�

April 9, 2007

MANAGERS, HUMAN RESOURCES (AREAS)MANAGERS, HUMAN RESOURCES (DISTRICTS)MANAGERS, PERSONNEL SERVICES

SUBJECT: Official Personnel Folder Documents

This Memorandum of Policy (MOP) is issued to correct the MOP dated February 6, 2006, as follows:Exhibit 2, Temporary Document Table, third entry, Discipline, is revised; and the following entry is added:Employee Self-Service Exception Processing. This memorandum supersedes MOP ERM-02-06-2006.

Handbook EL-301, Guidelines for Processing Personnel Actions, includes a chapter on recordkeeping inOfficial Personnel Folders (OPFs). This policy memorandum updates the permanent and temporarydocument tables within Chapter 1, and it is your notification to discontinue filing the following documentsin the OPF:

� Medical Assessment results — no portion of Form 2485, Medical Examination and Assessment,nor results of electronic medical assessments for Postal Service employment are to be filed in theOPF. The official record is contained in the Official Medical Folder (OMF).

� CA-1, Federal Employee’s Notice of Traumatic Injury and Claim for Continuation ofPay/Compensation — reports of non-reportable traumatic injuries documented on Form CA-1 are nolonger to be filed in the OPF. This will keep control of CA forms in the Injury Compensation ControlOffice (ICCO) and eliminate using the OMF and OPF. This change will be incorporated into HandbookEL-505, Injury Compensation.

� CA-2, Notice of Occupational Disease and Claim for Compensation — reports of illness where noexpense or lost time is incurred or expected are no longer to be filed in the OPF. This will keep controlof CA forms in the ICCO and eliminate using the OMF and OPF. This change will be incorporated intoHandbook EL-505, Injury Compensation.

CA forms found in the OPF may be returned to the local ICCO.

Permanent and temporary OPF documents are listed on exhibits 1 and 2, attached.

These changes will be incorporated into permanent directives. Please ensure that all OPF custodiansreceive this policy change. If you have any questions, please contact Gina Russell atgina.a.russell@usps.gov or at 202-268-5171.

Mangala GandhiManagerSelection, Evaluation, and Recognition

EXHIBIT 1 — Permanent Document Tables

The following tables provide instructions for filing permanent personnel documents on the right side ofthe Official Personnel Folder (OPF). The tables are placed in alphabetical order by document category,such as “administrative.” Within each category, specific documents are listed. The documents and formslisted are illustrative, but not all-inclusive. Some of the forms listed are obsolete. The obsolete forms mustbe retained in the OPF because they were in use when retention and disposal authority was approved.

Table A — Administrative

DOCUMENT TYPE DOCUMENT NOTES

Transcript Transcript of service showingappointments and position orsalary changes created toreconstruct an employee’s historywhen the OPF was lost ordestroyed.

See 121.3.

OPF Form 6100A, OPF DisclosureAccounting Form

Also file any statement of disagreement withdenial of Privacy Act request to amend OPFrecord beneath the subject record.Note: Form 6100-B, OPF Disclosure AccountingForm (used in documenting disclosures to lawenforcement officials) should not be filed in theOPF.

Form 316, USPS RecordsInformation Request

Form 1653, Postmaster Relief/Leave Replacement EmploymentData

Training Record Form 2548, Individual TrainingRecord

Training retains the form at one central locationdetermined by the training supervisor or manager.Upon an employee’s assignment to anotherinstallation, Form 2548 is forwarded to thepersonnel office for inclusion in the employee’sofficial personnel file (OPF) for transfer to thereceiving office.

Rural RouteDescription

Form 1734, Record of Training(obsolete)p

Form 4003, Official Rural RouteDescription

Table B — Appointment SupportDOCUMENT TYPE DOCUMENT NOTES

Application Form 2591, Application forEmploymentForm 2591-A, Personal HistoryQuestionnaire (obsolete)Form 2591-C, Application for FormerCasual (Non-Career) EmploymentEligibilitySF 171, Application for FederalEmployment, and continuation sheets.

File when supporting a Form 50.Include Certification letter from StateEmployment Office for referral for a casualvacancy (see EL-312, 234.66).Review attachments to ensure that they areauthorized for inclusion in the OPF; removeall prohibited documents.

Dual CompensationWaiver

Dual compensation waiver statement,approval of waiver, and annuitantnotification letter.

Applies only to Postal Service annuitantswho are hired to fill temporary relief carrier(TRC) or postmaster relief/leavereplacement (PMR/LR) positions and forwhom a dual compensation waiver hasbeen approved. See Handbook EL-312,Appendix D-1.

Drug ScreeningQualification

Drug Screening — PersonnelNotification Form.

Selective ServiceRegistration

Form 2591A, Applicant’s Statement ofSelective Service Registration Status(Obsolete)

Selective Service registration is nowcertified on Form 61, Appointment Affidavit.

Release of Information Form 2181A, Authorization andRelease for Pre-EmploymentScreeningForm 2181X, Authorization andRelease for Pre-EmploymentScreening

Preemployment screening supplements toapplication for employment may beincluded.

Right to Work Form I-9, Employment EligibilityVerification

Evidence of Date ofBirth

Certified birth certificate. Or any other certified record of birth whenneeded to verify that the DOB is correct.

Approvals/Authorizations

Verification of selection from Registerof Eligibles.

Hiring Worksheet information isdocumented on the Form 50 using eitherfree-form remarks, or Standard RemarkCode 525.

Form 5912-A, Alphabetical RegisterCard

Eligible rating only — issued as the result ofan in-service exam.

Military Service/Veterans Preference

SF 15, Application for 10-PointVeteran Preference

Includes any supporting documentationaccepted as proof or verification used indetermining veterans’ preference.

DD 214, Certificate of Release orDischarge from Active Duty

Table B — Appointment Support (Continued)DOCUMENT TYPE DOCUMENT NOTESClearance/Investigation Falsification and Postal Crime

Affidavit.Obsolete.

SF 85, Non-Sensitive SecurityClearance (Obsolete)

SF 86, Security Investigation Data forSensitive Position

This is not the same as the Form 86C usedfor OPM Special Agency Checks (SACs).

SF 85A, National Agency Check Data for nonsensiive or noncritical-sensitiveposition.

Form 61, Appointment Affidavit(Obsolete)

POD 61, Appointment Affidavit(Obsolete)

POD 62, Appointment Affidavit(Obsolete)

Written waiver from contracting officerindicating that circumstances allow anapplicant awarded a contract to behired as an employee.

Form 2013, Security ClearanceProcessing Request

Form 8139, Your Role in Protectingthe Security of the United States Mail

“Sanctity of the Mail” — requiresemployee’s signature.

Table C — Compensation and BenefitsDOCUMENT TYPE DOCUMENT NOTES

Leave Form 1150 or SF 1150, Record ofLeave Data

Health Benefits SF 2809, Health BenefitsRegistration Form

Includes any authorized attachments:— Court or Administrative Order.Registration Form — Court or Administrative Order.— Certificate/Statement of foster child status.— Statement supporting late registration— Statement supporting late registration.— Medical documentation used in self-supportdetermination for child 22 years of age or overdetermination for child 22 years of age or over.Note: Medical documentation should beplaced in a sealed envelope before beingplaced in a sealed envelope before beingattached to enrollment forms.All f t d i t i dAll forms, current and previous, are retainedfor retirement records.

SF 2810, Notice of Change inHealth Benefits Enrollment, andMemorandum About FEHBEnrollment, transferring enrollment.

All forms, current and previous, are retainedfor retirement records.

Form 3111, Federal EmployeesHealth Benefits (FEHB) Coverage orTermination While in Leave WithoutPay (LWOP) Status

Form 8201, Pre-Tax HealthInsurance Premium Election/Waiver

Form 8202, Pre-Tax HealthInsurance Premium Election/Waiverfor Noncareer Employees

FEHB PostalEase Worksheet.

FEHB Military Worksheet. Initiate when an employee goes on militaryLWOP. You will not have the information tocomplete the worksheet until the employeereturns to pay status and provides copies oforders. A new worksheet is required for eachmilitary activation.

Form 202, Health Benefit RefundPayment Authorization

Life Insurance SF 2817, Life Insurance Election(FEGLI)

All forms current and previous (including SF176 and 176-T, Life Insurance Coverage) areretained for retirement records.

SF 2818, Continuation of LifeInsurance Coverage as a Retiree orCompensationer

Used for long-term OWCP LWOP. All formscurrent and previous are retained forretirement records.

SF 2819, Notice of ConversionPrivilege (FEGLI)

All forms current and previous are retained forretirement records.

SF 2821, Agency Certification ofInsurance Status

All forms current and previous are retained forretirement records.

SF 2822, Request for Life Insurance

SF 2823, Designation of Beneficiary(FEGLI)

All forms current and previous (includingSF 54) are retained for retirement records.

RI 76-10, Assignment of FEGLI File with SF2817, Life Insurance Election.

RI 76-27, FEGLI ’99 OpenEnrollment Period Election Form

Table C — Compensation and Benefits (Continued)DOCUMENT TYPE DOCUMENT NOTESThrift Savings Plan TSP 1, Thrift Savings Plan Election

Form

TSP 19, Transfer of Thrift SavingsPlan Information Between Agencies

PostalEase TSP Worksheet. When used for exception processing.

Form 6886, TSP Request forRetroactive Contributions

Retirement RI 20-97, Estimated Earnings duringMilitary Service

RI 36-18, OPM Statement of ServiceCredit Payment

OPM Form 1514, Military DepositWorksheet

Generated by payroll showing zero balance.

OPM Form 1515, Military ServiceDeposit Election

OPM Form 1555, FERS Election ofCoverage

SF 144/Form 144, Statement ofPrior Federal Civilian and MilitaryService

Any material accepted as proof or verificationof service that is creditable for leave may beattached.

SF 813, Verification of a MilitaryRetiree’s Service in NonwartimeCampaigns or Expeditions

All forms current and previous are retained forretirement records.

SF 2803, Application to MakeDeposit or Redeposit — CSRS

SF 2804, Application to MakeVoluntary Contributions

Form 2805, Military DepositWorksheet

Including related materials.

SF 2815, Employee ServiceStatement (Obsolete)

SF 3102, Designation of Beneficiary(FERS)

SF 3106, Application for Refund ofRetirement Deducations (FERS)

SF 3108, Application to MakeDeposit or Redeposit — FERS

SF 3109, Election of Coverage(FERS)

Previous version was SF 1555.

SF 3110, Former Spouse’s Consentto FERS Election (FERS)

SF 3111, Request for Waiver,Extension, or Search in Connectionwith Election of FERS Coverage(FERS)

Notice of Approval of DisabilityRetirement Application.

Including previous versions of this notice.

National Personnel Records Center(NPRC) Transcript of Service.

Other records and documents provided by theNPRC for OPF storage should also beconsidered permanent records.

Table C — Compensation and Benefits (Continued)DOCUMENT TYPE DOCUMENT NOTESRetirement FAX Request for Employee

Retirement ContributionInformation — Attachment D ofCompensation Letter.

OPM verification of funds.

Worksheet for DeterminingRetirement Plan Code andRetirement Computation Date(RCD) for Career Employees withCivilian Service Prior to 1984.

RTR Employee Detail Report.

Verification of RetirementContributions.

Notification of Earnings for MedicareEligibility.

Printout.

NARECS Annuity Estimate. Final estimate for retirement.

Death/UnpaidCompensation

FE 6, Claim for Death BenefitsSF 2800, Application for DeathBenefits

Copy of death certificate or notice and relatedforms may be filed as permanent records.

SF 1152, Designation ofBeneficiary — UnpaidCompensation of Deceased CivilianEmployee

When changed or updated by the employee,the SF 1152 being replaced is removed fromthe OPF and either returned to the employeeor destroyed.

SF 1153, Claim for UnpaidCompensation of Deceased CivilianEmployee

Table D — PayrollDOCUMENT TYPE DOCUMENT NOTES

Income TaxWithholding

IRS W4, Employee’s WithholdingAllowance CertificateIRS W4A, Employee’sWithholding CertificateIRS W4P, Withholding Certificatefor Pension or Annuity PaymentsIRS W15, State Withholding TaxExemption CertificateForm 4, Employee’s City orCounty Withholding CertificateForm 1198, Request for StateIncome Tax Withholding

The original form must be kept on file as apermanent record. IRS regulations require that themost current withholding exemption certificates bekept on file until superceded by a later change. Thesuperseded (old) certificate must then be retained forfour years from the date the current form was filed.

Terminal LeaveWorksheet

Form 2246, Terminal LeaveWorksheet

Commendations Suggestion Award.

Copies of official letters andcertificates related to receipt ofawards including, but not limitedto, Quality Step Increase,Incentive Award, Spot Award,and Special Achievement Award.

Copies of official lettersrecognizing length of service andretirement, letters of appreciationand commendations forperformance.

Travel Form 178, Specific Travel Orderand Relocation Agreement

Salary Employee election to continue topay the full cost of benefits whileon approved LWOP to serve inan employee organization.

Form 1303, Salary ChangeNotice (obsolete)

COLA Roll In Notices/Statements

Pay transcripts. Including payroll records search requests.

Letter from Accounting ServiceCenter and relateddocumentation regardingChildren’s Equity Act of 2000.

Documentation of the applicationof grade or pay retentionincluding copy of a letter toemployee describing thecircumstances warranting theretention and nature of theentitlement.

Table D — Payroll (Continued)DOCUMENT TYPE DOCUMENT NOTES

Union Dues Form 1186, Cancellation ofAPWU Dues from PayrollWithholdingsForm 1187, Request for PayrollDeduction for Labor OrganizationDuesForm 1188, Cancellation ofOrganization Dues from PayrollWithholdings

Court Orders Court Orders affecting employeestatus or pay.

This does not include garnishment records.

Table E — Personnel ActionsDOCUMENT TYPE DOCUMENT NOTES

Personnel Action PS Form 50 and SF 50,Notification of Personnel ActionSF 50-A, Notice of Short TermEmployment (obsolete)Report R0955, Salary andPlacement Service History

File the OPF copy on the right side of the OPF.Documents supporting the personnel action should befiled immediately below the applicable Form 50.

Assignment Form 222, Statement forPostmasters and Officers inChargeMass transfer lists.

If a document is filed in an employee’s OPF listing thenames and social security numbers (SSNs) of otheremployees, the document must be altered to eliminatethe names, SSNs, and any other personal identifyinginformation.

Reassignment Record of qualification onin-service examination.

Form 5912-A, Alphabetical Register Card (eligiblerating only), and other records of qualification issuedas the result of an in-service examination, areconsidered permanent records and must be filed onthe right side of the OPF.

Resignation Form 2574, Resignation from thePostal Service

Includes letter of resignation submitted by theemployee or, if oral resignation, supervisor’s notice,.

Form 337, Clearance Record forSeparated Employee, orequivalent

RIF Notice Reduction In Force Notice.

EXHIBIT 2 — Temporary Document Table

The following table provides a partial list of the types of temporary documents for filing on the left side ofthe OPF.

DOCUMENT TYPE DOCUMENT NOTES

Personnel Action SF 52, Request for Personnel Action

SF 127, Request for Official PersonnelFolder

Form 1216, Employee’s Current MailingAddress

Form 1750, Employee ProbationaryPeriod Evaluation Report

Form 2444, Agreement to Remain in thePostal Service

Or other continued service agreements.

TSP 41, Notification to TSP of NonpayStatus

7-year retention period.

Form 3074, Request for Waiver of Claimfor Erroneous Payment of Pay

Form 8200, Flexible Spending AccountEnrollment Form

UnofficialCommendations

Customer comment cards, letters, ornotes.

Discipline Disciplinary notice or decision letter. Except as otherwise provided in anapplicable collective bargaining agreement:� Retain in OPF for a period of

2 calendar years unless otherwiseresolved or cited in subsequentdisciplinary action.

� Remove any disciplinary notice ordecision letter, upon the employee’swritten request, from the employee’sOPF after 2 years (if there has been nodisciplinary action initiated against theemployee in that 2-year period).

EmployeeSelf-ServiceExceptionProcessing

PostalEASE/FSA Worksheet. 7-year retention period from date ofemployee signature.