Data
Veterans Preference
FEGLI Code
Retirement Plan
Service Computation Date
Work Schedule
Part Time Hours Per Biweekly
Period
Position Data
FLSA Category
Appropriation Code
Bargaining Unit Status
Duty Station Code
Duty Station
Agency Data
Remarks
Employing Department or Agency
Agency Code
Personnel Office ID
Approval Date
An introductory paragraph should be added to the transcript identifying the documents used to
prepare the transcript.
Example: "The following transcript of Federal service was prepared from an Individual
Retirement Record, maintained by the Office of Personnel Management."
An introductory paragraph should be added to the transcript identifying the documents that were
signed by the employee at their date of hire/inprocessing:
Example: “The OF 306, Declaration of Employment was signed by the employee
on _______________.
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The SF 61, Employment Affidavit, was signed by the employee on
___________________.
The SF 144, Statement of Prior Federal Service, was signed by the employee
on _____________.
Step 7 Create Transcript of Federal Employees’ Training Information
Agencies must collect the following training data elements which will constitute the training
portion of an employee’s official personnel folder:
List of Training Data Elements
Training Title
Training Type Code
Training Sub-Type Code
Training Start Date
Training End Date
Continued Service Agreement Expiration Date
Continued Service Agreement Required
Indicator
Training Accreditation Indicator
Training Credit
Training Credit Designation Type Code
Training Credit Type Code
Training Duty Hours
Training Non Duty Hours
Training Delivery Type Code
Training Purpose Type Code
Training Source Type Code
Training Materials Cost
Training Per Diem Cost
Training Travel Cost
Training Tuition and Fees Cost
Training Nongovernmental Contribution Cost
Alpha-numeric, or numeric, codes for the Training data elements are found in Chapter 4 of the
Guide to Human Resources Reporting.
Step 8 Reconstruct Health Benefits Records.
Contact the employee’s health plan and obtain a copy of his or her Health Benefits Election
Form (SF 2809) or electronic record of enrollment. Records must go back at least five years;
therefore it may be necessary to contact the previous health plan if the employee has changed
health plans within the last five years. If the employee was not enrolled for five years, so note in
the records.
Step 9 Request employee complete the following forms (as applicable):
SF 1152, Designation of Beneficiary
Form W-4 Federal Taxes
OF 306, Declaration of Employment
SF 61, Employment Affidavit
SF 144, Statement of Prior Federal Service
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State Tax Form
SF-1199A, Direct Deposit Form
RI 76-10, Assignment of Federal Employee’s Group Life Insurance*
Standard Form 2823, Designation of Beneficiary under the Federal Employee’s Group
Life Insurance*
Standard Form 3102, Federal Employees Retirement System Designation of Beneficiary*
Standard Form 2808, Designation of Beneficiary, CSRS*
TSP-3, Designation of Beneficiary Thrift Savings Plan
*Exceptions: See Chapter 1, page 1-12. These documents must be initiated in paper with
handwritten signatures from the witnesses. They may be converted to an
electronic format via electronic scanning.
Step 10 File documents
Use the sections in Chapter 3 of this Guide. Documents listed as prohibited in Chapter 3 may
not be filed in a reconstructed personnel folder.
Documents filed with the transcript:
o Any documents that support benefits
o Any Standard Form 50, Notification of Personnel Actions
Documents NOT filed with the transcript:
o Standard Form 2806 or 3100, Individual Retirement Record
o Computer-generated employment histories
o Payroll records
o Social Security earnings report
Step 11 Select and Create folder
Follow instructions in Chapter 2 of this Guide to select the correct folder. File the transcript of
service in the folder. The transcript will be the top form of the reconstructed portion of the
personnel folder. Documents located during the reconstruction process should be filed beneath
the transcript.
Step 12 Merge transcript(s) and forms listed under step 8 to complete official personnel
folder.
Step 13 Authenticate the official personnel folder by signing at the end of the transcript.
If the agency recognizes eOPF as the official record, the paper transcript can then be converted
to an electronic format via electronic scanning into the electronic information system.
If the agency recognizes paper as the official record, file accordingly in agency filing system.
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Chapter 4: How to Reconstruct a Personnel Folder
How to Reconstruct a Personnel Folder due to a Change in Gender
Identity
Place a notice of the reconstruction in the folder
A transcript of service serves as the notice of reconstruction due to the change of name and
gender. The transcript is to remain as the top document of the reconstructed portion in the
personnel folder. See Chapter 7 of this Guide for instructions on formatting a transcript of
service. For further policy guidance, please refer to Guidance Regarding the Employment of
Transgender Individuals in the Federal Workplace.
Upon the request of an employee to reconstruct his or her personnel folder to reflect a change in
gender identity, use the following procedures.
Step 1 Request and verify proper documentation from the employee.
Request that the employee submit acceptable evidence of identity in the new gender, if available,
and require evidence of the new name, if changed. State and foreign laws vary as to whether a
driver’s license or other State form of identification documents may be issued to reflect a gender
change. Possession of a valid passport in the employee's new name and gender is per se
acceptable evidence of the new name and gender, and no further evidence need be provided.
If evidence of change of gender in the identity documents is not obtainable because of state or
local requirements or any other reason, the personnel folder may still be reconstructed with the
employee's new name and gender to reflect a change in gender identity based on a medical
certification. To meet the medical certification requirement, the employee must obtain a signed
original statement, on office letterhead, from the attending medical physician (internist,
endocrinologist, gynecologist, urologist, or psychiatrist), that contains the following information:
Physician’s full name;
Medical license or certificate number;
Issuing state or other jurisdiction of medical license/certificate;
Drug Enforcement Administration (DEA) registration number assigned to the physician;
NOTE: If the attending physician does not have or provide a DEA number, the
employee’s request to reconstruct his or her personnel folder is to be
suspended for further clarification or verification of the physician’s bona
fides. Physicians in foreign countries, for example, would not have a DEA
number.
Address and telephone number of the physician;
Language stating that he/she is the attending physician for the employee and that he/she
has a doctor/patient relationship with the employee;
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Language stating that the employee has had appropriate clinical treatment for transition to
the new gender (male or female); and
Language stating “I declare under penalty of perjury under the laws of the United States
that the foregoing is true and correct.”
NOTE: No additional medical information may be sought from the employee, and
surgery is not required for the employee to have his or her records corrected to
reflect the new name and gender.
Step 2 Create Transcript of Service
Transcript must be created to reflect new identity of employee. Transcript must contain the
following information and will capture the data elements reflected in blocks 1-49 of the SF-50,
Nature of Personnel Action:
Data Elements Reflected in Blocks 1-49 of the SF-50
Nature of Personnel Action:
Name ( as directed by the court
order)
Social Security Number
Date of Birth
Effective Date (of Action)
Nature of Action (NOA) Code
Legal Authority Code
Legal Authority Regulation
Position Title and Number(s)
Pay Plan
Occupation Code
Grade/Level
Step/Rate
Total Salary
Pay Basis
Locality Pay
Adjusted Basic Pay
Other Pay
Name/Location of Position’s
Organization
Employee’s Data
Veterans Preference
FEGLI Code
Retirement Plan
Service Computation Date
Work Schedule
Part Time Hours Per Biweekly
Period
Position Data
FLSA Category
Appropriation Code
Bargaining Unit Status
Duty Station Code
Duty Station
Agency Data
Remarks
Employing Department or
Agency
Agency Code
Personnel Office ID
Approval Date
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Step 3 Create Transcript of Health Benefits Enrollment Records
List of all FEHB enrollment actions including information recorded on SF 2809s and
SF 2810s. Must list each of the following:
Initial enrollment with enrollment code and effective date
Election not to enroll and date
Enrollment changes with the codes and the effective date of each code;
Cancellations with the enrollment code and effective date
Terminations with the enrollment code and effective date
Reinstatements and Transfer Ins with the enrollment code and effective date
Name changes with enrollment code and effective date
Notations included in the Remarks section of the SF 2809s or SF 2810s
Effective dates and brief summary of any additional documents or memos, including:
waiver of premium conversion;
documentation of belated elections;
court order requiring employee to enroll in a plan that covers children (the edits or
flag in the system must stay in place to ensure that the employee does not cancel or
change to self only, therefore, the flag must be moved to the new identity);
leave without pay election to terminate or continue with a direct pay account or
continue and incur a debt;
election to terminate or continue during active military duty
waiver of automatic reinstatement due to transitional TRICARE following active duty
military service;
NOTE: An alternative for maintaining a record of a court order is to redact the name
of the employee from the court order document and include a copy in the new
file along with the transcript.
Must request a history of health benefits actions processed through electronic
systems, for example, EBIS, My Pay, Personal Page, Employee Express or PostalEZ
and attach to transcript.
List children age 22 or over incapable of self support with their name, date of birth,
social security number, sex, and the date the agency certified eligibility. Include call-
up date for future re-evaluation if applicable.
List foster children with their name, date of birth, social security number, sex, and the
date the agency certified eligibility.
The employing agency must complete a new SF 2810 to change the employee’s
gender and, if applicable, his or her name to reflect to change in gender identity. In
completing this form, the agency should include the following in the remarks section:
“Change in name data element from [name 1] to [name 2]. Change in gender data
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element from [male/female] to [female/male].” The effective date should be as soon
as possible once the employee has submitted the information in Step 1 above.
Temporary Continuation of Coverage (TCC) for family members is documented as a
separate file from the OPF with the employee’s name on it. We suggest that the new
name be put on this file and it be maintained as is. If this is not possible, then the
TCC file should have the employee’s name redacted and maintained as an
independent file with no association with the new name of the employee.
Spouse Equity Act. Documentation of a former spouse’s entitlement to benefits must
travel with the employee’s file in order to ensure the former spouse’s entitlement up
through the retirement or death of the employee. The former name of the employee
may be redacted from the documents.
Continuation of Benefits. The spouse of the employee at the time of the employee’s
change in gender identity retains coverage as the employee’s spouse, as do the
employee’s children. The employee is entitled to benefits in the new gender and, if
applicable, new name.
Step 4 Create Transcript of Federal Employees’ Group Life Insurance (FEGLI) Records
For current FEGLI actions, there is a SF 50 Notification of Personnel Action
produced for any change. The Nature of Action (NOA) code 881 indicates a FEGLI
Change. Must list each of the following for each FEGLI change:
Effective date of NOA
FEGLI Code displayed in bock #27
Must include any written comments in Section 6, Agency Use Remarks section for all
SF 2817 forms in OPF
For FEGLI history prior to effective date of FEGLI code on the SF 50 form or for
agencies that do not use SF 50 forms. Must list each of the following:
FEGLI coverage elected or SF 50 FEGLI code on the SF 2817 Life Insurance
Election or its precursors SF 176, SF 176-T, or on Open Season election forms RI 76-
27, FE-2004
Date of receipt in employing office (on older forms)
Effective date of coverage. Shown on SF 2817 form dated June 1984 and later
Must include any written comments in Section 6, Agency Use Remarks section for all
SF 2817 forms
NOTE: If employee is in a FEGLI eligible position, he or she automatically gets
FEGLI Basic even if no form is completed.
Must include a summary of all memos to file for FEGLI
Examples: Agency explanation for allowing a belated election
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Incontestability explanation
If there is an SF 2821 Agency Certification of Insurance Status or its precursor SF 56,
the following items from that form must be detailed on the transcript:
Event requiring certification (block #4.a. on SF 2821)
Date of the event requiring certification (block #8. on SF 2821)
Date of SF 2819, Notice of Conversion Privilege (block #9 on SF 2821)
Annual basic pay (block #10)
Date signed by certifying official
If there is an SF 2822 Request for Insurance in the OPF, the agency must provide the
following information from Part B:
Decision—acceptance or denial
Date of decision
Name of OFEGLI Reviewer
If there is a FE-8C form Living Benefits Approval. NOA code 805, 806 on SF 50.
Must include a summary with the following:
NOA code
Effective date of Living Benefits election
Post-election Basic Insurance Amount
Public Law 110-81 authorizes the continuation of FEGLI coverage for up to 24
months for Federal employees called to active duty. An election form is required in
the OPF. If the election form is present, it must be notated on the transcript. Must
include the following:
Per Public Law 110-81, employee elected to continue the coverage at the end of 12
months OR;
Per Public Law 110-81, employee elected to terminate coverage at the end of 12
months.
Date signed by employee
Name of Agency Representative and Date signed
List child(ren) age 22 or over incapable of self support with the name, date of birth,
sex and the date the agency certified eligibility. Include call-up date for future re-
evaluation if applicable.
The criteria for the employing office's determination are the same as those for the FEHB
Program and FEDVIP. If the employee has already established eligibility for a child
under the FEHB Program, s/he does not need to establish eligibility again under FEGLI.
List Foster child(ren) with the name, date of birth, sex, and the date the agency
certified eligibility.
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Continuation of Benefits. The spouse of the employee at the time of the employee’s
change in gender identity retains coverage as the employee’s spouse, as do the
employee’s children. The employee is entitled to benefits in the new gender and, if
applicable, new name.
The requirements for coverage of foster children under FEGLI are the same as those for
coverage of foster children under the Federal Employees Health Benefits (FEHB)
Program or the Federal Employees Dental and Vision Insurance Program (FEDVIP). If
there is already a certification on file for the FEHB or FEDVIP Program, the employee
does not have to complete a new certification for Option C coverage, unless the employee
is electing or increasing Option C because s/he acquires a foster child.
Original FEGLI documents needed that cannot be summarized on a transcript.
SF 2823 Designation of Beneficiary or its precursor SF 54
By law 8705 and regulation, FEGLI benefits are paid in a particular order. The first
in this list is the designated beneficiary.
The agency needs to strongly recommend to the employee that he/she complete a new
SF 2823 (if there is an old one with the old identity) but cannot force the employee to
do so.
If a new one is validly completed and filed, it will supersede previous ones on file.
If a new SF 2823 is not completed, by law any prior designation form in the sealed
OPF is the form used for payment. That form will need to be accessed at death before
any FEGLI payment can be made.
The transcript must state if there are any FEGLI designations forms on file and the
date of the form(s) if applicable. It should also be noted if there is no form on file.
OFEGLI needs the actual hard copy form to pay proceeds after death.
RI 76-10 Assignment of Life Insurance
The original RI 76-10 is maintained by the agency. The agency needs to know that it
is assigned since certain actions can be done by the assignee, not the insured. For
example, the insured cannot reduce coverage (except for Option C) after an
assignment. The agency sends the RI 76-10 to the OPM Retirement Office at the
time of retirement or to OFEGLI after death. It cannot be condensed to put on the
transcript. OFEGLI needs the actual hard copy form to pay proceeds after death.
Once the coverage is assigned the employee cannot assign again. However, the
assignee can assign the coverage to another party or back to the insured employee.
Court order for FEGLI purposes
The certified copy of a court order for FEGLI is maintained by the agency. It is not
interpreted by the agency. They send to the OPM Retirement Office at the time of
retirement or to OFEGLI after death. It cannot be condensed to put on the transcript.
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OFEGLI needs the actual hard copy certified court order to make a determination at
death. They need a certified copy of the complete court order.
Step 5 Request employee completes the following forms (as applicable):
SF 1152, Designation of Beneficiary
Form W-4 Federal Taxes
State Tax Form
OF 306, Declaration of Employment
SF 61, Employment Affidavit
SF 144, Statement of Prior Federal Service
SF-1199A, Direct Deposit Form
RI 76-10, Assignment of Federal Employee’s Group Life Insurance*
SF 2823, Designation of Beneficiary under the Federal Employee’s Group Life
Insurance*
SF 3102, Federal Employees Retirement System Designation of Beneficiary*
SF 2808, Designation of Beneficiary, CSRS*
TSP-3, Designation of Beneficiary Thrift Savings Plan
I-9 Form (Note: I-9 Form of the old identity will be captured, destroyed and replaced
with an I-9 Form reflecting the new identity and will be placed in a separate file.
Please refer to General Records Schedule 1, 10b for records retention and disposition
instructions)
An introductory paragraph should be added to the transcript identifying the documents that were
signed by the employee at their date of hire/inprocessing:
Example: “The OF 306, Declaration of Employment was signed by the employee
on _______________.
The SF 61, Employment Affidavit, was signed by the employee on
___________________.
The SF 144, Statement of Prior Federal Service, was signed by the employee
on _____________.
*Exceptions: See Chapter 1, page 1-9. These documents must be initiated in paper with
handwritten signatures from the witnesses. They may be converted to an
electronic format via electronic scanning.
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Step 6 Merge transcript(s) and forms listed under step 5 to complete official personnel
folder.
Step 7 Authenticate the official personnel folder by signing at the end of the transcript.
If the agency recognizes eOPF as the official record, the paper transcript can then be converted
to an electronic format via electronic scanning into the electronic information system.
If the agency recognizes paper as the official record, file accordingly in agency filing system.
Step 8 Send OPF to NPRC
OPF of former “identity” is sealed and forwarded to the National Personnel Records Center
(NPRC). Folder should be double-wrapped along with introduction letter (see appendix B) and
sent to the following address:
National Archives and Records Administration,
National Personnel Records Center,
1411 Boulder Blvd, Valmeyer, IL 62295,
ATTENTION: Chief, Civilian Reference Branch (DO NOT OPEN IN
MAILROOM)
If the agency recognizes eOPF as the official record, the eOPF will be deactivated by the losing
agency and the eOPF will be forwarded to the NPRC instance within EHRI.
Step 9 Provide copy of new OPF to the employee via paper or electronically.
Former employees returning back to Federal Service
Step 1 Initiate search for OPF
Submit a Standard Form 127, Request for Official Personnel Folder (OPF) of former employee’s
former identity from the National Personnel Records Center:
National Archives and Records Administration,
National Personnel Records Center,
1411 Boulder Blvd, Valmeyer, IL 62295111
Step 2 Reconstruct OPF
Follow steps listed above regarding Change in Gender Identity.
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Former employees returning back to Federal Service and the official personnel
folder of the former identity cannot be located
Step 1 Request and verify proper documentation from the employee of the new identity.
Request that the employee submit acceptable evidence of identity in the new gender, if available,
and require evidence of the new name, if changed. State and foreign laws vary as to whether a
driver’s license or other State form of identification documents may be issued to reflect a gender
change. Possession of a valid passport in the employee's new name and gender is per se
acceptable evidence of the new name and gender, and no further evidence need be provided.
If evidence of change of gender in the identity documents is not obtainable because of state or
local requirements or any other reason, the personnel folder may still be reconstructed with the
employee's new name and gender to reflect a change in gender identity based on a medical
certification. To meet the medical certification requirement, the employee must obtain a signed
original statement, on office letterhead, from the attending medical physician (internist,
endocrinologist, gynecologist, urologist, or psychiatrist), that contains the following information:
Physician’s full name;
Medical license or certificate number;
Issuing state or other jurisdiction of medical license/certificate;
Drug Enforcement Administration (DEA) registration number assigned to the physician;
NOTE: If the attending physician does not have or provide a DEA number, the
employee’s request to reconstruct his or her personnel folder is to be
suspended for further clarification or verification of the physician’s bona
fides. Physicians in foreign countries, for example, would not have a DEA
number.
Address and telephone number of the physician;
Language stating that he/she is the attending physician for the employee and that he/she
has a doctor/patient relationship with the employee;
Language stating that the employee has had appropriate clinical treatment for transition to
the new gender (male or female); and
Language stating “I declare under penalty of perjury under the laws of the United States
that the foregoing is true and correct.”
NOTE: No additional medical information may be sought from the employee, and
surgery is not required for the employee to have his or her records corrected to
reflect the new name and gender.
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Chapter 4: How to Reconstruct a Personnel Folder
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Step 2 Reconstruct OPF
Follow steps 1-4 regarding the reconstruction of an official personnel folder at the beginning of
the chapter (using the old identity).
Once the proper documentation is obtained of the former identity, then follow the steps regarding
the Change in Gender Identity listed above.
THE GUIDE TO PERSONNEL RECORDKEEPING
Chapter 5: “Jointly-Owned” Personnel Folders
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Chapter 5 "Jointly-Owned" Personnel Folders
Recordkeeping agreements with the Office of Personnel Management
Chapter 1 of this Guide indicated OPM owned the personnel folder records agencies establish
under the Office’s recordkeeping authority. Legislative and Judicial Branch agencies, some
Executive Branch agencies such as the Central Intelligence Agency, and quasi-Government
agencies such as the U.S. Postal Service are not subject to OPM’s personnel folder
recordkeeping authority. These agencies have their own authority to establish and maintain
personnel records in a personnel folder.
Agencies maintaining records under OPM’s recordkeeping authority must establish a single
personnel folder for an employee's entire Federal employment history. This single folder may
contain personnel records established by agencies that have their own personnel folder
recordkeeping authority. We refer to such folders as jointly-owned personnel folders.
OPM has recordkeeping agreements with agencies that have their own recordkeeping authority.
The agreements describe what an agency maintaining a jointly-owned personnel folder is to do:
When the employee (subject of folder) separates
When there is a request for access to or disclosure of information from such a folder.
Who sends what
Chapter 2 of this Guide identifies the agencies that have agreements with OPM concerning
jointly-owned personnel folders. Chapter 2 also provides information on whether these agencies
will provide a personnel folder or an administrative folder. Chapter 6 of this Guide provides the
mailing addresses for these agencies.
Agency Responsibility
Once an agency receives, or establishes a jointly-owned Standard Form 66-C, Merged Records
Personnel Folder, that agency MUST:
Maintain a single personnel folder, containing all required records;
Use all records to make personnel decisions affecting the employee;
Permit the employee to review all records;
Provide a copy of all records to the employee, at the employee's request;
Provide a copy of records to anyone with the employee's written permission to receive or
review the records;
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Disclose information from all records to agency employees and officials that need the
records to perform their duties; and
Remove or conceal all Social Security Numbers (SSNs) and other personally identifiable
information belonging to someone other than the subject that are displayed on records in
the Personnel Folder. ( i.e., lists covering more than one employee in a personnel action)
and provide a copy to the employee of the changed record
What agencies are not permitted to do
After an agency receives or establishes a jointly-owned personnel folder that agency MAY NOT:
Amend any records in the folder OPM does not own;
Destroy any records in the folder OPM does not own;
Remove any records that OPM does not own; except for Standard Form 181 and Standard
Form 256;
Adjudicate an appeal of an amendment to a record OPM does not own;
Enter into a settlement agreement on disposition of records OPM does not own; and
Disclose information to the public from any record OPM does not own.
Redact any SSNs on benefits forms or documents that involve payment of benefits, such
as FEGLI forms SF 2823, RI 76-10, FEHB forms SF 2809 and SF 2810, or court orders,
even if the SSNs are for someone other than the employee
Exception to disclosure prohibition
You must disclose information to:
The employee who is the subject of the record;
Agency officials and employees who use the employee records to perform their duties
Someone with the employee's written permission to review or receive a copy of his/her
records.
Refer requests to the "owner”
The agency maintaining a jointly-owned personnel folder may wish to initiate one or more of the
above-listed actions or may receive a request for such actions. In such situations, the
maintaining agency should refer the proposed action or the request to the agency that owns the
records. Refer to Chapter 6, Section 6-A, of this Guide for agency addresses.
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Chapter 6: How to Respond to Request for Information
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Chapter 6 How to Respond to Requests for Information
Coverage
This chapter covers how to respond to a request for information contained in Employee Medical
Folders (EMF) and personnel folders (Official Personnel Folders and electronic Official
Personnel Folders (eOPFs), Merged Records Personnel Folders (MRPF), and Foreign Service
folders). These records come under the purview of the Privacy Act of 1974, as amended, and
can be identified within OPM’s Governmentwide systems of records. For example, this chapter
covers an employee’s request for a copy of his or her Official Personnel Folder. This chapter
does not cover requests for information developed from other records systems like payroll
records. For example, it does not cover a request for information on the amount of union dues
deducted from an individual’s salary.
Consult your privacy officer if you have any questions concerning access to or disclosure from
an OPF, MRPF, or Foreign Service Folder.
Request from Current Employee
OPM’s regulation on privacy procedures for personnel records are in Title 5, Code
of Federal Regulations (CFR) Part 297
An employee's EMF or OPF must be made available to the employee for review upon request.
This is called access. Employees are required to present proper identification before the
personnel folder is provided to them. Employees reviewing their own folders must be
accompanied by a record custodian at all times. Employees may bring a personal representative
with them when they review their records. Employees may obtain copies of records in their
personnel folders. Observe agency policies with regard to any charges for copies.
If an access request is denied, the denial must be writing and will include a statement of the
reason for denial and the procedures available to appeal the denial. Refer to 5 CFR, Part 297.
Amendment requests
Amendment of personnel folders means the correction, addition, deletion, or destruction of a
specific portion of a folder. Request for amendment should include:
A precise identification of the record to be amended.
Identification of the specific material to be deleted, added or changed.
A statement of the reasons for the request, including all available material substantiating
the request.
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In processing amendment requests, the agency should ensure any amendments comply with the
Office of Personnel Management’s recordkeeping procedures and regulations in 5 CFR part 293
and 297.
Privacy Act amendments do not take the place of other appeal procedures established by law or
regulation, for example, adverse action appeals or classification appeals. Privacy Act
amendment procedures are designed to ensure the records reflects what occurred accurately, not
as a method to challenge an agency’s application of its personnel procedures.
Agencies have authority to process Privacy Act amendment requests from their employees as
long as those requests pertain to records generated under OPM’s recordkeeping authority. The
Office’s recordkeeping authority applies to Official Personnel Folder records documenting
employment in the competitive service, Senior Executive Service, or excepted service (Schedule
A, B, or C). Agencies do not have authority to amend records in Merged Personnel Records
Folders and Foreign Service folders created under another agency’s employment system.
Requests to amend records created under another employment system should be referred to the
agency that created the record. Refer to Section 6-A for more information on this
Certain administrative errors such as key stroke mistakes, misspelling etc. do not need to follow
the formal amendment process to be corrected if they do not substantially change the intent of
the record.
Review of denial of an amendment request
When an agency denies an employee's request to amend a personnel record, the employee should
be notified of the decision and informed that he or she may ask for an administrative review of
the decision in accordance with 5 CFR, part 297.301. The request for a review should be
directed to the Deputy Associate Director, Office of the Chief Information Officer, Office of
Personnel Management, 1900 E Street, NW, Room 7439, Washington, DC 20415-6000. The
request for a review should include a copy of the amendment request, the initial denial, and a
statement of the specific reasons why the initial denial is believed to be in error.
Request from Former Employee
Access requests
Former employees may receive copies of their own personnel and medical folders. Requests for
copies must be made in writing and should include: the full name (or names) used while
employed; social security number; date of birth; year of separation, and last employing agency
(if known).
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Chapter 6: How to Respond to Request for Information
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Requests for individual documents or for complete copies of personnel and
medical folders should be sent to the National Personnel Records Center, Civilian
Personnel Records, 1411 Boulder Blvd, Valmeyer, IL 62295
Amendment requests
Former employees submit requests to amend records created under OPM’s recordkeeping
authority to the Deputy Associate Director, Office of the Chief Information Officer, Office of
Personnel Management, 1900 E Street, NW, Room 7439, Washington, DC 20415-6000.
Requests to amend other records should be sent to the agency that created the record.
Request for amendment should include:
A precise identification of the record to be amended.
Identification of the specific material to be deleted, added or changed.
A statement of the reasons for the request, including all available material substantiating
the request.
In processing amendment requests, the agency should ensure any amendments comply with the
Office of Personnel Management’s recordkeeping procedures and regulations in 5 CFR, part 293
and 297.
The words "Privacy Act Amendment Request" should be on the request and on the envelope to
ensure proper handling.
Request from Government Official
Officers and employees of the agency
Disclosure is providing personal review of a record, or a copy thereof, to someone other than the
data subject or the data subject’s authorized representative. The specific conditions of disclosure
are found in 5 CFR Part 297.401.
Personnel and medical folders are available to officials within the agency who need to review
records to perform their assigned official functions. This includes records in Merged Records
Personnel Folders and Foreign Service folders whether or not those records were created under
OPM’s recordkeeping authority. Agency officials include personnelists, managers, and
supervisors.
Government Officials outside the agency
Government officials outside the agency may be authorized to review an employee’s records
under limited conditions such as:
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The employee has authorized such access in writing; or
The release is specifically authorized by the Privacy Act; or
A routine use published in the Government-wide systems of records allows disclosure of
the records.
OPM has published notices for Government-wide systems of records that cover the Official
Personnel Folder (OPM/GOVT-1) and the Employee Medical Folder (OPM/GOVT-10). These
notices include descriptions of routine uses that allow release of records without the employee’s
prior written consent to specific officials outside the employing agency for specific purposes.
Some of the routine uses that apply to Official Personnel Folders allow records to be provided to:
The Merit Systems Protection Board, Office of Special Counsel or Equal Employment
Opportunity Commission in relation to appeals, investigations, and special studies;
Any Federal agency involved in a legal or administrative proceeding in which the
Government is a party;
Any Federal agency in relation to hiring an employee, issuing a security clearance, and
conducting a security or suitability investigation;
Federal, state, or local agencies for the adjudication of a claim under any retirement,
insurance, unemployment, or health benefits program.
Requests from officials outside the employing agency for records in a Merged Records Personnel
Folder or a Foreign Service folder not created under OPM’s recordkeeping authority should be
honored only if the requestor has the employee’s written consent to the release of the
information. All other requests should be referred to the agency that created the record.
When in doubt, check with the agency Privacy Act or Freedom of Information Officer when
unsure whether records may be disclosed.
Request from the Public
Introduction
Requests from the public for information from personnel and medical folders must be handled in
compliance with both the Privacy Act of 1974, as amended (5 U.S.C. 552a) and the Freedom of
Information Act (5 U.S.C 552). The Privacy Act restricts access to records in a system of
records. The Freedom of Information Act establishes the public's right to information contained
in Government records. Agencies are authorized to respond to requests for information from the
public on all Official Personnel Folders and Employee Medical Folders in their possession.
Merged Records Personnel Folders and Foreign Service Folders
Merged Records Personnel Folders and Foreign Service Folders contain records created under
employment systems outside OPM’s recordkeeping authority. Agencies should respond to
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requests for information that pertain to records created under OPM’s authority. The guidance in
this section applies only to those records under the Office’s authority. Refer any requests for
information from the public on any other records in the folder to the agency that created the
record. Refer to Section 6-A.
Requests for information on former employees
Requests from the public for information from the folder of a former employee whose folder has
been sent to the National Personnel Records Center should be addressed to the
National Personnel Records Center,
1411 Boulder Blvd
Valmeyer, IL 62295
Employee’s consent
An employee may authorize release of information to a member of the public, including an
organization. That authorization must be in writing.
Routine use
Information may be released to the public under one of the routine uses applicable to the folder
and published in the Governmentwide systems of records in limited cases. Routine uses allow
agencies to also provide information from Official Personnel Folders to:
Contractors, grantees, or volunteers working for the Government;
Prospective non-Federal employers who ask for the former employee’s tenure, civil
service status, length of service, or date and nature of action on the employee’s
separation.
Available Information
In most cases, the following information is available to the public without the prior written
consent of the employee(s):
Name;
Present and past position titles and occupational series;
Present and past grades;
Present and past annual salary rates (includes Meritorious or Distinguished Executive
Ranks, awards, and allowances and differentials);
Present and past duty stations (includes room numbers, shop designations, or other
identifying information regarding buildings or places of employment); and
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Position descriptions, identification of job elements, and those performance standards
(but not actual summary ratings) the release of which would not interfere with law
enforcement programs or severely inhibit agency effectiveness. Performance elements
and standards (or work expectations) may be withheld when they are so intertwined with
performance appraisals their disclosure would reveal an individual's summary rating.
These data may be withheld if the disclosure would reveal more about an individual on whom
information is sought than the listed items. Such disclosure would create a clearly unwarranted
invasion of personal privacy. The data may also be withheld if it is otherwise protected from
mandatory disclosure under an exception of the Freedom of Information Act. Refer to 5 CFR
293.311
Do not release
Do not provide an employee’s social security number or date of birth in response to a request for
information from the public.
When in doubt Check with the agency Privacy Act or Freedom of Information Officer when
unsure about what information from personnel records can be provided a member of the public.
Accounting of Disclosure from Personnel Records
Privacy Act requirement: See Title 5 CFR 297.403
The Office or agency will maintain a record of disclosure in cases where records about the
individual are disclosed from an Office system of records except:
The employee who is the subject of the folder (the data subject);
Someone who has the employee’s prior written consent to receive the information;
Agency employees and officials using the records to perform their duties; and
The public as required by the Freedom of Information Act.
Content of accounting of disclosure
An accounting of disclosure must include the following information:
A brief description of the record disclosed.
Date, nature, and purpose of each disclosure.
Name and address of the person, agency or other entity to whom the disclosure is made.
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Filing an accounting of disclosure
An accounting of disclosure from the Official Personnel Folder must be retained for the life of
the record. File any accounting of disclosure of information from right side personnel
documents as a long-term record on the right side of the personnel folder.
Request for information Owned by Other Agencies
Who “owns” the record
Merged Records Personnel Folders and Foreign Service folders contain records created under
employment systems not covered by OPM’s recordkeeping authority. The agency that created
these records retains “ownership” of the records, even though they are filed in the same physical
folder as records created under OPM’s authority.
Access and amendment requests
Agencies may provide access to all records in Merged Records Personnel Folders and Foreign
Service folders to:
The employee who is the subject of the record;
Anyone who has the employee’s written authorization;
Officials in the agency who need access to the records to perform their assigned duties.
All other requests for access to or amendment of records created under an employment system
not covered by OPM’s recordkeeping authority should be referred to the agency that created the
record.
Address
This section provides addresses for agencies that may own records in a Merged Records
Personnel Folder or Foreign Service folder. Use this section to refer requests for access to,
disclosure from, or amendment of any records created by that agency.
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Agencies Address
Agency
Address
Administrative Office of the U.S. Courts
Administrative Office of the U.S. Courts
Human Resources Division
1 Columbus Circle, NE.
Washington, DC 20544
Agency for International Development
(Foreign Service employees)
Agency for International Development
M-HR-OD
320 21st Street, NW.
Room 640, SA-36
Washington, DC 20523-3604
Army and Air Force Exchange Service
(Non-appropriated Fund employees)
Army and Air Force Exchange Service
HA-AAFES, ATTN:PE-P
P.O. Box 660202
Dallas, TX 75266-0202
Department of Agriculture
Animal and Plant Health Inspection Service
(Foreign Service employees)
Chief, Resource Management Support Staff
International Services
Animal and Plant Health Inspection Service
U.S. Department of Agriculture
4700 River Road, Unit 65
Riverdale, MD 20737
Foreign Agriculture Service
(Foreign Service employees)
Personnel Officer
Foreign Agriculture Service
U.S. Department of Agriculture 14th &
Independence Avenue
Washington, DC 20250
Department of Air Force
(Defense Civilian Intelligence Personnel
Management System employees)
Department of the Air Force
HQ USAF/DPCE
1040 Air Force Pentagon
Washington, DC 20330-1040
(Non-appropriated Fund employees)
Department of the Air Force
HQ AFMWRSA/MWXHC
550 C Street W, Suite 56
Randolph AFB, TX 78150-4758
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Agencies Address
Agency
Address
Department of Army
(Defense Civilian Intelligence Personnel
Management System employees)
HQDA, ODCS, G-2
Attn: DAMI-CP
1000 Army Pentagon
Washington, DC 20310-1000
(Non-appropriated Fund employees)
Department of Army
NAF Personnel Division
Human Resources, HQDA (CFSC-HR-P), Room
IN39, Hoffman 2
200 Stovall Street
Alexandria, VA 22331-0532
Department of Commerce
(Foreign Service employees)
Department of Commerce
Office of Foreign Service Personnel, Room 3226
14th and Constitution Avenue, NW.
Washington, DC 20230
Department of Navy
(Defense Civilian Intelligence Personnel
Management System employees)
Department of Navy
Civilian Intelligence Personnel
4251 Suitland Road, Room 2A101
Washington, DC 20395-5720
(Non-appropriated Fund Employees)
Bureau of Personnel
Department of Navy
MWR Human Resource Division
Naval Support Memphis (PERS-653)
7800 3rd Avenue, Bldg 457
Millington, TN 38054-5054
Navy Exchange Command
NEXCOM Human Resource
Principal Associate Director
3280 Virginia Beach Blvd.
Virginia Beach, VA 23452
Other Department of Navy activities
Department of Navy
Office of Civilian Personnel Management
Director for NAF Human Resources
Code 02N, BTC#1, Room 1205
800 North Quincy Street
Arlington, VA 22203-1998
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Agencies Address
Agency
Address
Department of State
(Foreign Service employees)
Chief, Personnel Records Branch
Bureau of Personnel
PER/EX/ADM/RM, Room 1609NS
U.S. Department of State
Washington, DC 20520
Department of Veterans Affairs
(Medical positions filled under title 38, United States
Code)
Department of Veterans Affairs
Shared Service Center
3401 SW 21st Street
Topeka, KS 66604
Federal Judicial Center
Federal Judicial Center
Personnel Office, Room 6190
Thurgood Marshall Federal Judiciary Building
One Columbus Circle, NE.
Washington, DC 20002-8003
General Accounting Office
General Accounting Office
Director of Personnel
Washington, DC 20548
Library of Congress
For amendment requests:
General Counsel
Library of Congress
Personnel Operations Office
Washington, DC 20540
For access requests:
Library of Congress
Personnel Office
101 Independence Avenue, SE.
Washington, DC 20540
Marine Corps
(Non-appropriated Fund employees)
MWR Human Resource Branch
HQ US Marine Corps
3044 Catlin Avenue
Quantico, VA 22134-5099
National Security Agency
National Security Agency
Civilian Personnel
Ft. George G. Meade, MD 20755
Peace Corps
(Foreign Service employees)
Peace Corps
Director of Personnel
1990 K Street, NW.
Washington, DC 20526
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Agencies Address
Agency
Address
U.S. Postal Service
For amendment requests:
Manager
Corporate Personnel Operations
Room 1813
475 L’Enfant Plaza, SW.
Washington, DC 20260-4261
For access requests:
Last employing office
White House - Executive Office of the
President
Director of Human Resources Division
Office of Administration
Executive Office of the President
725 17th Street, NW.
Washington, DC 20503
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Chapter 7: Transferring Records
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Chapter 7 Transferring Records
Overview
When an employee leaves, the losing personnel office sends interagency personnel records to the
next Federal employer. If the employee is leaving Federal service, the losing personnel office
sends interagency personnel records to the National Personnel Records Center.
This chapter describes the procedures used to transfer interagency personnel records (personnel
folders, medical folders, performance records) to another personnel office or the National
Personnel Records Center.
Transferring Personnel Records
Background
The general rule is that each employee will have a single personnel folder which documents the
entire period of Federal civilian service. If long-term occupational medical records are created
during the employee’s service, those records will be in a single medical folder. The personnel
and medical folder "travel" with the employee throughout his or her entire Federal career. When
an employee separates from Federal service, the folders are stored by NARA, National Personnel
Records Center until retention requirements expire. Folders are retained for 65 years from date of
last separation from Federal employment. Chapter 7 – Transferring Records 7-2
Transferring Electronic Official Personnel Folders (eOPF)
The last employing agency (losing agency) will provide access to the official electronic folder in
an appropriate electronic format designated by the gaining agency or provide a paper format if
the electronic systems are not compatible or if the gaining agency is operating in a paper
environment. The losing agency, after completion and verification of a transfer of an electronic
personnel folder, must disable its access to the electronic version of the personnel folder to
ensure it complies with the requirements of the Privacy Act and implementing regulations. 5
U.S.C. 552a (b); 5 CFR 297.401.
Movement within the Federal government
Instructions on the transfer of personnel folders differ when the employee moves to a position:
serviced by a different personnel office in the same agency.
in another agency when both offices transfer personnel and medical folders.
in an agency that does not transfer personnel and medical folders.
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Transferring Records within the Agency Follow agency instructions
Follow agency instructions on transferring personnel records from one personnel office to
another in the same agency.
As a minimum, the following records must be transferred:
personnel folder (Official Personnel Folder, Merged Records Personnel Folder or Foreign
Service Folder) with all long-term (right side) documents;
all long-term medical documents;
performance records that include: Senior Executive Service Annual summary ratings
that are five years old or less; any appraisals prepared since the most recent annual
summary rating; and performance plans for each rating.
All Others Ratings of record that are four years old or less, including the performance
plan on which the most recent rating was based. Ratings of record include the evaluation
of the employee’s performance against the elements and standards plus the summary
level, pattern, and ending date of the appraisal.
Transferring Records to Another Agency
Requests
Request for an employee’s personnel records should be made in writing and should include
documentation of the employee’s appointment in the requesting agency. (A Standard form 50,
Notification of Personnel Action, or a Standard Form 52, Request for Personnel Action showing
the appointment and its effective date are the normal documentation sent when requesting
personnel records from another agency.)
The records should be sent to the new agency within 5 working days after receipt of the request.
If long-term records that should be transferred are not available, wait until those records have
been filed before sending the records. Notify the requester and explain the delay.
Transferring Folders
Normally, agencies will transfer personnel and medical folders to the next agency. Certain
performance records will be transferred in the personnel folder. The personnel folder may be an
Official Personnel Folder, Merged Records Personnel folder or Foreign Service Folder.
Employers who are outside OPM’s recordkeeping authority and do not transfer folders should
request a transcript of service rather than a folder.
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Preparing Folders
Follow these steps to prepare the personnel and medical folders for transfer.
Step 1 Action:
Check the personnel folder to make sure that it contains all the long-term documents that should
be in the folder and only the long-term documents authorized in Chapter 3. Make sure that all
documents are filed in chronological order.
Prior to transfer of a Personnel Folder (whether in a paper or electronic format) to an agency
under OPM’s recordkeeping authority, agencies must remove or conceal all Social Security
Numbers (SSNs) and other personally identifiable information belonging to someone other than
the subject that are displayed on records in the Personnel Folder. (i.e., lists covering more than
one employee in a personnel action) and provide a copy to the employee of the changed record.
Step 2 Action
Put the following documents and only those documents on the left or temporary side of the
personnel folder:
Record of Leave Data (standard Form 1150) or equivalent record of leave balances;
Documentation of indebtedness to the health benefits fund for pay periods that began for
September 30, 1996;
o Performance records. For Senior Executive Service employees, these are: annual
summary ratings that are 5 years old or less;
o Any appraisals prepared since the most recent annual summary rating;
o and performance plans for each rating.
o For all other employees, these are ratings of record that are 4 years old or less,
including the performance plan on which the most recent rating was based. Ratings of
record include the evaluation of the employee’s performance against the elements and
standards plus the summary level, pattern, and ending date of the appraisal. (Note:
For some agencies on eOPF, performance plans for transfer are indexed as
“PERFORMANCE APPRAISAL FOR TRANSFER”)
Step 3 Action
Put long-term occupational medical records in an Employee Medical Folder, standard Form 66-
D.
Step 4 Action: Send the folders to the next agency.
Follow agency instructions for documents that are not transferred to the next agency.
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Records erroneously left out
When long-term paper documents that should have been transferred to the next agency are
discovered after the folders have been mailed, send them immediately to the next agency. Attach
the documents to a cover letter that identifies the employee by name, the last four digits of
employees’ social security number, and date of birth. Reference the date the folder was originally
sent. Request for transcript in lieu of folders
Some employers who are outside of OPM’s recordkeeping authority should request a transcript
of service and other documents rather than personnel and medical folders. These employers are:
Architect of the Capitol
Board of Governors of the Federal Reserve System
Central Intelligence Agency
Congressional Budget Office
District of Columbia Government
Federal Bureau of investigation
Tennessee Valley Authority
U.S. Botanical Gardens
U.S. House of Representatives.
The U.S. Senate sends transcript but receives folders when employees move from employment
under the Office’s recordkeeping authority to the Senate.
Preparing transcripts in lieu of folders
Take the following steps to prepare transcripts in lieu of folders.
Step 1 Action
Prepare the transcript summarizing all personnel actions processed during the employee’s
Federal career. Use the example in Section 7-A.
Step 2 Action
Copy the benefits documents if requested. Benefits documents cover retirement, health
insurance, and life insurance. Send the originals with the transcript. File the copies in the folder.
Step 3 Action
Copy performance records, long-term medical records and a statement of leave balances if
requested.
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Step 4 Action
Send the transcript and any other requested documents to the next agency.
Step 5 Action
Follow the steps required to send the folders to the National Personnel Records Center.
Sample Transcript Used in Lieu of Transferring Folders (DG 67)
The transcript should include the;
Employee Name;
Date of Birth;
Social Security Number; and
Service Computation Date.
Additionally, includes data fields for the following information relevant to the current action:
Date of Action;
Action type;
Work Schedule;
Part Time Hours;
Basic Pay;
Locality Adjustment;
Adjusted Basic Pay;
Other Pay;
Retirement Plan;
Annuitant Indicator;
FEGLI;
Tenure;
Position Occupied;
Veterans Preference;
Pay Rate Determinant; and
Remarks.
The last action processed is also included in the sample transcript, summarized in the following
fields;
Date of Action;
Action type;
Work Schedule;
Part Time Hours;
Basic Pay;
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Locality Adjustment;
Adjusted Basic Pay;
Other Pay;
Retirement Plan;
Annuitant Indicator;
FEGLI;
Tenure;
Position Occupied;
Veterans Preference;
Pay Rate Determinant; and
Remarks.
Following the transcript, the preparer should list their:
Name;
Title;
Agency;
Office; and
Telephone number.
Transferring Records to the National Personnel Records Center
Under normal circumstances, the agency should send or electronically transfer the personnel
folder, including performance records and the medical folder to the National Personnel Records
Center within 90 days after the employee separates from the Federal service.
Agencies may need to retain the folders for more than 90 days under circumstances like those
shown in the following section.
Circumstances for Retaining Folders for More than 90 Days
IF
THEN KEEP THE FOLDER
A retirement or death claim is being processed
120 days after separation or until notified that
the claim has been processed
The agency expects to reemploy the person shortly
after the separation
As long as the agency reasonably expects to
reemploy the person
The employee separated under conditions that
provide reemployment or restoration rights (for
example, separation to enter military service or
separation due to compensable injury)
Until the employee returns or reemployment/
restoration rights expire
The employee is placed on a reemployment priority
list
Until employee’s name is removed from the list
The employee has ongoing appeal, grievance,
complaint, or similar process
Until the appeal is resolved
The employee is entitled to severance pay
Until the employee is rehired or severance pay
expires
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Preparing Folders
Follow these steps to prepare the personnel and medical folders for transfer.
Step 1 Action
Check the personnel folder to make sure that it contains all the long-term documents that should
be in the folder and only the long-term documents authorized in Chapter 3. Make sure that all
documents are filed in chronological order.
Step 2 Action
Put the following documents and only those documents on the left side of the personnel folder:
Record of Leave Data (standard Form 1150) or equivalent record of leave balances;
Documentation of indebtedness to the health benefits fund for pay periods that began for
September 30, 1996;
o Performance records. For Senior Executive Service employees, these are: annual
summary ratings that are 5 years old or less; any appraisals prepared sine the most
recent annual summary rating; and performance plans for each rating. For all other
employees, these are ratings of record that are 4 years old or less, including the
performance plan on which the most recent rating was based. Ratings of record
include the evaluation of the employee’s performance against the elements and
standards plus the summary level, pattern, and ending date of the appraisal. (Note:
For some agencies on eOPF, performance plans for transfer are indexed as
“PERFORMANCE APPRAISAL FOR TRANSFER”)
Step 3 Action
Put long-term occupational medical records in an Employee Medical Folder, standard Form 66-
D. Oversized x-rays that will not fit in the folder may be microfiched and put in an envelope in
the folder or retained by the agency. If retained, the agency should put a note in the folder
explaining how to obtain the x-ray.
Step 4 Action
Send the folders to the National Personnel Records Center
Follow agency instructions for documents that are not transferred to the National Personnel
Records Center.
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Retirement and Death Cases
When an employee retires or dies, there are special requirements for processing the separation.
The Office of Personnel Management’s Operating Manual, THE CSRS AND FERS
HANDBOOK FOR PERSONNEL AND PAYROLL OFFICES contains the processing
instructions for these actions. Follow these instructions and send the Official Personnel Folder
copy of all required documents with the application for benefits as specified in the Manual.
Records Erroneously Left Out
When long-term paper documents that should have been in the folder are discovered after the
folders have been mailed, send them immediately to the National Personnel Records Center.
Attach the documents to a cover letter that identifies the employee by name and date of birth.
Reference the date the folder was originally sent. Clearly identify the name, address, telephone
number and email address of the office submitting the records.
Notice to Employees
It is good practice to tell separated employees how they can request copies of documents in their
personnel and medical folders. A sample notice is on the next page of this Guide. Chapter 7 –
Transferring Records 7-8
Notice to Separated Employees - Retention of Personnel and Medical
Folders
Long-term records documenting individuals’ Federal careers are stored in the Official Personnel
Folder. The employee received copies of these records when they were created. When an
employee separates from the Federal service, the last employing agency sends the Official
Personnel Folder to the National Personnel Records Center for storage. Normally, the agency
sends the Folder within 120 days after the employee separates. The National Personnel Records
Center retains the folders for 65 years after separation. Former employees’ request for copies of
their personnel records must be in writing and should include:
the full name(or names) used while employed;
social security number; (Full, complete SSN)
written signature;
date of birth; and
if known, the year of separation and last employing agency.
Provide an address to send the response/copy of records as well as a day time telephone
number.
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For Copies of Specific Documents or a Copy of the Entire Folder Write to:
National Personnel Records Center
Civilian Personnel Records
1411 Boulder Blvd
Valmeyer, IL 62295
Since 1984 the Employee Medical Folder has been used to store long-term occupational medical
records that were created during an employee’s Federal career. These records do not include
records on claims filed under the Federal Employee’s Compensation Act. There may not be an
Employee Medical folder for each employee. When an employee for whom there are long-term
occupational medical records separates from Federal service, the last employing agency sends
the Employee Medical Folder to the National Personnel Records Center. The National Personnel
Records Center retains these Folders for 30 years after separation.
Former employees’ requests for copies of their Employee Medical Folder should be in writing
and include all identifying information (name, social security number, date of birth, written
signature) as well as an address to send the response/copy of records and a day time telephone
number.. These requests should be sent to:
National Personnel Records Center
Civilian Personnel Records
1411 Boulder Blvd,
Valmeyer, IL 62295
Sending Records Packaging
Personnel records should be securely packaged to be sure that they arrive in good condition.
Transcripts or individual folders may be sent in an envelope. Folders require envelopes or those
made from material similar to “Ty-Vek” are recommended.
Carriers
Employees may not be authorized to carry their own records to the next employer. Under the
Privacy Act, employees are entitled to copies of their records but the agency is responsible for
transferring the employee’s official records to the next employer.
Records may be sent by first class priority mail. Certified mail or commercial package shipping
service is the preferred method since these methods allow agencies to verify that the records
were delivered to the addressee.
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National Personnel Records Center
When records are transferred to the National Personnel Records Center, they should be sent to
the National Personnel Records Center, Civilian Personnel Records Center in Valmeyer, IL:
OPFs:
National Personnel Records Center
Civilian Personnel Records
1411 Boulder Blvd, Valmeyer, IL 62295
EMFs:
National Personnel Records Center ,
Civilian Personnel Records,
1411 Boulder Blvd, Valmeyer, IL 62295
A small number of folders may be sent in an envelope. Larger numbers of folders should be sent
in a carton. Each carton should include a list/manifest of the enclosed folders, identifying each
employee by name and social security number. The list/manifest must be included to assist in
the tracking and billing processes. In each envelope or carton, a contact name, email address and
telephone number of the sender should be provided. A return shipping account number should
be provided in the event folders must be returned due to incorrect submission.
Employee Medical Folders may be in the same envelope or carton as personnel folders. Medical
folders should be placed after the personnel folders (Official personnel Folders, Merged Records
Personnel Folders, or Foreign Service Folders).
Personnel records that document an individual’s Federal career are placed in a single personnel
folder. The type of folder to be used depends on the kinds of service the employee has. There are
three authorized personnel folders:
Official Personnel Folder, Standard Form 66
Merged Records Personnel Folder, Standard Form 66 C
Foreign Service Administrative Folder
Employee Medical Folder should be placed in the Standard From 66D.
Folder label
The Official Personnel Folder, Merged Records Personnel Folder, and Employee Medical Folder
(Standard Forms 66, 66 C, and 66 D) all require the same type label. The position of the label on
the right side of the folder is indicated on the folder. The label must have the following three
items.
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NAME: Type the employee's name exactly as it is on the Standard Form 50, Notification
of Personnel Action.
DATE OF BIRTH: Type the date of birth, month, day and year in six numerals with
dashes between day, month, and year.
Example: January 14, 1974 is typed 01-14-74. • SOCIAL SECURITY NUMBER: Type the
employee's social security number (SSN) directly under the name. Show an SSN for all United
States citizens and for all foreign nationals serving in the 50 states and non-foreign areas listed in
section 591.205 of title 5, Code of Federal Regulations (5 CFR 591.205).
Example: DOE, JANE R.
SSN: 999-99-9999
Use "FNO" instead of the social security number for foreign nationals serving in locations other
than the 50 states or non-foreign areas listed in 5 CFR 591.205.
NOTE: IF RECORDS ARE IN INCORRECT FOLDERS OR NOT LABELED
ACCORDING TO OPM GUIDANCE, THEY MAY BE RETURNED TO
THE SENDER.
Agencies are not required to notify the National Personnel Records Center before sending
folders. The National Personnel Records Center will not issue a receipt for records sent by
regular mail. Agencies on eOPF will receive an electronic acknowledgement.
Used in Lieu of Transferring Folders
Transcript of Services Name:
Doe, John X.
SSN: 000-000-0000
DOB: 00-00-00
SCD: 08-12-67
The following transcript of Federal service was prepared from the Official Personnel Folder.
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REMARKS: SALRY INCLUDES A MERIT INCREASE OF $79
O Regular
Pay
1 None
2 Excepted
Service
1
B All Life
Insurance
Waived
9 Not
Applicable
1-CS
Pay Rate
Determinant
:
Veterans
Preference:
Position
Occupied
Tenure:FEGLI:Annuitant
Indicator:
Retirement
Plan:
$19,800Full time
Other Pay:Adj Basic
Pay:
Locality
Adj:
Basic Pay:Part-Times
Hours:
Work
Schedule:
Assistant Bank Examiner( Assistant Bank Examiner II) 0008163
1208153; CP 00570 02/00 $17,900; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
To
Assistant Bank Examiner( Assistant Bank Examiner II) 0008153
1208153; CP 00570 02/00 $19,800; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
891/Merit Increase
6CP 12 USC 481 AND 482
702 Promotion
V5M SCH B,213.32 05 (A)
03-04-84
REMARKS: FORWARDING ADDRESS: 123 MAIN ST., ANYTOWN, SD 57105
REASON FOR RESIGNATION: TO ACCEPT POSITION TO SERVE AS A FULL TIME
MISSIONARY IN SAN PAULO, BRAZIL
CP-2 EQUIVALENT TO GS-7
LUMP-SUM PAYMENT TO BE MADE FOR ANY UNUSED ANNUAL LEAVE
O Regular
Pay
1 None
2
Excepted
Service
1
B All Life
Insurance
Waived
9 Not
Applicable
1 CS
Pay Rate
Determinant
:
Veterans
Preference:
Position
Occupied:
Tenure:
FEGLI:Annuitant
Indicator:
Retirement
Plan:
$19,800Full time
Other Pay:Adj Basic
Pay:
Locality
Adj:
Basic Pay:Part-Times
Hours:
Work
Schedule:
Assistant Bank Examiner( Assistant Bank Examiner II)
1208153; CP 00570 02/00 $19,800; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
317/Resignation
RPM Reg.715.202
05-12-84
SCD: xx-xx-xxDOB: xx-xx-
xxxx
SSN: xxx-xx-xxxxName: Doe, John P.
REMARKS: SALRY INCLUDES A MERIT INCREASE OF $79
O Regular
Pay
1 None
2 Excepted
Service
1
B All Life
Insurance
Waived
9 Not
Applicable
1-CS
Pay Rate
Determinant
:
Veterans
Preference:
Position
Occupied
Tenure:FEGLI:Annuitant
Indicator:
Retirement
Plan:
$19,800Full time
Other Pay:Adj Basic
Pay:
Locality
Adj:
Basic Pay:Part-Times
Hours:
Work
Schedule:
Assistant Bank Examiner( Assistant Bank Examiner II) 0008163
1208153; CP 00570 02/00 $17,900; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
To
Assistant Bank Examiner( Assistant Bank Examiner II) 0008153
1208153; CP 00570 02/00 $19,800; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
891/Merit Increase
6CP 12 USC 481 AND 482
702 Promotion
V5M SCH B,213.32 05 (A)
03-04-84
REMARKS: FORWARDING ADDRESS: 123 MAIN ST., ANYTOWN, SD 57105
REASON FOR RESIGNATION: TO ACCEPT POSITION TO SERVE AS A FULL TIME
MISSIONARY IN SAN PAULO, BRAZIL
CP-2 EQUIVALENT TO GS-7
LUMP-SUM PAYMENT TO BE MADE FOR ANY UNUSED ANNUAL LEAVE
O Regular
Pay
1 None
2
Excepted
Service
1
B All Life
Insurance
Waived
9 Not
Applicable
1 CS
Pay Rate
Determinant
:
Veterans
Preference:
Position
Occupied:
Tenure:
FEGLI:Annuitant
Indicator:
Retirement
Plan:
$19,800Full time
Other Pay:Adj Basic
Pay:
Locality
Adj:
Basic Pay:Part-Times
Hours:
Work
Schedule:
Assistant Bank Examiner( Assistant Bank Examiner II)
1208153; CP 00570 02/00 $19,800; Comptroller of the Treasury; Midwestern
District; Omaha Field Office, Sioux Falls Duty Station; Washington DC
317/Resignation
RPM Reg.715.202
05-12-84
SCD: xx-xx-xxDOB: xx-xx-
xxxx
SSN: xxx-xx-xxxxName: Doe, John P.
Prepared 10-15-2007 by:
NAME AND SIGNATURE: Jane Smith
TITLE: Personnel Assistant OFFICE: Personnel Processing Branch
AGENCY: Office of Personnel Management TELEPHONE NO: (202) 606-4476
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Chapter 8 Index of Documents
Overview
This chapter provides two indexes for locating documents in Chapter 3 of this Guide. (Chapter 3
provides instructions for filing documents in personnel folders.)
Two- indexes are available
Searching for records using different criteria is possible depending on how a form or document is
identified. Some forms and documents have form numbers and codes; some do not. To assist
you in finding documents in Chapter 3 of this Guide, this chapter provides:
Index of Documents by Form Number covers those forms listed in Chapter 3 that have an
identifying number. The list is in sequence by the kind of form (Optional Form, Standard
Form). Within the kind of form, the list is in numeric sequence.
Index of Documents by Title covers all documents listed in Chapter 3 whether they have
an identifying code or not. The listing is alphabetical by title or descriptor.
Index of Documents by Form Number
Civil Service Commission
List of Documents by Form Number
Agency
Form Number
Page
Civil Service Commission
8
3-7
226
3-5
492
3-6
493
3-6
617
3-6
618
3-7
648
3-7
1170
3-5
2800a
3-7
2800b
3-7
Department of Defense
214
3-8
Office of Federal Investigation
36
3-18
Optional
69
3-20
306
3-7 and 3-9
612
3-7
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List of Documents by Form Number
Agency
Form Number
Page
Office of Personnel Management
813
3-9
1170/17
3-9
1368
3-29
1468
3-27
1514
3-15
1515
3-15
1528
3-27
1555
3-22
1556
3-22
1560
3-22
1561
3-16
1583
3-12
1635
3-28
Retirement and Insurance
RI 20-97
3-15
RI 38-130
3-16
RI 76-10
3-14
Standard
14
3-10
15
3-10
50
3-19
50-A
3-19
52-A
3-20 and 3-22
57
3-8
58
3-8
59
3-7
60
3-8
61
3-10
61
3-11
75
3-34
85
3-18
85-P
3-18
86
3-18
87
3-18
127
3-25
144
3-9
172
3-7
173
3-7
177
3-26
181
3-27
189
3-23
256
3-26
312
3-23
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List of Documents by Form Number
Agency
Form Number
Page
813
3-8
1126
3-20
1150
3-41
1150-A
3-41
2801-1
3-17
2802
3-17
2803
3-15
2804
3-17
2806
3-17
2809
3-12
2810
3-12
2815
3-17
2816
2822
3-22
2823
3-14
3100
3-17
3102
3-14 and 3-15
3107-1
3-17
3108
3-15
3109
3-16
3110
3-16
3111
3-16
Thrift Savings Plan
TSP 1
3-26
TSP-1-C
3-26
TSP-967-AO
3-26
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Index of Documents by Title
List of Documents by Title
Document
Page
Acknowledgement letter from Selective Service
Affidavits accepted as proof of service creditable for leave (DG 50)
Agency annotated verification of prior service (DG 53)
3-8
3-9
3-9
Agency Award Form
3-11
Agency substitute for the Standard Form 144-A
3-9
Alcohol Abuse
3-22
Amendment to Application for Federal Employment
3-5
Appeals
3-23
Applicant’s statement of Selective Service Registration Status
3-8
Application for Federal Employment
3-5
Application Form
3-5
Application for 10-Point Veteran Preference (DG 40)
Application for 30-Point Veteran Preference (DG 39)
3-10
3-10
Application to Establish Eligibility for Conversion to Career-Conditional
3-6
Application to Establish Eligibility for Reinstatement to Career-
Conditional
3-6
Application to Make Deposit or Redeposit - Civil Service Retirement
System
3-6 and 3-15
Application to Make Service Credit Payment for Civilian Service- Federal
Employees Retirement System
3-15
Application to Make Voluntary Contributions
3-17
Application for Refund of Retirement Deductions
3-17
Appointment Affidavit
3-6
Arbitral award
3-24
Assignment Agreement - Title IV of the Intergovernmental Personnel Act
of 1970
3-20
Attachments to Applications
3-5
Attachments to FERS Designation of Beneficiary
3-15
Attachments to Health Benefits enrollment
3-12
Attachments to Request for Waiver, Extension or Search in Connection
with election of FERS
3-13
Attachments to Election of Coverage for retirement
3-13
Authorization of a Career-Conditional Appointment
3-7
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List of Documents by Title
Document
Page
Authorized by specific directive (DG 22)
3-23
Award justification
3-12
Awards
3-11
Birth certificate (DG 03)
3-23
Briefing documents
3-23
Call or Active Duty Orders to the Uniformed Services ( DG 77)
Certificate of Release or Discharge from Active Duty
3-8
3-8
Certification of Investigation Notice
3-18
Certification of Scholastic Achievement
3-6
Certified Summary of Federal Service
3-17
Claim for Veteran's Preference
3-10
Classified Information Nondisclosure Agreement
3-23
Closed-Discontinued Notice (DG 06)
3-18
Closed-Incomplete Notice (DG 07)
3-18
Complaints
3-24
Computer-printed notice of pay increase (DG 31)
3-20
Continuation Sheet for Standard Form 171
3-5
Coverage determinations (DG 11,68,69,70,71,82)
3-14
Court order
3-24
Data for Non-sensitive or Noncritical Sensitive Positions
3-18
Data for Public Trust Positions
3-18
Death Certificate- Supporting Documentation (DG 08)
Debriefing documents
3-10
3-23
Decisions
3-24
Declaration of Appointee
3-7
Declaration for Federal Employment
3-7 & 3-8
Demonstration project (DG 10)
3-25
Deposits for Military Service (DG 66)
3-15
Disability Retirement
3-16
Disclosure from Personnel Folder (DG 01)
3-25
Drug Abuse
3-22
Drug Testing Records
3-25
Election of Retirement Coverage
3-16
Election of Federal Employees Retirement System with Credit for Non-
appropriated Fund Instrumentality Service under Public Law 104-106
3-16
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List of Documents by Title
Document
Page
Election of Retroactive Non-appropriated Fund Instrumentality
Retirement Coverage by Federal Employees Retirement System
Employees under Public Law 104-106 (DG 43)
3-16
Employee Leave Record
3-27
Employee Service Statement
3-17
Estimated Earnings during Military Service
3-15
Ethnicity and Race Identification
3-27
Federal Employees Retirement System Designation of Beneficiary 3-20
3-15
Financial Chart
3-18
Fingerprint Chart
3-18
Form or letter authorizing individual Action
3-27
Former Spouse's Consent to Federal Employees Retirement System
Election
3-16
Garnishment
3-26
Grade and Pay Retention (DG 65)
3-19
Grievance
3-26
Health Benefits Registration Form
3-13
Health unit files
3-26
Indebtedness to the Health Benefits Fund
3-13
Individual Retirement Record
3-17
Investigation Scheduled Notice
3-18
Investigative Notices
3-18
Investigative Report Material
3-18
Job Application
3-5
Job Qualification Statement
3-5
Leave records
Letters verifying active service with the Public Health Service and
National Oceanic Atmospheric Administration (DG 54)
3-27
3-9
License (DG 42)
3-5
Life Insurance Forms
3-14
List Forms (DG 74)
3-20
Managerial Probation (DG 49)
3-28
Medical Disability
3-27
THE GUIDE TO PERSONNEL RECORDKEEPING
Chapter 8: Index of Documents
Update 13, June 1
st
2011 8-7
List of Documents by Title
Document
Page
Medical Records
Medical documentation used in making a self-support determination for a
child 22 years of age or over (DG 51)
3-26
3-12
Military academy service
3-15
Military Deposit Worksheet
3-15
Military Service Deposit Election (DG 45)
3-8
Minority Group Identifiers
3-27
National Guard service
3-8
Notice of Approval of Disability Retirement Application
3-16
Notice of Change in Health Benefits (DG 52)
3-12
Notice employee elected coverage under Non-appropriated Fund
Retirement Plan (DG 73)
3-16
Notice that Employee Contributions Cannot Be Made Because a Financial
Hardship In-Service Withdrawal Has Been Issued
3-16
Notice of right to elect continued retirement coverage while Serving in a
non-Federal organization (DG 48)
3-16
Notice of Short-Term Employment
3-19
Notification of Personnel Action
3-19
Notification of Earnings for Medical Eligibility
3-27
Optional Application for Federal Employment
3-5
Pay Authorization Under the Civil Service Reform Act of 1978
3-21
Pay schedule
3-20
Payroll Change Slip
3-20
Payroll records
3-27
Performance records
3-27
Performance Ratings of Record
3-27
Performance Management and Recognition System Termination (DG 25)
3-21 and 3-28
Post Office Conversion (DG 26)
3-7
Pre-employment Inquiries
3-8
Premium Conversion/Waiver Election (DG 60)
3-13
Proof of Selection for Career (or Career-Conditional) Appointment
3-7
Race and National Origin Identification-Hawaii (obsolete)
3-27
Ratings of Record
3-27
Recommendation for Conversion to Career Appointment
3-6
Recommendation by Postmaster General (DG 26)
3-7
THE GUIDE TO PERSONNEL RECORDKEEPING
Chapter 8: Index of Documents
Update 13, June 1
st
2011 8-8
List of Documents by Title
Document
Page
Reconstruction (DG 27)
3-28
Record of Leave Data
3-27
Reduction in Force Notice (DG 34)
Reference checks
3-22
3-8
Request for Approval of Noncompetitive Action
3-7
Request for Official Personnel Folder (Separated Employee)
3-25
Request for Personnel Action
3-20, 3-21 & 3-22
Request for Preliminary Employment Data
3-25
Request for Waiver, Extension, or Search in Connection with Election of
Federal Employees Retirement System
3-16
Resignation (DG 29)
3-21
Resume
3-5
Retirement Fund Data
3-17
Retirement reason
3-22
Retirement Election for Certain Senior Officials
3-16
Retirement, Life Insurance, and Health Benefits under the Indian Self-
Determination and Educational Assistance Act
3-16
School Transcripts (DG 05)
3-6
Security Investigation Data for Sensitive Positions
3-18
Selective Service Registration (DG 30)
3-8
Self-Identification of Medical Disability
3-26
Senior Executive Service
3-9
Settlement Agreement
3-24
Special Background Investigations Additional Data
3-18
Statement by Career Appointee (DG 37)
Statement from Armed Forces
3-9
3-9
Statement of acceptance or declination (DG 36)
Statement of creditable military service
3-9
3-9
Statement of creditable volunteer service
3-9
Statement of Physical Ability for Light Duty Work
3-26
Statement of Prior Federal Service
3-9
Statement of Prior Federal Service – Worksheet
3-9
Statement of Selective Service Registration Status
3-9
THE GUIDE TO PERSONNEL RECORDKEEPING
Chapter 8: Index of Documents
Update 13, June 1
st
2011 8-9
List of Documents by Title
Document
Page
Statements of Understanding (DG 38)
Statements showing proof of creditable volunteer service with the Peace
Corps, Corporation for National Service (formerly ACTION), or
Volunteers in Service to America (VISTA) (DG 23)
Statement supporting acceptance of a late registration (DG 56)
3-10
3-9
3-12
Supervisory Probation (DG 49)
3-28
Supplemental Experience and Qualifications Statement
3-5
Supplemental Qualification Statement/List of College Courses and
Certificate of Scholastic Achievement
3-6
Supplemental Qualifications Statement
3-6
Supporting documentation for Leave
3-10
Supporting documentation for Veterans’ preference
3-11
Tax forms
3-27
Temporary Continuation of Health Benefits Coverage (DG 21)
3-13
Test Material
3-10
Time and attendance records
3-27
Training
3-30
Transcripts: Health Benefits
3-12
Transcripts: School (DG 05)
3-6
Transcripts: Service (DG 67)
3-22
Verification of a Military Retiree's Service in Nonwartime Campaigns or
Expeditions
3-8
Verification of prior service
3-14
Welfare to Work Program
3-27
Workers' Compensation
3-14
Written Agreement (DG 14)
3-9
Written documentation of reason for retiring other than the Standard Form
52 (DG 58)
3-22
Veterans Preference
Supporting Documentation
Official statement, citation or certificate showing the award of the
Purple Heart (DG 47);
3-10
3-11
3-11
THE GUIDE TO PERSONNEL RECORDKEEPING
Appendix A: Standard Form 127, Request for Official Personnel Folder, Feb 2011
Update 13, June 1
st
2011 A-1
Appendix A: Standard Form 127, Request for Official
Personnel Folder, Feb 2011
THE GUIDE TO PERSONNEL RECORDKEEPING
Appendix B: Gender Reassignment Template Letter from Agency to NPRC
Update 13, June 1
st
2011 B-1
Appendix B: Gender Reassignment Template Letter from
Agency to NPRC
