[Code of Federal Regulations]
[Title 5, Volume 1]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR293.403]

[Page 92-93]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
 
PART 293--PERSONNEL RECORDS--Table of Contents
 
           Subpart D--Employee Performance File System Records
 
Sec. 293.403  Contents of employee performance files.

    (a) A decision on what constitutes a performance-related document 
within the meaning of this subpart rests with the agency. Agency 
implementing instructions, for both incumbents of the Senior Executive 
Service and other positions, shall provide specific written guidance of 
the description of what constitutes the agency's official performance-
related forms and documents.
    (b) Agency implementing instructions describing such records shall 
indicate where and for how long they are retained and how and when they 
are to be destroyed. Such instructions shall also describe what records 
are considered to be performance-related (as specifically as is 
feasible) and shall include all performance-related records maintained 
as a system of records within the meaning of the Privacy Act. Such 
records would generally include:
    (1) Any form or other document which records the performance 
appraisal, including appraisals leading to merit pay determinations.
    (2) Any form or other document used by rating officials to recommend 
a personnel action affecting an employee (including a request for 
personnel action document, but only when the action is not effected) 
when the basis for the action (e.g., removal, reassignment, demotion, 
promotion, or merit pay or other performance award) is performance-
related.
    (3) Recommendations for training that are performance-related.
    (4) Any form or other document furnished in support of recommended 
actions such as those listed in paragraph (b)(2) of this section and the 
agency's final decision on the matter (e.g., a recommendation for merit 
pay or an agency decision to grant only one-half the comparability pay 
adjustment).
    (5) Any form or other document which the rating official is required 
by the agency to keep during an appraisal

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period (e.g., quality control records, production records, or similar 
records used to track employee performance during the appraisal period.)
    (6) Any form or other document regarding Performance Review Board 
decisions, including supporting documentation and any transcript of 
hearings or testimony from witnesses.
    (7) Any form or other document regarding decisions or 
recommendations of agency Executive Resources Boards related to 
performance appraisal or actions resulting from performance appraisals.
    (8) Appraisals of potential (e.g., in connection with an agency's 
merit promotion procedures) if agency implementing instructions 
specifically require or permit retention of a copy.
    (9) Individual development plans.
    (10) Copies of licenses, certificates of proficiency, or similar 
documents required of the position.
    (c) General information about the employee, i.e., identification 
data, information concerning Federal and non-Federal employment 
experience, and information about any training programs the employee 
participated in may, if an agency deems it appropriate, be retained in 
this system.

[47 FR 3080, Jan. 22, 1982, as amended at 63 FR 43867, Aug. 17, 1998]