Human Resources Records Disposition Schedule

 
 

The dispositions in this schedule pertain to records created in typical circumstances; any unique situations may require consultation with the Archives and Information Management Team. The disposition actions described in the schedule apply only to inactive and semi-active records; active or working records should remain available and on-premises until they are no longer needed, at which time the instructions in the schedule are to be applied.

In some cases, sensitive personally identifiable information (sPII) can and should be redacted as soon as it is no longer needed, even if the entire record is scheduled for a longer period. sPII includes an individual's first and last name in combination with a Social Security number or personal Tax Identification Number; a driver’s license or government-issued identification number; a credit card number with or without an access code; a bank account number with or without a personal identification number (PIN) or password; or medical information. Contact the Archives and Information Management Team for additional information about redacting sPII on specific types of records.

See Transferring or Destroying Records for next steps in carrying out a disposition. See the glossary for definitions of many of the terms found in the schedules.

 Series Title Series Description Disposition Likely Offices of Record
Appeal Files Appeals of decisions to disciplinary and adverse actions. Originals: Destroy when 5 years old.  Copies:  Destroy when 1 year old. OHR, SAO OHR, SE OHR
Applicant Flow Analysis Records Demographic information from applicant survey forms. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. OEEMA
Applicant Supply Files Small case files that include announcements and other documentation related to recruitment for various positions. Originals: Destroy when 3 years old.  Copies:  Destroy when no longer needed. OHR, SAO OHR, SE OHR
Application Files Applications for Employment (Permanent and Temporary), including SF-171s, resumes, and curricula vitae. Originals: Destroy when 3 years old.  Copies: Destroy 1 year after completion of review process. OHR, SAO OHR, SE OHR
Benefits Files Includes retirement and death files for both federal and trust employees. Originals: Destroy when 7 years old.  Copies:  Destroy when no longer needed. OHR, SAO OHR, SE OHR
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Committee Records Pertaining to SI and unit committees.  Materials include agendas, minutes, reports, by-laws, charters, and related materials. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Committee chairs
Customer Surveys Pertaining to surveys created to provide customer feedback for services provided.  Materials include survey questions, responses, statistical analysis, and related materials. Originals: Destroy when 3 years old or when no longer needed, whichever is later.  Copies: Destroy when no longer needed. Customer service units
Delegated Examining Unit (DEU) Files Delegated examination agreements, reports of internal reviews, correspondence, and case files, including announcements and other documentation related to DEU competitive actions. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
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Departmental Files Pertaining to the administration and activities of individual departments within a museum or other large unit.  Materials include memoranda, reports, meeting materials, notes, and related materials. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Department heads/chairs, Administrators who oversee several departments
Director's Subject Files Pertaining to the files of the Director and other upper-level staff of museums, research centers, and SI-wide programmatic and administrative offices.  Materials include correspondence, email, memoranda, reports, meeting materials, professional activity files, notes, and related materials documenting overall administration of the unit, professional outreach, development, public affairs, and relations with other SI units and non-SI organizations. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Secretary, Under secretaries, Directors/deputy directors
Docent and Volunteer Personnel Records Pertaining to management and training of docents and volunteers. Materials include applications, work schedules, time cards, projects, evaluations, and correspondence.  Originals: Destroy 6 years after separation of volunteer or docent.  Copies: Destroy when no longer needed. OVS, Other docent/volunteer program coordinators
Docent and Volunteer Training Materials Pertaining to the initial and ongoing training of docents and volunteers.  Materials include training materials, handbooks, newsletters, and related materials. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. OVS, Other docent/volunteer program coordinators
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Employee Assistance Program Records Materials include correspondence, case notes, approved disclosure forms, directives, and disciplinary action information. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Employee Grievances and Complaints Files Pertaining to the official filing of employee grievances and complaints.  Materials include correspondence and memoranda, reports, investigation files, and other related records. Originals: OHR - Destroy 5 years after action occurred. OGC - Destroy 12 years after action occurred.  Copies: Destroy after gaining approval from OGC.  OHR, SAO OHR, SE OHR, OGC
Employee Injury/Illness Reports Reports of on-the-job injuries, occupational illnesses, and near miss events and supporting documentation. Originals and Copies: Destroy when 5 years old. OSHEM
Employee Medical Records (Federal) Forms, correspondence, and other records documenting an employee's medical history and physical condition. Originals: Transfer to the National Personnel Records Center (NPRC) when deemed inactive.  Copies: Destroy when no longer needed. OSHEM
Employee Medical Records (Trust) Forms, correspondence, and other records documenting an employee's medical history and physical condition. Originals: Destroy 30 years after deemed inactive.  Copies: Destroy when no longer needed. OSHEM
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Employee Training Records Certificates and other records documenting the completion of training by employees. Originals: Destroy when 3 years old. Original ethics training records: Destroy when 6 years old. Copies:  Destroy when no longer needed. OHR, SAO OHR, SE OHR
Equal Employment Opportunity (EEO) Administrative Files Pertaining to the management of equal employment matters at SI.  Materials include reports, correspondence and memoranda, program files, statistics files, affirmative action plans, and other related records. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. OEEMA
Equal Employment Opportunity (EEO) Case Files Case files containing complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other related records. Originals: Destroy 9 years after close of case.  Duplicates Issued by and Returned to OEEMA: Destroy when no longer needed.  Other Copies: Destroy after gaining approval from OGC. OEEMA
Hiring Management Data Data used to track and evaluate applicants.  Maintained in database. Originals: Maintain in database.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Job Announcements Official announcements of positions for hire. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
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Labor Files Correspondence, memoranda, reports, and other related records relating to the relationship between management and employee unions or other groups. Originals: Destroy 5 years after expiration of agreement.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
LER Disciplinary and Adverse Actions Case files and records related to adverse actions and performance-based actions (removal, suspension, reduction-in-grade, furlough) against employees. The file includes a copy of the proposed adverse action with supporting documents; statements of witnesses; employee's reply; hearing notices, reports, and decisions; reversal of action; and appeal records. Originals: Destroy when 6 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Merit Promotion Files Records relating to the promotion of an individual that document qualification standards, evaluation methods, selection procedures, and evaluations of candidates. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Official Personnel Files (Federal) Federal employee personnel files. Originals: Transfer records to the National Personnel Records Center (NPRC) 30 days after latest separation.  Copies: Destroy no later than 1 year after separation of employee. OHR, SAO OHR
Official Personnel Files (Trust) Trust employee (private roll) personnel files. Originals: Transfer to Archives.  Copies: Destroy no later than 1 year after separation of employee. OHR, SAO OHR, SE OHR
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Payroll Records (Applications for Leave) SF-71 or equivalent plus any supporting documentation of requests and approvals of leave. Originals and Copies: Destroy 3 years after end of related pay period. OF&A
Payroll Records (Leave Balance Reports) Reports of leave by pay period. Originals and Copies: Destroy when 3 years old. OF&A
Payroll Records (Notifications of Basic Change) Records used to direct a change or correction of an individual pay transaction whether created and maintained by paying agency or payroll processor. Originals: Destroy after audit or when 3 years old, whichever is sooner. Copies: Destroy 1 month after end of related pay period. OF&A
Payroll Records (Payroll Terminations) Documentation for ending pay status. Originals: Destroy when 6 years old. Copies: Destroy when no longer needed. OF&A, SE
Payroll Records (Time and Attendance Reports) All time and attendance records upon which leave input data is based. Originals: Destroy 6 years after end of related pay period. Copies: Destroy 6 months after end of related pay period. OF&A, SE
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Position Descriptions Description of job duties for a given position. Originals: Destroy 2 years after position is abolished or description is superseded.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Professional Accomplishments and Evaluation Committee (PAEC) Records Pertaining to the peer review process evaluating the activities and accomplishments of academic staff.  Materials include committee minutes, reports, memoranda, correspondence, publication lists, curricula vitae, and manuscripts. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Directors/deputy directors, PAEC review committees, Museum administrative offices
Professional Activities Files Pertaining to professional conferences, symposia, and workshops in which staff formally participated as a speaker or organizer.  Materials include papers, lecture materials, photographs of colleagues, conference programs, correspondence, agendas, minutes, proceedings, and related materials.  Materials related to conferences in which staff only participated as an attendee are not considered to be institutional records and are not subject to disposition requirements. Originals: Transfer to Archives.  Weed logistical and travel files.  Copies: Destroy when no longer needed. Individual staff
Settlement Files Settlements of disciplinary and adverse actions. Originals: Destroy when 5 years old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
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Staff Directories Print and electronic staff directories. Originals: Transfer 1 copy of each version to Archives.  Copies: Destroy when no longer needed. OCIO, Individual units
Staff Reduction and Reduction-in-Force (RIF) Files Materials include correspondence, RIF retention registers, lists of separated SI employees, and reorganization plans. Originals: Destroy when 1 year old.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
Supervisors' Personnel Files Personnel files maintained by supervisors.  Materials include correspondence, forms, and other records relating to positions, authorizations, pending actions, position descriptions, requests for personnel actions and records on individual employees duplicated in or not appropriate for the Official Personnel Folder (OPF). Originals: The Office of Human Resources or equivalent office is responsible for maintaining official copies of personnel documentation.  Copies: Destroy no later than 1 year after separation or transfer of employee. OHR, SAO OHR, SE OHR
Surveys and Studies Reports created from various SI-wide studies and surveys, including those related to administrative functions, management, resources, visitors, and constituents.  Originals: Transfer to Archives.  Copies: Destroy when no longer needed. SOAR, OHR, Other central administrative offices
Training Course Materials Pertaining to classes and other training offered to SI employees by SI units.  Materials include handouts, outlines, slides, correspondence, memoranda, announcements, attendance lists, and related materials. Originals: Transfer records documenting course content to Archives.  Destroy other materials when no longer needed.  Copies: Destroy when no longer needed. Unit offering training
Workers' Compensation Files Forms, reports, correspondence, and related medical and investigatory records relating to on-the-job injuries, whether or not a claim for compensation was made. Originals: Destroy 20 years after close of case.  Copies: Destroy when no longer needed. OHR, SAO OHR, SE OHR
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