![[logo] US EPA](http://www.epa.gov/epafiles/images/logo_epaseal.gif){kind=logo}
EPA Records Schedule 107
Status: Final, 11/30/2007
Title: Employee Performance File System
Program: Personnel
Applicability: Agency-wide
Function: 403-255-04 - Manage Performance
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 1/23
Description:
Contains documents related to employee performance for non-SES appointees (as defined in 5 USC 4301(2)) and SES appointees (as defined in 5 USC 3132a(2)).
Disposition Instructions:
Item a(1): Appraisals of unacceptable performance - Non-SES appointees
Includes appraisals where a notice of proposed demotion or removal is issued but not effected and all related documents.
-
Disposable
-
Destroy after the employee completes 1 year of acceptable performance from the date of the written advance notice of proposed removal or reduction-in-grade notice.
Item a(2): Superseded performance records - Non-SES appointees
Includes records superseded through an administrative, judicial, or quasi-judicial procedure.
-
Disposable
-
Destroy when superseded.
Item a(3)(a): Latest rating of record 3 years or less - Non-SES appointees
Includes performance-related records pertaining to a former employee, including performance plan upon which it is based and any summary rating.
-
Disposable
-
Place records on left side of the OPF and forward to gaining federal agency upon transfer or to NPRC if employee leaves federal service (see EPA 553). If EPA retrieves an OPF from NPRC, these documents are to be retained according to item a(3)(b).
Item a(3)(b): All other performance plans and ratings - Non-SES appointees
Includes performance-related records pertaining to a former employee.
-
Disposable
-
Destroy when 4 years old.
Item a(4): All other summary performance appraisal records - Non-SES appointees
Includes performance appraisals and job elements and standards upon which they are based.
-
Disposable
-
Destroy 4 years after date of appraisal.
Item a(5): Supporting documents - Non-SES appointees
-
Disposable
-
Destroy 4 years after date of appraisal.
Item b(1): Superseded performance records - SES appointees
Includes records superseded through an administrative, judicial, or quasi-judicial procedure.
-
Disposable
-
Destroy when superseded.
Item b(2)(a): Latest rating of record that is less than 5 years old - SES appointees
Includes performance-related records pertaining to a former SES appointee, including performance plan upon which it is based, and any summary rating.
-
Disposable
-
Place records on left side of the OPF and forward to gaining federal agency upon transfer or to NPRC if employee leaves federal service (see EPA 553). If EPA retrieves an OPF from NPRC, these documents are to be retained according to item b(2)(b).
Item b(2)(b): All other performance ratings and plans - SES appointees
Includes performance-related records pertaining to a former SES appointee.
-
Disposable
-
Destroy when 5 years old.
Item b(3): All other performance appraisals - SES appointees
Includes job elements and standards (job expectations) upon which they are based, excluding those for SES appointees serving on a Presidential appointment (5 CFR 214).
-
Disposable
-
Destroy 5 years after date of appraisal.
Item b(4): Supporting documents - SES appointees
-
Disposable
-
Destroy 5 years after date of appraisal.
Guidance:
Performance appraisals from the performance appraisal and recognition system (PARS) are covered by this schedule until the employee leaves the Agency. See the Guide to Personnel Recordkeeping for guidance.
Performance rating appeals are covered under EPA 563. See EPA 553 for official personnel folders (OPF) for civilians and EPA 554 for Public Health Service Corps commissioned personnel.
Records containing sensitive information must be shredded or otherwise definitively destroyed to protect confidentiality.
Reasons for Disposition:
Conforms with NARA's General Records Schedule 1, item 23.
Item c for electronic mail and word processing system copies was deleted 08/15/2006 pursuant to NARA Bulletin 2006-04.
Custodians:
Multiple units
Related Schedules:
EPA 553, EPA 554, EPA 563
Previous NARA Disposal Authority:
None
Entry: 11/26/1997
EPA Approval: Not applicable
NARA Approval: 12/00/1998