[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: 5CFR293.404]

[Page 93-94]
 
                    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. 293.404  Retention schedule.

    (a)(1) Except as provided in Sec. 293.405(a), performance ratings or 
documents supporting them are generally not permanent records and shall, 
except for appointees to the SES and including incumbents of executive 
positions not covered by SES, be retained as prescribed below:
    (i) Performance ratings of record, including the performance plans 
on which they are based, shall be retained for 4 years;
    (ii) Supporting documents shall be retained for as long as the 
agency deems appropriate (up to 4 years);
    (iii) Performance records superseded (e.g., through an 
administrative or judicial procedure) and performance-related records 
pertaining to a former employee (except as prescribed in 
Sec. 293.405(a)) need not be retained for a minimum of 4 years. Rather, 
in the former case they are to be destroyed and in the latter case 
agencies shall determine the retention schedule; and
    (iv) Except where prohibited by law, retention of automated records 
longer than the maximum prescribed here is permitted for purposes of 
statistical analysis so long as the data are not used in any action 
affecting the employee when the manual record has been or should have 
been destroyed.
    (2) When an employee is reassigned within the employing agency, 
disposition of records in this system, including transfer with the 
employee who changes positions, shall be as agencies prescribe and 
consistent with Sec. 293.405(a).
    (3) Appraisals of unacceptable performance, where a notice of 
proposed demotion or removal is issued but not effected, and all 
documents related thereto, manual and automated, pursuant to 5 U.S.C. 
4303(d) must be destroyed after the employee completes one year of 
acceptable performance from the date of the written advance notice of 
the proposed removal or reduction in grade notice. Under conditions 
specified by an agency, and earlier destruction date is permitted and 
destruction must be no later than 30 days after the year is up.
    (b) Performance records for Senior Executive Service appointees, 
including those serving under a Presidential appointment under 5 U.S.C. 
3392(c), are to be retained as follows:
    (1) Pursuant to 5 U.S.C. 4314(b) (3) and (4), Senior Executive 
Service appointees shall have their performance-related records 
maintained for five consecutive years (from the date the appraisal is 
issued) beginning with the effective date of appointment, including 
individuals receiving appointments pursuant to 5 U.S.C. 3593(b).
    (2) When an appointee of the Senior Executive Service moves to 
another position in the Service, either with the same or a different 
agency, all appropriate performance-related documents five years old or 
less shall be forwarded in the Employee Performance File along with the 
individual's OPF.
    (3) When an employee in the Senior Executive Service accepts a 
Presidential appointment pursuant to 5 U.S.C. 3392(c), the employee's 
performance file shall be retained as long as

[[Page 94]]

the employee remains employed under that Presidential appointment. When 
the appointment ends, and the individual does not return to the Senior 
Executive Service, the employee's performance file shall be destroyed in 
accordance with agency procedures.
    (c) Where any performance-related document is needed in connection 
with an ongoing administrative, negotiated, quasi-judicial, or judicial 
proceeding, and it continues to be retained in this system rather than 
another system, it may be retained for as long as necessary beyond the 
retention schedules identified in paragraphs (a) and (b) of this 
section.
    (d) Screening and purging of folders/envelopes and rating official's 
work files for the purpose of compliance with these retention schedules 
shall be through any agency process insuring consistency with the 
requirements.

[47 FR 3080, Jan. 22, 1982, as amended at 51 FR 8411, Mar. 11, 1986; 56 
FR 65416, Dec. 17, 1991]