This Directive was canceled July 30, 2004.

Par.

1. Purpose
2. References
3. Official Personnel Folder, SF-66
4. Employee Performance File
5. Other Information Regarding Personnel Records

1. PURPOSE. To implement applicable regulations regarding the establishment, maintenance, custody, and disposition of official personnel records within the Federal Highway Administration (FHWA). Restrictions on other information regarding FHWA employees are also explained. This section should be used in conjunction with referenced materials.
2. REFERENCES.
   1. Privacy Act of 1974, PL 93-579 (5 U.S.C. 552a),
   2. Title 5, Code of Federal Regulations, Part 293, Personnel Records,
   3. Office of Personnel Management, Guide to Personnel Record Keeping,
   4. Office of Management and Budget: "Privacy Act Implementation: Guidelines and Responsibilities",Federal Register, Volume 40, Number 132 and OMB Circular A-108 dated July 1, 1975,
   5. General Services Administration: General Records Schedule 1,
   6. DOT Orders 3293.1, Maintenance of Personnel Records under the Privacy Act of 1974, dated December 8, 1975,
   7. Departmental Personnel Manual (DPM) 293-2, Establishment of Employee Performance File System, dated February 1, 1982, and
   8. FHWA Order H 1320.1, Public Availability of Information Handbook, dated December 18, 1975.
3. OFFICIAL PERSONNEL FOLDER (OPF), SF-66. The OPF is one of two official repositories for the personnel records of individual employees of the FHWa. The FHWA will strictly adhere to the legal requirements regarding OPF's. To assure compliance with these requirements, the following aspects are emphasized:
   1. Single OPF for Each Employee. Only one OPF is maintained for each employee. This single OPF is maintained throughout the employee's career, and is transferred from agency to agency with the employee. While only one OPF is maintained, it may at times become necessary to maintain an unofficial copy of important OPF documents in certain field locations, particularly for an employee whose OPF is maintained in a location other than where he/she works(see paragraph 5 of this Section for further information).
   2. Contents of OPF.

      (1) Permanent Records. Only permanent records affecting the employee's status and service are filed on the right side of the OPF. All SF-50's, Notification of Personnel Actions, and forms relating to an employee's benefits are examples of permanent records.

      (2) Temporary Records. Temporary records are filed on the left side of the OPF. In general, these are documents leading to a formal action but not constituting a record of it nor making a lasting contribution to theemployee's record. Most documents and forms listed below are to be retained for a period of 2 years. Exceptions to the two-year retention period for documents other than forms are individually noted. Exceptions for filing documents on the left side of the folder may be made by Division Chiefs in the Office of Personnel and Training (OPT), and by Regional Directors of Administration in regional offices when determined essential. Such exceptions shall be made in writing and directed to the person responsible for maintaining OPF's with copies to the appropriate personnel.

      Forms	Length of Time Retained
      SF-52, Request for Personnel Action - in most instances other than detail and separations.	Until employee leaves the Agency.
      FHWA-2, Continued Service Agreement for Change of Official Duty Station in Continental United States.	2 years after fulfillment of agreement.
      DOT F 1500.4, Travel Order For Permanent Change of Station.	2 years - only those involving a change in duty station.
      FHWA-67, Employee's Agreement to Continue in Service.	2 years after fulfillment of the agreement.
      FHWA-127, Standard Conditions of Employment for U.S. Citizens Stationed at Overseas Posts.	2 years after employee returns to the United States.
      OF-264, Medical History and Examination for Foreign Service, and DS-823, Medical Clearance.	2 years after employee returns to the United States.
      FHWA-150, Request for Authorization of Travel and Moving Expenses to First Duty Station.	2 years after completion of the agreement.

       

      Memoranda/Letters	Length of Time Retained
      Employment offers and acceptances.	2 years
      Reassignment (except trainees) or lateral transfers that make an offer or outline conditions thereof.	2 years
      Promotion offers and replies.	2 years
      Reduction-in-Force(RIF) Notifications - if in conjunction with a resignation or retirement.	2 years
      Written reprimand for Conduct.	2 years

      (3) Photographs. Photographs of the employee, whether included in a news clipping or in any other format, are not permitted to be filed in an OPF.
   3. Safeguarding OPF.

      (1) The OPF shall be maintained in the personnel office having delegated responsibility for the processing of personnel actions for the employee concerned.

      (2) Every precaution shall be taken to prevent the loss or destruction of the OPF. The OPF's shall be maintained in a locked cabinet or locked room at all times when not in use, or when authorized employees are not present to safeguard them.

      (3) Removal from, rearrangement of, or adding to the contents of OPF's, except by properly authorized persons, is prohibited.

      (4) Periodic reviews will be conducted by authorized persons, including individuals designated by the responsible personnel officer, to ensure that all contents of the OPF are appropriate.

      (5) An appropriate charge-out system shall be maintained in order to control the location of each OPF at all times.

      (6) Release of information contained in the OPF is governed by requirements of the Privacy Act of 1974 and implementing regulations. See paragraph 3d(1) of this Section for further information.

      (7) When an OPF must be transmitted through the mail, it should be accompanied by two copies of Form FHWA-1055, "Personnel Folder Transmittal Letter," listing each folder that is being transmitted by the employee's name. The folders should be placed in fully addressed envelopes of sufficient size to enclose the folders without mutilating or otherwise defacing the covers. When several folders are sent, they shall be securely wrapped and fastened. The inner envelope or package should be marked with this statement, "Official Personnel Folder: Forward Unopened to Addressee." Mailroom personnel shall be instructed to forward mail marked in this manner unopened to the addressee. Upon receipt of transmitted folders, the addressee should return the second copy of the Form FHWA-1055 to the addressor, acknowledging receipt of the OPF(s). An OPF shall not be transmitted even by inter-office messenger or any other manner in an unsealed envelope.

   4. Release of Information Contained in OPF.

      (1) Part II of FHWA Order H 1320.1 describes the FHWA implementation of the Privacy Act of 1974 and subsequent Office of Management and Budget, Office of Personnel Management, and DOT regulations. Appendix II-B of FHWA Order H 1320.1, under "CSC/GOVT-3", contains a description of routine uses of the information contained in the OPF. Questions in this regard should be addressed to the servicing personnel office or the Personnel Operations Division (HPT-20), in Washington Headquarters.

      (2) Information about any Federal employee which can be released to the public without the permission of the employee includes the employee's name, present and past position titles, grades, salaries, and duty station(s). On these five items, the Freedom of Information Act, 5 U.S.C. 552, directs disclosure to "any person" without regard to the purpose or need of the individual requesting such information, unless nondisclosure is justified under one or more of the Act's exemptions. As a courtesy, responsible personnel officers may inform employees when such information is requested and released.

      (3) An employee and/or a representative, duly authorized by the employee in writing, is entitled to see the contents of the employee's own OPF, but only in the presence of an official designated by the responsible personnel officer. Generally, such reviews should be requested in advance. Reasonable identification will be required to assure that records are disclosed to the proper person.

      (4) Further information regarding the Privacy Act of 1974 is contained in FHWA Order H 1320.1.

   5. Transfer and Disposition of OPF. The following provides information concerning the processing of the OPF upon transfer or separation of the employee from the FHWA, as well as procedures for requesting the OPF upon accession to the FHWa.

      (1) Accessions. When an employee transfers to FHWA from another Federal agency or is reappointed or reinstated, the OPF will be requested no later than three working days after the employee enters on duty. Any pertinent data, such as the Standard Form 50, Notification of Personnel Action, should be transmitted to the previous agency to assist them in locating the OPF. A follow-up for receipt of the folder will be maintained.

      (2) Transfers. When an employee transfers from the FHWA to another Federal agency, temporary papers on the left side of the folder shall be removed and destroyed. When an employee moves within the DOT, by reassignment or other action, the entire OPF is forwarded, including the temporary material retained on the left side of the folder. The OPF should be reviewed prior to transmittal to the new appointment office, to ensure appropriateness of the material maintained.

      (3) Retirements and Other Separations.

      (4) Pending Transfer. An OPF placed in the active file should be designated as inactive for the period of retention by inserting a tag over the date of birth showing the date of separation or reduction-in-force. The insert is removed when the OPF is forwarded. Form FHWA-1055 accompanies each package of OPF's forwarded and will indicate employee's name, date of birth, and social security number for each OPF forwarded with the Form.

      • (a) When an employee resigns, retires, or is separated from the rolls of FHWA, the employee's OPF is held in an inactive file for a period of 30 days, unless the employee is reemployed within the 30-day period by a Federal agency. At the end of the 30-day period, the OPF is forwarded to the National Personnel Records Center. It is important that any unfiled personnel documents be incorporated into the OPF before it is transmitted, to minimize the need to send loose documents later. Additionally, the certified SF-1150,Record of Leave Data Transferred, should be filed in the OPF before transmittal.

        (b) There are exceptions under which an OPF may be retained by the appointing office for a period longer than 30 days. These include:

        • (1) retirement and death cases when OPM inquiry can be expected (a 120 day retention period is then appropriate);

          (2) appeal by the employee following involuntary separation (the OPF is then retained until the appeal is resolved);

          (3) employees who transferred to an international organization (the OPF is retained until the employee returns to FHWA);

          (4) temporary employees likely to be reemployed (the OPF can be retained up to one year in such cases);

          (5) employees for whom permanent records are outstanding or for whom claims of various sorts are being adjudicated (the OPF should be retained until records are obtained or claims are resolved); and

          (6) employees involuntarily separated and entitled to severance pay (the OPF is retained until the severance fund is exhausted, or until the employee is reemployed under an appointment for a period greater than one year, whichever occurs first).
4. EMPLOYEE PERFORMANCE FILE (EPF) . The EPF is the other official repository for the personnel records of individual employees of the FHWa. The FHWA will adhere to legal and DOT requirements regarding the EPF. The following aspects are emphasized:
   1. EPF for each Employee. An EPF is maintained for each employee. This file will provide the employee with collected information on actual performance. Performance information in the EPF will serve as a basis for personnel action decisions such as awards, within grade increases, merit pay assignments, reassignments, training, and remedial and adverse actions.
   2. Contents of EPF. The following list of documents will be maintained in the EPF:

      (1) Lists of awards and training;

      (2) Performance Appraisal Record (Form FHWA-1552);

      (3) Executive Performance Appraisal Record (DOT F 3430.5);

      (4) letters of reprimand, if related to performance; and

      (5) appreciation letters.

   3. Safeguarding the EPF. The following procedure should be observed to safeguard the EPF.

      (1) the EPF will be maintained in the personnel office having the delegated responsibility for maintaining the OPF,

      (2) the EPF will be maintained in a locked cabinet or locked room at all times unless an authorized employee is present,

      (3) removal from or adding to the contents of the EPF, except by authorized employees, is prohibited,

      (4) an appropriate charge out system shall be maintained in order to control the location of each EPF,

      (5) release of information contained in the EPF is governed by requirements of the Privacy Act of 1974 and implementing regulations, and

      (6) the EPF should be transferred with the OPF from the regional office to Washington Headquarters or Washington Headquarters to the regional office. If sent alone, it should have two copies of Form FHWA-1055, Personnel Folder Transmittal Letter.

   4. Release of Information Contained in EPF. Employees shall have access to their EPF. Such access shall also be given to an employee's representative (designated in writing), as well as other officials who have a need for the documents in performance of their duties. All other requests for performance documents (such as Freedom of Information Act requests) shall be made in accordance with established procedures for disclosure of such records.
   5. Retention Schedule. Performance appraisals and supporting documents are not permanent records. Performance appraisal records, including those for Senior Executive Service (SES) members, are to be kept for five years. The performance appraisal record includes all parts of the Form FHWA-1552,training courses related to performance, and all other documentation related to performance. The following exceptions apply:

      (1) performance appraisal records which are superseded through administrative or judicial procedure are to be destroyed,

      (2) when a performance related document is needed in connection with an on-going administrative, negotiated, quasi-judicial, or judicial proceeding, and it therefore continues to be retained in this system, it may be retained for as long as necessary beyond the retention schedule, and

      (3) screening and purging of the EPF shall be done at least once every 2 years.

   6. Disposition of Records. The latest 5 years of performance records are sent with the OPF when it is sent to another Executive Agency or to the National Personnel Records Center upon transfer or separation of the employee. Information in the EPF other than the performance appraisal plan should be destroyed or returned to the employee. If a former employee returns to FHWA, a new EPF shall be started unless the original file is still available.
5. OTHER INFORMATION REGARDING PERSONNEL RECORDS.
   1. The only personnel records maintained by FHWA which contain information about individuals, are those which are relevant and necessary to accomplish the legitimate personnel administration purposes of FHWa. There is limited duplication of official records. Certain notes of supervisors are not considered personnel records. These matters are discussed below.

      (1) Work Folders. In accordance with DOT Order 3293.1, dated December 8, 1975, operating or work folders for employees (Personnel WorkFolders) may be established which contain copies of official personnel documents under limited circumstances. For FHWA, these limitations mean:
       

      (a) field personnel offices and centers may establish work folders for those employees whose OPF's are maintained at the Washington Headquarters,

      (b) division offices or the chiefs of other FHWA field activities, geographically remote from the personnel office which maintains the OPF's for employees of the field activity, may establish work folders for such employees,

      (c) only one work folder in addition to the OPF may be established for any employee. Thus, officials of field activities, contemplating the establishment of work folders or possessing existing work folders, should contact their servicing personnel office to ensure that no other work folder has been established,

      (d) the responsible official maintaining the work folder must insure that proper safeguards are installed to prevent unauthorized disclosure. For retention purposes, work folders must conform to the provisions for temporary records in an OPF, and

      (e) each responsible official should insure that no copies of official records are retained in work folders after the originals or copies have been purged from the OPF. When an employee leaves the office maintaining the work folders, the work folder should be immediately forwarded to the office maintaining the OPF in order that it might be screened to insure that it contains no original documents that should have been permanently filed in the OPF. After screening, the work folder should be destroyed.

      (2) Operating Folders. When duplicate copies of information from the OPF are not retrievable by individual name nor by other individual identifying characteristic, such copies are not considered part of the FHWA personnel records systems. Thus, when relevant and necessary, offices may retain copies of personnel documents filed by document type and organizational element, in addition to any copies maintained in work folders.

      (3) Personal Use Documents. Information or documents, other than copies of official personnel records that are maintained by supervisors or managers exclusively for their own personal use, and used by them in performing official functions, are not considered to be records within the meaning of the Privacy Act of 1974. Managers and supervisors should limit such notes, information, or documents related to individual employees to material essential to the conduct of FHWA activities, and should rely upon the OPF or EPF for official documentation. Any information which is maintained by supervisors and managers under this provision must be relevant and not under the control or dominion of FHWA (see DOT Order 3293.1, paragraph 6a(9) ). The individual maintaining such information is personally responsible for safeguarding it against unauthorized disclosure or use. Examples of such information include: personal telephone lists, data needed to support future personnel actions, and work schedules.