3 FAH-1 H-2350
PERSONNEL RECORDS
(CT:POH-206; 06-29-2018)
(Office of Origin: HR/EX)
3 FAH-1 H-2351 GENERAL PROVISIONS
3 FAH-1 H-2351.1 Authority
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
These regulations are issued under the authority of:
(1) Executive Order 12107;
(2) 5 U.S.C. 301;
(3) 5 U.S.C. 552a;
(4) 5 U.S.C. 4305;
(5) 5 U.S.C. 4315;
(6) 5 CFR 293;
(7) 5 CFR 297;
(8) The Office of Personnel Management (OPM) Guide to
Personnel Recordkeeping;
(9) Sections 206(a), 603, and 604 of the Foreign
Service Act of 1980; and
(10) 5 FAH-4, Records Management Handbook.
3 FAH-1 H-2351.2 Personnel Records
Defined
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
Personnel records: Any personnel information maintained
in a system of records that is:
(1) Retrieved by an employees name or an identifying
number, symbol, or other identifier assigned to an employee; and
(2) Needed by management for personnel management
programs or processes.
3 FAH-1 H-2351.3 Applicability
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
These regulations apply to all employees of the Department
of State and, where specifically so provided, to employees of other agencies
who may be assigned or detailed to the Department.
3 FAH-1 H-2352 access to official
personnel folders (opfs)
3 FAH-1 H-2352.1 Restrictions on
Access
(CT:POH-180; 05-02-2016)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Official personnel folders (OPFs) contain personal
information concerning current or former employees which must be protected
against any unwarranted invasion of employees personal privacy. (See 3 FAM 2352.4-2
for policy concerning access to personnel records by Department officials.)
b. Both Foreign Service and Civil Service employees
have access to their personnel records through HR Online by clicking on the
eOPF link under the employee self-service section.
c. Former employees may request access in accordance
with the Privacy Act. OPFs of former Foreign Service employees are stored at
the National Personnel Records Center (NPRC) in St. Louis, Missouri.
Performance folders are stored at the Washington National Records Center (WNRC)
in Suitland, Maryland. Access to these OPFs will be made through the
Departments Records and Information Management Division (HR/EX/RIM). Requests
from former Foreign Service employees for access to such records should be
submitted under the Privacy Act procedures (22 CFR 171 (D)).
d. OPFs of former Civil Service employees are stored at
NPRC, St. Louis, MO. Access to these folders will be provided by OPM under procedures
contained in its regulations and the Guide to Personnel Recordkeeping.
3 FAH-1 H-2352.2 Access within the
Department
(CT:POH-168; 07-02-2015)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Access to and use of official personnel folders
(OPFs) must be restricted to employees who have a legitimate need for personnel
records. These employees are defined as follows:
(1) Principal officers of the Department (the
Secretary, the Deputy Secretary, and the Under Secretaries) and authorized
users of the Bureau of Human Resources (HR);
(2) Bureau executive directors, through the
appropriate HR assignments branch for dissemination to their superiors in the
case of:
(a) Employees who are candidates for positions at the
deputy assistant secretary or deputy chief of mission level, and special
assistants or secretaries to ambassadors or Assistant Secretaries and above;
and
(b) Employees who are candidates for assignment to
other positions of unusual sensitivity, subject to approval by a Deputy
Assistant Secretary for Human Resources by written request justifying the need
to see the record in each individual case;
(3) Attorneys in the Office of the Legal Adviser (L),
as necessary, in grievance, Equal Employment Opportunity (EEO), Freedom of
Information Act (FOIA), or other cases assigned to them;
(4) Authorized investigative agents of the Bureau of
Diplomatic Security (DS) to carry out their assigned investigative functions;
(5) Medical officers in the Office of Medical Services
(M/MED) in the performance of their assigned responsibilities;
(6) Employees of the Office of Inspector General
(OIG), as necessary, to conduct audits, inspections, and investigations
pursuant to the provisions of the Inspector General Act of 1978 (Public Law 95-452),
as amended, and Section 209 of the Foreign Service Act (Public Law 96-465), as
amended; and attorneys in the Office of Counsel within the OIG, as necessary,
in grievance, EEO, FOIA, or other cases assigned to them;
(7) Office of Civil Rights (S/OCR) personnel, EEO
investigators, counselors, or authorized representatives, as required, in
handling specific EEO complaints;
(8) Bureau of Human Resources, Grievance Staff (HR/G)
personnel for those cases specifically brought under the grievance procedures of
Chapter 11 of the Foreign Service Act and 3 FAM 4400, Foreign Service Grievance
System; the Foreign Service Grievance Board, grievant, and authorized
representatives of the grievant, if requested through HR/G, or directed by the
board;
(9) Members of Foreign Service selection boards as set
forth in the applicable precepts for the boards;
(10) A designated representative of a member of the
Foreign Service provided that:
(a) The designation is in writing either by letter
with a signed, notarized statement, or telegram (indicating in the telegram
that a notarized statement is being sent); and
(b) The written statement specifically authorizes the
representative to review the employees performance folder, administrative OPF,
or specific portions thereof. Any document designating a representative must
remain in effect for 60 days from the date of the document unless otherwise
specified;
(11) A named representative of the exclusive bargaining
agent for the Foreign Service, so long as that representative has been
specifically designated in writing by the employee via email or other
communication. The written statement authorizes the representative to review
the performance folder, administrative OPF, or both. Such document must remain
in effect for 60 days from the date of the document unless otherwise specified;
(12) The Board of the Foreign Service, as required, in
the performance of its duties;
(13) The Board of Examiners of the Foreign Service
(HR/REE/EXAM/BEX), as required, in the performance of its duties;
(14) Bureau executive offices in the performance of
required administrative functions in serving personnel assigned to their areas
of responsibility (administrative OPFs only);
(15) Employees in the Bureau of the Comptroller and
Global Financial Services (CGFS) in computing prior service credit, making
retroactive salary payments, determining or adjusting deductions for employee
benefits, and similar fiscal matters (administrative OPFs only);
(16) Employees in the Office of Casualty Assistance
(DGHR/OCA) in cases of injury or death in service (administrative OPFs only);
and
(17) Employees of the Bureau of Human Resources who
have an authorized need for OPFs in the performance of official duties. (See 3 FAH-1
H-2352.3-2 for charge-out procedure.)
3 FAH-1 H-2352.3 Access by Other
Federal Agencies and Other Entities
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
For the purposes specified in 3 FAH-1
H-2352.3-1 and 3 FAH-1
H-2352.3-2, authorized officials of other Federal agencies and other
entities may review official personnel folders (OPFs) of Department employees.
3 FAH-1 H-2352.3-1 Use by the
Office of Personnel Management (OPM)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The Office of Personnel Management (OPM) may use or borrow
the official personnel folders (OPFs) of Department of State Civil Service and
Foreign Service employees at any time. The most common types of routine use
include:
(1) Periodic reviews or audits of personnel files and
programs;
(2) Examination of Civil Service employee complaints
regarding the validity of specific documents in these files;
(3) Transmission of data for the automated Central
Personnel Data File (CPDF) or Executive Personnel Management Data System (EPMD)
or for other purposes under E.O. 12107;
(4) Exchange of statistical data, including test
scores, related to Department and Civil Service examinations for analysis,
comparability, and validation purposes; and
(5) Submission of information concerning pay,
benefits, retirement deductions, etc., necessary for OPM to carry out its
government-wide personnel management functions.
3 FAH-1 H-2352.3-2 Review by
Other Agencies and Entities
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
Other agencies and entities that may review the official
personnel folders (OPFs) of Department of State Civil Service and Foreign
Service employees include:
(1) Accredited investigative agents of any Federal
agency to carry out assigned investigative functions pursuant to a written
request by an official of at least office-director level specifying the
necessity for such access;
(2) Authorized officials of the Agency for
International Development (USAID) in connection with proposed details of
employees or consideration by selection boards (the Career Development and
Training Division of the Bureau of Human Resources (HR/CDA/CDT) will approve
these types of reviews); and
(3) Authorized officials of other Federal agencies,
international organizations, or State and local governments, in cases where
Foreign Service employees are being considered for detail, assignment, or
secondment to the agency or organizational entity concerned, when such review is
approved by HR/CDA/CDT.
3 FAH-1 H-2352.4 Access by Data
Subject
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. As indicated in 3 FAH-1
H-2352.1, the Privacy Act grants employees access to any name-retrievable
file maintained on them by the Bureau of Human Resources (HR). Employees are
not allowed to borrow their own files. (See 3 FAM 2352.4-5.)
b. This right of access does not apply to policy or
subject files unless a request is submitted and granted under the Freedom of
Information Act (5 U.S.C. 552). (See 22 CFR 171 for procedures for filing
requests under the above cited Acts.)
c. Because of the sensitive nature of information
contained in personnel files, every effort must be made to restrict their use
to those employees with an official need for access to the files.
3 FAH-1 H-2352.5 Disposition of
Inactive Folders
3 FAH-1 H-2352.5-1 Official
Personnel Folders (Administrative)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Administrative official personnel folders (OPFs) of
inactive employees are retired to the National Personnel Records Center (NPRC)
one year after separation unless requested by another Federal agency in
connection with an offer of employment.
b. The OPF is retained by NPRC under Federal Property
Management Regulations issued by the National Archives and Records
Administration (NARA).
3 FAH-1 H-2352.5-2 Performance
Folders
(CT:POH-168; 07-02-2015)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Civil Service employee performance folder (EPF):
When a Civil Service employee (other than a member of the Senior Executive
Service (SES)) transfers to another agency or separates from the Service, any
rating of record which is four years old or less and the performance plan upon
which the rating was based are placed in the official personnel folder (OPF)
and forwarded to the gaining agency or NPRC, as appropriate.
b. Senior Executive Service (SES) EPF: The records of
SES appointees (other than Presidential appointees) must be maintained for five
consecutive years from the date the appraisal is issued beginning with the
effective date of the appointment. When a member of the SES moves to another
agency or separates from the Service, any rating of record which is five years
old or less and the performance plan upon which it is based, and all other
related documents will be removed from the EPF, placed in the OPF, and
transferred to the gaining agency or National Personnel Records Center (NPRC),
as appropriate. Performance records of SES Presidential appointees must be
retained and disposed as required by the Guide to Personnel Recordkeeping.
c. Foreign Service performance folder: The
performance folders of Foreign Service employees who separated prior to 1975
were retired to NPRC with the related administrative OPFs. Performance folders
for employees separating in 1975 and subsequent years have been transferred to
Washington National Records Center (WNRC) to be retained until 15 years after
separation of the employee and then disposed under an approved records control
schedule. As earlier OPFs in NPRC are found to be eligible for disposal, they
likewise will be destroyed.
3 FAH-1 H-2352.5-3 Reference
Service on Retired Folders
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
All requests for the return of inactive official personnel
folders (OPFs) from either the National Personnel Records Center (NPRC) or
Washington National Records Center (WNRC) must be submitted to HR/EX/RIM who
will take the necessary steps to retrieve the desired folders and control their
handling and use while in the Department. In the case of reemployment of a
former employee, the prior service records will be merged with the new OPF.
All other inactive folders will be returned to NPRC or WNRC when no longer
needed for reference purposes.
3 FAH-1 H-2352.6 Records Control
System
3 FAH-1 H-2352.6-1 Purpose
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The Records and Information Management Division of the
Bureau of Human Resources (HR/EX/RIM) utilizes an automated centralized
personnel records control system. The system provides immediate on-line
determination of the status and location of official folders (Foreign Service
Administrative, Foreign Service Performance, Civil Service Administrative,
Merged Records Personnel Folder, and Employee Performance File) and a follow up
control system on charged-out folders. The system permits an instant check on
authorized users of official personnel folders (OPFs) and employee performance
folders (EPFs), specifying the type(s) of folders involved, and a printout of
the list of users at periodic intervals for update purposes. The system also
makes possible a periodic check on the status of requests to Federal records
centers or other Federal agencies for inactive personnel folders for prior
service and pre-employment consideration.
3 FAH-1 H-2352.6-2 Charge-Out
Procedure
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
An official personnel folder (OPF) charged out to one
authorized user must never be forwarded to an individual in another office even
though that person may also be an authorized user. The loan or transfer of
such folders to any other employee could result in disciplinary action or fines
under the Privacy Act in cases of willful and knowing unauthorized disclosure.
Each charge-out of an OPF must be made and recorded by the Records and
Information Management Division of the Bureau of Human Resources (HR/EX/RIM).
Normally, an OPF should be returned within 10 workdays although there may be
circumstances justifying longer retention which may be authorized by HR/EX/RIM
on a case-by-case basis. HR/EX/RIM may request return of an OPF at any time
and it must be returned promptly.
3 FAH-1 H-2352.6-3 Maintenance
and Disposition
(CT:POH-137; 06-09-2009)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The Director General has responsibility for proper
maintenance and disposition of all personnel files. Technical advice and
assistance is available upon request from the Chief, Records and Information
Management Division of the Bureau of Human Resources (HR/EX/RIM). Special care
must be exercised not to destroy any personnel records without proper disposal
authorization, under penalty of heavy fines imposed by the Records Disposal Act
of 1943, as amended, and the Federal Records Act of 1950. Approved disposition
schedules regarding personnel records may be accessed from the Office of
Information Programs and Services (A/GIS/IPS) Intranet Web site. They are
also available upon request from the Chief, HR/EX/RIM.
3 FAH-1 H-2352.6-4 Filing and
Removal of Documents
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Documents and information may not be added to or
removed from official personnel folders (OPFs) except by members of the Records
and Information Management Division of the Bureau of Human Resources
(HR/EX/RIM).
b. Possible problems relating to arrangement, contents,
or misfiled information should be brought immediately to the attention of the
Chief, HR/EX/RIM.
3 FAH-1 H-2353 OTHER OFFICIAL
PERSONNEL RECORDS
(CT:POH-137; 06-09-2009)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. No additional name-retrievable files on Department
personnel should be established by any office in the Department without
consulting with the Chief, Records and Information Management Division of the
Bureau of Human Resources (HR/EX/RIM).
b. The establishment of each additional system of
name-retrievable files must be cleared by the Office of Information Programs
and Services (A/GIS/IPS) and may need to be listed in the Federal Register
pursuant to provisions of the Privacy Act.
3 FAH-1 H-2354 procedures and
guidelines for POST PERSONNEL RECORDS
3 FAH-1 H-2354.1 General
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The post working files of U.S. citizen employees and
consular agents must be maintained separately from folders of Foreign Service
national (FSN) employees and personal services contract (PSC) employees.
3 FAH-1 H-2354.2 Administrative
Records
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The administrative working files at post should be
arranged similarly to administrative official personnel folders (OPFs). At the
discretion of the management or human resources officer, additional papers may
be added to the file if deemed essential to the employees service record for
the posts reference needs.
3 FAH-1 H-2354.3 Performance
Records
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. Copies of performance ratings retained at post are
maintained separately from other personnel files. They are kept in the
confidential file of the principal officer, a designated subordinate, the
management officer, or human resources officer, as determined by the principal
officer. Upon transfer of an employee from post, the copies of the employees
ratings are held for one year and then destroyed.
b. Access to performance ratings should be restricted
to the following officials on a need-to-know basis:
(1) Principal officer and deputy;
(2) Management counselor/officer;
(3) Human resources officer;
(4) Employees of the Office of Inspector General
(OIG);
(5) Authorized investigative agents of the Bureau of
Diplomatic Security (DS);
(6) Regional and post security officers;
(7) Accredited investigators; and
(8) Equal Employment Opportunity (EEO) counselors,
investigators, attorneys in the Office of the Legal Adviser (L), and Federal Womens
Program (FWP) coordinators, upon presentation of proper identification in
handling specific EEO discrimination complaints. Any other access to
performance records must have written consent of the employee concerned.
c. An accounting of disclosure need not be made in
cases of routine use by authorized Department or post officials, accredited
investigators, EEO counselors, EEO investigators, FWP coordinators, as
prescribed in 3
FAM 2352.4-2, or when disclosures are made pursuant to the Freedom of Information
Act (FOIA). Any other disclosure inside or outside the post, even if
authorized by the employee, must be recorded. This accounting of disclosure
must show the name of the employee file, the name and address of the person to
whom the file is disclosed, the purpose and date of disclosure, and whether or
not the employees consent was obtained. Since the accounting of disclosure
must be retained for five years, a separate log is recommended for disclosure
records.
3 FAH-1 H-2354.4 Security Records
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
Correspondence or reports relating to security
investigations on U.S. citizen employees are not retained at post. They should
be forwarded to the regional security officer having operational jurisdiction
over the post. Posts not having a resident regional security office may retain
file copies of documents for a period not to exceed six months. After that
time, all copies must be destroyed or forwarded to the appropriate regional
security officer.
3 FAH-1 H-2354.5 Restrictions on
Access
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
Under Section 604 of the Foreign Service Act and
provisions of the Privacy Act, only those employees authorized by the principal
officer of the post, or designee, may examine personnel records. Such
authorization is given only to employees whose official duties necessitate
access to the records.
3 FAH-1 H-2354.6 Disposition of
Files
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The post personnel record of a U.S. citizen employee is
never transferred to another post or retired to the Department. The records
should be destroyed one year after transfer or separation of the employee. The
Departments 5 FAH-4, Records Management Handbook, contains instructions for
proper disposition of other post personnel and medical records.
3 FAH-1 H-2354.7 Physical
Protection
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The same requirements for proper storage and handling of
personnel records cited in 3 FAH-1
H-2355.4 apply to post files.
3 FAH-1 H-2355 Contents of Folders
3 FAH-1 H-2355.1 Foreign Service
Official Personnel Folder (OPF) (Administrative)
(CT:POH-200; 11-08-2017)
(State Only)
(Applies to Foreign Service Employees)
a. This Foreign Service official personnel folder
(OPF), referred to as the administrative folder, contains administrative
documents of U.S. citizen Foreign Service employees, generally following the
arrangement and contents prescribed for Civil Service administrative OPFs.
b. A list of the types of documents usually found in
the administrative OPF is provided in 3 FAH-1 H-2358.
c. Foreign Service performance folders: In keeping
with the intent of access restrictions stated in Section 604 of the Foreign
Service Act, the Foreign Service performance folder is a separate folder which
contains material on U.S. citizen Foreign Service employees. It contains
documents which provide information on an employees career development,
performance evaluation, potential, and training.
3 FAH-1 H-2355.2 Civil Service
Administrative Official Personnel Folder (OPF) and Merged Records Personnel
Folder (MRPF)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Civil Service Employees)
a. The arrangement and contents of Civil Service
administrative official personnel folders (OPFs) and merged records personnel
folders (MRPFs) are prescribed by the Office of Personnel Management (OPM) in
the Guide to Personnel Recordkeeping.
b. Lists of the types of documents usually found in
these folders, including Experts, Consultants, and members of the Senior
Executive Service (SES) are provided in 3 FAH-1 H-2356
and 3 FAH-1
H-2357.
c. Civil Service Employee performance folder (EPF)
including Senior Executive Service (SES): The arrangement and contents of
Civil Service employee performance folders (EPFs) including those of the Senior
Executive Service (SES) are prescribed by the Office of Personnel Management
(OPM) in the Guide to Personnel Recordkeeping. A list of the types of
documents usually found in the EPF is provided in 3 FAH-1 H-2356.
3 FAH-1 H-2355.3 Material Excluded
from the Official Personnel Folder (OPF)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
The following types of material are excluded from official
personnel folders (OPFs):
(1) Medical files, which are maintained by the Office
of Medical Services (M/MED);
(2) Investigative files, which are maintained by the
Bureau of Diplomatic Security (DS);
(3) Classified documents, which are maintained by the
originating office;
(4) Material maintained by the Examination Division
(HR/REE/EXAM) or the Secretariat of the Board of Examiners (HR/REE/EXAM/BEX) as
part of the Foreign Service Candidate examination process;
(5) Photographs of the employee;
(6) Investigative, inspection, audit, or other files,
which are maintained by the Office of Inspector General (OIG); and
(7) Other documents excluded from the OPF can be found
in the Guide to Personnel Recordkeeping.
3 FAH-1 H-2355.4 Storage and
Handling
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service and Civil Service Employees)
a. The personal and sensitive information contained in
official personnel folders (OPFs) requires the same physical protection in
handling and storage as classified material.
b. The privilege of withdrawing OPFs from the Records
and Information Management Division of the Bureau of Human Resources
(HR/EX/RIM) is restricted to those persons whose duties require that they have
access to OPFs. During the time of withdrawal and whenever not in actual use,
the folders must be stored in locked cabinets to ensure the security and
confidentiality required by the Privacy Act.
c. OPFs must be picked up from and returned to
HR/EX/RIM by an appropriately authorized user or designated representative.
3 FAH-1 H-2356 CIVIL SERVICE EMPLOYEES
3 FAH-1 H-2356.1 Right (Permanent)
Side of the Official Personnel Folder (OPF)
(CT:POH-206; 06-29-2018)
(State Only)
(Applies to Civil Service Employees)
The following documents are filed on the right (permanent)
side of the Civil Service official personnel folder (OPF):
(1) Prior Federal civilian service or transcript(s)
thereof;
(2) Form SF-75, Request for Preliminary Employment
Data;
(3) Form SF-171, Application for Federal Employment;
Form OF-612, Instructions for Optional Application for Federal Employment; or
resum; and, if applicable, any superior qualifications documents and/or
statements;
(4) Form SF-144, Statement of Prior Federal Service
(civilian and military);
(5) Form DD-214, Report of Separation from the Armed
Forces of the United States, or Form SF-180, Request Pertaining to Military
Records; also veterans preference claims;
(6) Form DSP-80, Statement Regarding Actions on Behalf
of Foreign Principals (Discontinued);
(7) OPMNotice
of Rating, Notice of Results, approval of super-grade positions, etc. A Notice
of Rating may be recorded on Form SF-171 or Form OF-612 submitted in connection
with an OPM examination. Examination and/or answer sheets are not filed in the
OPF (OPM Form 4008.C (Discontinued));
(8) Security Clearance;
(9) Form SF-3102, Designation of Beneficiary (Federal
Employees Retirement System (FERS));
(10) Form SF-2822, Request for Insurance (Federal
Employees Group Life Insurance (FEGLI) Program);
(11) Form SF-2823, Designation of Beneficiary (FEGLI);
(12) Request for Outside Hire Approval memorandum (if
any, file behind Form SF-50, Prompt Notification
of Personnel Action (Appointment));
(13) Form DS-1507, Notification of Security Clearance
Eligibility; also clearances for 180 days and those for nonsensitive positions
(Form OF-10 (Discontinued));
(14) Seasonal Employment Statement of Understanding and
Agreement;
(15) Form SF-2817, Life Insurance Election;
(16) Pre-Appointment Certification Statement for
Selective Service Registration;
(17) Form SF-61, Appointment Affidavits;
(18) Form OF-306, Declaration for Federal Employment;
(19) Form SF-2809, Health Benefits Election Form
(Federal Employees Health Benefits Program (FEHB));
(20) Form SF-2810, Notice of Change in Health Benefits
Enrollment;
(21) Federal Pay
Raise Notification (ADP printout);
(22) Form SF-182,
Request, Authorization, Agreement and Certification of Training (as of 9/1998
no longer filed in OPF maintained by training vendor and employee);
(23) Continued
Service Agreement;
(24) Mustang
Agreement;
(25) Form DS-755,
Request for Training (as of 9/1998 no longer filed in OPF);
(26) OPM Form
1528, Notification of Earnings for Medicare Eligibility (Discontinued);
(27) Form SF-2815,
Employee Service Statement (Discontinued);
(28) Form SF-2821,
Agency Certification of Insurance Status (FEGLI);
(29) Form OPM-1514,
Military Deposit Worksheet;
(30) TSP-1, Thrift
Savings Plan Election Form;
(31) OPM Form
1555, FERS (Discontinued);
(32) Form SF-1150,
Record of Leave Data (employee departing from agency);
(33) Form SF-1153,
Claim for Unpaid Compensation of Deceased Civilian Employee (filed behind NOA
350 Form SF-50);
(34) Supervisory/managerial
probation; and
(35) Certification
of Hours Worked (if any, behind Form SF-50 (appointment)).
3 FAH-1 H-2356.2 Left (Temporary)
Side of the Official Personnel Folder (OPF)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Civil Service Employees)
The following documents are filed on the left (temporary)
side of the Civil Service official personnel folder (OPF):
(1) Form DS-1031-A, Biographic Data Sheet (U.S.
Department of State);
(2) Form SF-52, Request for Personnel Action (without
supporting documents);
(3) Form OF-8, Position Description (PD) (two most
recent PDs);
(4) Department of State Conditions of Employment;
(5) Department of StateStatus
of Federal Employees Group Life Insurance (FEGLI) and Federal Employees
Health Benefits Program (FEHB);
(6) Reprimand or Warning letter(s);
(7) Form OPM-1495, Financial Eligibility Statement for
Student and Summer Aid Programs (Discontinued);
(8) Offer of Employment;
(9) Conflict-of-Interest Statement (Memorandum from
Office of the Legal Adviser (L));
(10) Form SF-1152, Designation of Beneficiary (Unpaid
Compensation of Deceased Civilian Employee);
(11) Travel Agreement for New Employee;
(12) TMFOURTravel
Message;
(13) Retirement Agreement;
(14) Foreign Service Residence and Dependency;
(15) Unemployment Insurance Benefits;
(16) Service Computation Date Adjustment (worksheet);
(17) Form I-9, Employment Eligibility Verification
(Department of Homeland Security, U.S. Citizenship and Immigration Service);
(18) Student Loan Repayment Agreement;
(19) Form SF-3108, Application to Make Service Credit
Payment (for Civil Service Federal Employees Retirement System);
(20) Review of Expert/Consultant Worksheet/Approval
Memo;
(21) Justification Checklist and Approval Form;
(22) PAC Memo and Agreement; and
(23) Certification of Temporary Need.
3 FAH-1 H-2356.3 Right (Permanent)
Side of the Employee Performance Folder (EPF)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Civil Service Employees)
The following documents are filed on the right (permanent)
side of the Civil Service employee performance folder (EPF):
(1) Form DS-1966, Employee Performance Plan, Progress
Review and Appraisal Report (General Schedule, Senior Level and Prevailing Rate
Employees);
(2) Form DS-1816, Merit Pay Employee Performance
Appraisal (Discontinued);
(3) Form DS-1786-C, Upward Mobility Progress
Evaluation Report (Discontinued);
(4) Form DS-1765, Guidelines for Issuing a Performance
Improvement Plan (Civil Service Employee);
(5) Documentation submitted by the employee to clarify
or refute statements in the Performance Appraisal Report; and
(6) Inspectors Evaluation Reports.
3 FAH-1 H-2356.4 Left (Temporary)
Side of the Employee Performance Folder (EPF)
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Civil Service Employees)
The following documents are filed on the left (temporary)
side of the Civil Service employee performance folder (EPF):
(1) Documentation and justification for performance
and honor awards (e.g., quality step increases (QSIs), cash awards based on
performance);
(2) Form DS-1764, Evaluation of Probationary Employee;
(3) Form DS-1798, Certification of Completion of
Probationary Period for Supervisors and Managers, and supporting documentation;
(4) Letters of commendation or achievement which are
performance basedmay be from the
Department of State or other Federal Government officials, Members of Congress,
private citizens, etc.; and
(5) Written recommendations for training.
3 FAH-1 H-2357 EXPERTS AND CONSULTANTS
3 FAH-1 H-2357.1 Right (Permanent)
Side
(CT:POH-206; 06-29-2018)
(State Only)
(Applies to Experts and Consultants)
The following documents are filed on the right (permanent)
side of the experts and consultants official personnel folder (OPF):
(1) Prior Federal civilian service or transcript(s)
thereof;
(2) Form SF-171, Application for Federal Employment;
Form OF-612, Instructions for Optional Application for Federal Employment; or
resum;
(3) Form SF-86, Questionnaire for National Security
Positions (not filed if revisions date after 8/1964);
(4) Official justification showing need for and
qualifications of consultants/experts (file behind Form SF-50, Prompt Notification of Personnel Action
(appointment));
(5) Memo containing necessary approval for
appointment;
(6) Form JF-1, Conflict of Interest Statement
(Discontinued);
(7) Form DS-1507, Notification of Security Clearance
Eligibility;
(8) Consultant Certificate;
(9) Form SF-61, Appointment Affidavits;
(10) Form SF-50, Prompt Notification
of Personnel Action; and
(11) Federal pay raise notification (ADP printout).
3 FAH-1 H-2357.2 Left (Temporary)
Side
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Experts and Consultants)
The following documents are filed on the left (temporary)
side of the experts and consultants official personnel folder (OPF):
(1) Form DS-1031-A, Biographic Data Sheet (U.S.
Department of State);
(2) Form SF-52, Request for Personnel Action (without
supporting documents); and
(3) Form SF-1152, Designation of Beneficiary (Unpaid
Compensation of Deceased Civilian Employee).
3 FAH-1 H-2358 FOREIGN SERVICE
EMPLOYEES
3 FAH-1 H-2358.1 Right (Permanent)
Side of the Official Personnel Folder (OPF) (Administrative)
(CT:POH-206; 06-29-2018)
(State Only)
(Applies to Foreign Service Employees)
The following documents are filed on the right (permanent)
side of the Foreign Service official personnel folder (OPF) (administrative):
(1) Prior Federal civilian service or transcript(s)
thereof;
(2) Form SF-75, Request for Preliminary Employment
Data;
(3) Form SF-171, Application for Federal Employment;
Form OF-612, Instructions for Optional Application for Federal Employment; or
resum;
(4) Form SF-144, Statement of Prior Federal Service
(civilian and military);
(5) Form DD-214, Report of Separation from the Armed
Forces of the United States; also Veterans Preference Claims;
(6) Form DSP-80, Statement Regarding Actions on Behalf
of Foreign Principals (Discontinued);
(7) OPMNotice
of Ratings, Notice of Results, approval of super-grade positions, etc. A
Notice of Rating may be recorded on Form SF-171 or Form OF-612 submitted in
connection with Office of Personnel Management (OPM) examination (examinations
and answer sheets are not filed in the OPF);
(8) Form DS-1507, Notification of Security Clearance
Eligibility; also clearances for 180 days, and those for nonsensitive positions
(Form OF-10) (Discontinued);
(9) Form SF-3102, Designation of Beneficiary (Federal
Employees Retirement System (FERS));
(10) Form SF-2823, Designation of Beneficiary (Federal
Employees Group Life Insurance (FEGLI));
(11) Request for Outside Hire Approval Memorandum (if
any, behind Form SF-50, Prompt Notification
of Personnel Action (appointment)); Foreign Service Assignments and Policy
Commitments;
(12) Statement of Understanding of Terms of Employment;
(13) TMFOURTravel
Message;
(14) Ambassadors Letter of Resignation;
(15) Seasonal Employment Statement of Understanding and
Agreement;
(16) Form SF-2817, Life Insurance Election (FEGLI);
(17) Pre-Appointment Certification Statement for
Selective Service Registration;
(18) Form SF-61, Appointment Affidavits;
(19) Form OF-306, Declaration for Federal Employment;
(20) Form SF-2809, Health Benefits Election Form
(Federal Employees Health Benefits Program (FEHB));
(21) Form SF-2810, Notice of Change in Health Benefits
Enrollment (FEHB);
(22) Form SF-50;
(23) Federal Pay Raise Notification (ADP printout);
(24) Form SF-182, Request, Authorization, Agreement and
Certification of Training (as of 9/1998 no longer filed in OPF);
(25) DS-755, Request for Training (as of 9/1998 no
longer filed in OPF);
(26) OPM Form 1528, Notification of Earnings for
Medicare Eligibility (Discontinued);
(27) Form SF-2815, Employee Service Statement
(Discontinued);
(28) Form SF-2821, Agency Certification of Insurance
Status (FEGLI);
(29) Form SF-2822, Request for Insurance (FEGLI);
(30) Form OPM-1514, Military Deposit Work Sheet;
(31) Waiver of Salary Payment;
(32) Form TSP-1, Thrift Savings Plan Election Form;
(33) OPM Form 1555, FERS (Discontinued);
(34) Form SF-1150, Record of Leave Data;
(35) Form SF-1153, Claim for Unpaid Compensation of
Deceased Civilian Employee filed (behind NOA 350 Form SF-50);
(36) Federal Retirement Reconsideration Form (Decision
to Maintain Current Retirement Coverage);
(37) Senior Foreign Service Election; and
(38) Certification of Requisite Experience.
3 FAH-1 H-2358.2 Left (Temporary)
Side of the Official Personnel Folder (OPF) (Administrative)
(CT:POH-180; 05-02-2016)
(State Only)
(Applies to Foreign Service Employees)
The following documents are filed on the left (temporary)
side of the Foreign Service official personnel folder (OPF) (administrative):
(1) Form DS-1031-A, Biographic Data Sheet (U.S.
Department of State);
(2) Form SF-52, Request for Personnel Action (without
supporting documents);
(3) Form OF-8, Position Description;
(4) Department Conditions of Employment;
(5) Department of StateStatus
of Federal Employees Group Life Insurance (FEGLI) and Federal Employees
Health Benefits Program (FEHB);
(6) Form OPF-1495, Financial Eligibility Statement for
Student and Summer Aid Programs (Discontinued);
(7) Offer of Employment;
(8) Conflict of Interest Statement (Memorandum from
the Office of the Legal Adviser (L));
(9) Form SF-1152, Designation of Beneficiary (Unpaid
Compensation of Deceased Civilian Employee);
(10) Travel Agreement for New Employee;
(11) TM2, TM3 or TM8―Travel Message;
(12) Retirement Agreement;
(13) Foreign Service Residence and Dependency Report;
(14) Unemployment Insurance Benefits;
(15) Service Computation Date Adjustment;
(16) Form I-9, Employment Eligibility Verification
(Department of Homeland Security, U.S. Citizenship and Immigration Service);
(17) Student Loan Repayment Agreement;
(18) Form SF-2803, Application to Make Deposit or
Redeposit;
(19) Notification of Death/Travel;
(20) Confirmation of Approval of Extension of
Secondment Letter;
(21) Interim Civil Service Retirement Election Letter;
(22) Form SF-2821, Agency Certification Statement of
Insurance Status (Federal Employees Retirement System (FERS));
(23) Foreign Service Assignments and Policy
Commitments;
(24) Agreement to Join the Foreign Service;
(25) Continued Service Agreement; and
(26) Mustang Agreement.
3 FAH-1 H-2358.3 Right Side of the
Performance Folder
(CT:POH-200; 11-08-2017)
(State Only)
(Applies to Foreign Service Employees)
a. The form numbers cited in this section are those in
current use but other numbers may appear for equivalent forms in preceding or
subsequent years.
b. The following documents are filed on the right side
of the Foreign Service performance folder:
(1) Form DS-1829, U.S. Foreign Service Employee
Evaluation Report (Discontinued); Form DS-5055, U.S. Foreign Service Employee
Evaluation Report (for FS-01 and Senior Foreign Service tenured employees
only);
(2) Statements in lieu of regular performance;
(3) Employees rebuttal, if any, to performance
report;
(4) Reports on full-time training not covered by
regular performance reports, e.g., long-term language or university training,
War College or other military institution assignments, senior or special
research seminars, etc. (these may be submitted on Form DS-1106, Training
Evaluation Report (Discontinued), by memorandum or in letter form);
(5) Official Military Performance Appraisals
(documenting a period of uniformed service during Foreign Service appointment),
including the employees personal statement;
(6) Special training evaluation reports on such
functions as consular, communications and records, consulting operations, etc;
(7) Memoranda or statements authorizing the removal of
specific right-side documents and filed in lieu thereof;
(8) Form DS-1822, Detail Evaluators Report;
(9) Form DS-1791, Supplementary Performance Report
Form; (Discontinued);
(10) Memoranda of Performance prepared in lieu of Form
DS-1829 (Discontinued); and
(11) Report of Trainingfour
(4) weeks or more.
3 FAH-1 H-2358.4 Left Side of the
Performance Folder
(CT:POH-126; 03-23-2007)
(State Only)
(Applies to Foreign Service Employees)
a. The form numbers cited in this section are those in
current use but other numbers may appear for equivalent forms in preceding or
subsequent years.
b. The following documents are filed on the left side
of the Foreign Service performance folder:
(1) Approved nominations for honor awards, MSIs,
quality step increases (QSIs), and cash awards for employee suggestions
adopted;
(2) Official commendations from State personnel, other
Federal agencies, Members of Congress, White House, international
organizations, etc.;
(3) Approved military award nominations (for a period
of uniformed service during Foreign Service appointment);
(4) Official reprimands and warnings, (excluding
security violation report forms and letters of charges);
(5) Memoranda or letters to employee commending or
criticizing the employees ratings on subordinates or for delinquent reports;
(6) Training and/or certificates relating to
short-term, on-the-job or extracurricular training, including orientation
courses, which are not covered by evaluation reports filed on right side of
folder;
(7) Form DS-755, Request for Training (as of 9/1998 no
longer filed in official personnel folder (OPF));
(8) Other documents specifically requested by employee
and approved by the Office of Performance Evaluation, Bureau of Human Resources
(HR/PE), for inclusion, including performance evaluations from other personnel
systems pursuant to 3 FAH-1
H-2812.2-2;
(9) All official commendations; and
(10) Form DS-1354, Language Proficiency Report (as of
1/2003 no longer filed in folder).
3 FAH-1 H-2359 ELIGIBLE FAMILY MEMBER
(EFM)
3 FAH-1 H-2359.1 Right (Permanent)
Side of the Eligible Family Member (EFM) Official Personnel Folder (OPF)
(Administrative)
(CT:POH-206; 06-29-2018)
(State Only)
(Applies to EFM Employees)
The following documents are filed on the right side of the
eligible family member (EFM) official personnel folder (OPF):
(1) Prior Federal civilian service or transcripts
thereof;
(2) Form SF-171, Application for Federal Employment;
Form OF-612, Instructions for Optional Application for Federal Employment, or
resum;
(3) Form SF-144, Statement of Prior Federal Service
(civilian and military);
(4) Form DS-1507, Notification of Security Clearance
Eligibility;
(5) Form SF-61, Appointment Affidavits;
(6) Telegraphic Request for Personnel Action;
(7) Form SF-50, Prompt Notification
of Personnel Action;
(8) Federal pay raise notification (ADP printout);
(9) Form SF-1150, Record of Leave Data (employee
departing from agency); and
(10) Pre-Appointment Certification Statement for
Selective Service Registration.
3 FAH-1 H-2359.2 Left (Temporary)
Side of the Eligible Family Member (EFM) Official Personnel Folder (OPF)
(Administrative)
(CT:POH-200; 11-08-2017)
(State Only)
(Applies to EFM Employees)
The following documents filed on the left side of the
eligible family member (EFM) official personnel folder (OPF):
(1) Performance documents (filed under cover sheet);
(2) Form JF-57, Foreign Affairs Agencies Performance
Appraisal Report for Overseas Temporary Resident and American Family Member
Employees (Discontinued);
(3) Form DS-755, Request for Training, and/or
certificates relating to on-the-job or extracurricular training (as of 9/1998
no longer filed in OPF);
(4) Official reprimands and warnings (excluding
security violation report forms and letters of charges);
(5) Memoranda or letters to employees commending work
performance;
(6) Official commendations from State personnel, other
Federal Agencies, etc.;
(7) Other documents specifically requested by employee
and approved by the hiring bureau;
(8) Form SF-1152, Designation of Beneficiary (Unpaid
Compensation of Deceased Civilian Employee);
(9) Form I-9, Employment Eligibility Verification
(Department of Homeland Security, U.S. Citizenship and Immigration Service);
(10) Statement of Understanding (Temporary
Appointment); and
(11) Voluntary Separation Incentive Payment Statement.