EPA Records Schedule 051

Status: Final, 04/30/2009

Title: Alternative Dispute Resolution (ADR) Files Related to Employee Relations

Program: Personnel

Applicability: Agency-wide

Function: 403-256 - Employee Relations

NARA Disposal Authority:

This schedule authorizes the disposition of the record copy in any media (media neutral), excluding any records already in electronic form. Records designated for permanent retention must be transferred to the National Archives in accordance with NARA standards at the time of transfer.

General Records Schedule 1/27

Description:

Consists of alternative dispute resolution files related to workplace grievances and discrimination complaints. Alternative dispute resolution (ADR) is any procedure, conducted by a neutral third party, that is used to resolve issues in controversy, including, but not limited to, conciliation, facilitation, mediation, fact finding, minitrials, arbitration and use of ombuds. The records covered by this schedule relate to techniques and processes used in EPA's ADR program in resolving disputes with or between its own employees.

Includes general files containing general correspondence and copies of statutes, regulations, meeting minutes, reports, statistical tabulations, evaluations of the ADR program, and other records relating to EPA's overall ADR program.

Also includes case files documenting ADR proceedings. These files may include an agreement to use ADR, documentation of the settlement or discontinuance of the ADR case, parties' written evaluations of the process and/or the neutral third party mediator, and related correspondence.

Excludes: 1) Administrative grievance files, adverse action files; 2) Formal and informal equal employment opportunity proceedings, traditional EEO counseling or other records included in the EEO file when a person chooses to go directly to ADR, or private party claims or EEOC's involvement with federal sector claims of non-EEOC employees against other federal agencies; and 3) Use of ADR in matters affecting public health and the environment which are scheduled separately.

Disposition Instructions:

Item a: General files

Disposable
Close inactive records at end of calendar year.
Destroy 3 years after file closure.

Item b: Case files

Disposable
Close inactive records after settlement is implemented or case is discontinued.
Destroy 3 years after file closure.

Guidance:

See EPA 564 for administrative grievance, disciplinary and adverse action files; EPA 541 for equal employment opportunity (EEO) records; and EPA 751 for environmental ADR program case files.

Records containing confidential or personal information must be shredded to protect confidentiality.

Reasons for Disposition:

The following changes were made in the 04/30/2009 version:

Revised schedule title.
Revised exclusions in description.
Updated guidance and cross references.

Conforms to NARA's General Records Schedule 1, item 27.

Item c for electronic mail and word processing copies was deleted 08/15/2006 pursuant to NARA Bulletin 2006-04.

Custodians:

Multiple units

Related Schedules:

EPA 541, EPA 564, EPA 751

Previous NARA Disposal Authority:

None

Entry: 01/06/2004

EPA Approval: Not applicable

NARA Approval: 12/00/2003

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EPA Records Schedule 051

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