4/5/20131 What is acceptable documentation for a Supervisor to keep?

14/5/2013

Supervisor’s Working FilesWhat is acceptable documentation for a Supervisor to keep?

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The Importance of Supervisor Files• To track work in progress, conduct, and

performance related information.• For emergency contact information on the

employee.• As a reference for the current position description

and expectation of duties.• To use as a reference for updating and composing

performance appraisals.

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What is generally kept in the “Official Personnel File”?• First successful (initial application) • Application for current position • Personnel actions (PA) • Performance evaluations • Summary of record of training • Oaths of Office • Letters and notice of disciplinary action • Notices of layoff • Documentation of resignation • Emergency notification form • Letters of commendation and recommendation • Employee agreements (such as appointment letters, job rotation

agreements, developmental assignments) • Employee’s written explanation or response regarding critical

information contained in the file that the employee believes to be incorrect or a misrepresentation of facts

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What is NOT generally kept in the “Official Personnel File”?

• Equal Employment Opportunity (EEO) Self Identification Form• Employment Eligibility Form I-9• Employment Verification Inquiries (mortgages, car loans,

etc.)• Worker’s Compensation claim information• Grievance information• Investigatory information• Position history including the position description• Recruitment information• Medical records, as prescribed by the Americans with Disability Act

This includes information reflecting critically upon an employee (unless the employee is notified).

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Employee's Official Personnel File Retained for a minimum of three (3) years or may be retained so long as they remain valid and relevant to the employees work:

• Letters of commendation• Licenses• Certificates• College course credits or any other material which reflects credibly on the employee

Shall be removed three (3) years after the effective date of the action provided no incident of a similar nature has been documented in the intervening time:

• Disciplinary actions4/5/2013

Retention Schedule of Information

Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and AFSCME Local 3932 for 2011-2013

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Employee's Official Personnel File Retained for a minimum of three (3) years or may be retained so long as they remain valid and relevant to the employees work:

• Letters of commendation• Licenses• Certificates• College course credits or any other material

which reflects credibly on the employee When the material is purged, it shall be returned to the

employee.

Shall be removed twenty-four (24) months provided no recurrence of the problem or a related problem in that time and given to the employee:

• Material reflecting caution• Consultation• Warnings• Admonishment

Earlier removal will be permitted when requested by the employee and if approved by the Appointing Authority. 4/5/2013

Retention Schedule of Information

Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and AFSCME (Office of Emergency Management) for 2011-2013

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Employee's Official Personnel File

Upon request of the employee, the following shall be removed from their personnel file after three (3) years:

• Disciplinary Actions

So long as no warnings or discipline occur within that time period.

No information reflecting critically shall exist in the employees file that does not have their signature on it.

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Retention Schedule of Information

Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and the International Association of Firefighters for the Portland Air National Guard Firefighters

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Employee's Official Personnel File

Because the IAFF Local 3340 Klamath Falls Airport Firefighters Association Inc. contract does not address this area, we default to the AGP Policy 99.100.05 for guidelines.

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Retention Schedule of Information

Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and the International Association of Firefighters Local 3340 Klamath Falls Airport Firefighters Association Inc.

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Employee's Official Personnel File Retained for three (3) years:

• Documentation of resignation• Personnel Actions for salary changes• Letters of commendation and recommendation• Letters of reprimand• Notices of disciplinary action• Notices of layoff• Performance Evaluations

Retained for ten (10) years:

• Oaths of office• Emergency notification forms

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Retention Schedule of Information

DAS Statewide Policy 10.011.01

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Layout of the Employee's Official Personnel File

AGP Agency Policy 99.100.05

Section 1 (Left Outer Tab): Current Emergency Information

Form Screen prints from PPDB of F1

(address and telephone info) Documentation that was used to

make changes to F1 screens in PPDB

Section 2 (Opposite Left Outer Tab): Personnel Action Forms DAS

Turnarounds Form (PD124-2) NEWEST ON TOP

Section 3 (Left Inner Tab): Current Position Description Work out of Class documents Lead work documents

Section 4 (Right Inner Tab): Performance Appraisals and any

enclosures or rebuttals (three most recent current on top)

Section 5 (Left Tab Opposite Right Outer Tab): Training Certificates Pertinent correspondence not filed

elsewhere Most recent certificate of service Checklist received from employee

documenting compliance with directive of review policies

Letters of reprimand

Section 6 (Right Outer Tab): Position Appointment Information Sheet Welcome letters Current Application Announcement of current position if

“competitively” received Initial Application received for State

government service

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NOTE ABOUT THE INFORMATION KEPT IN THE SUPERVISOR’S FILE:

The supervisor's working file is a confidential file that is typically kept in a secure area near the employee's immediate supervisor. It should be stored in a locked area when not in use. The contents of a working file should be discarded once the information is no longer necessary or has reached an exhaustion date per retention schedules.

Keep in mind, even though this is a confidential file, it is discoverable!

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Primary Information:

• Copy of Emergency Contact Form

• Copy of Performance Appraisals, enclosures, responses, or rebuttals

• Copy of Position Description, Organizational Chart, and documented assignments

• Notes of conversations/counseling (Should include date written and facts only)

• Leave balances and FMLA/OFLA tracking sheets

• Copies of final timesheets

Secondary Information:

• Copy of Position Appointment letter, Application for current position, and resume

• Copy of Personnel Actions/Requests, Work out of Class Forms, or Lead work Information

• Copy of Notice of Layoff or Resignation• Letter of Expectation and Work

Improvement plan• Status reports and milestones of

employee• Letters of Commendation, reprimand,

suspension, demotion• Copy of correspondence that affects

upcoming performance appraisal• Complaints or concerns from the

employee• Copy of grievances and responses (with

backup documentation)• Training records, Code of Ethics &

Conduct• Copy of FMLA/OFLA letter, Worker’s

Comp letter, Work Restrictions Notification, Incident Report Form

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Acceptable Documentation to Keep in the Supervisor’s File:

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Manager’s Working File Checklist Section 1

Copy of Emergency Information Form

Copy of Position Appointment Letter

Copy of Application for current position

Resume

  Section 2Copy of Personnel Actions/Requests

Copy of Work out of Class documents

Copy of Leadwork documents

Copy of Notice of Layoff or Resignation

  Section 3 Copy of Performance Appraisals and any enclosures, responses, or rebuttals (three most recent – current on top)

Copy of Position Description & Organizational Chart

  Section 4 Supervisor’s notes of conversations/counseling

Letter of expectation and Work Improvement Plan

Status reports and milestones of employee

Copy of Letters of commendation, reprimand, suspension, demotion (for current position, applicable times, etc.)

Copy of correspondences that may affect upcoming performance appraisal (positive or negative)

Complaints or concerns from the employee

Copy of grievances and responses (with supporting documentation)

  Section 5 Copy of Checklist received from employee documenting compliance with directive of review policies

Copy of required licenses for the current position

Training List/Record

Training Checklist

Employee Assigned Property Tracking Form

  Section 6 Leave balances

FMLA/OFLA tracking sheets

Copy of FMLA/OFLA Letter, Worker’s Compensation Letter, Work Restrictions Notification, Incident Report Form

Copy of Final Timesheets (at least last 12 months)4/5/2013 SAMP

LE

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Layout of the Supervisor’s Working File

Section 1 (Left Outer Tab): Copy of Emergency Information Form Copy of Position Appointment Letter Copy of Application for current position Resume

Section 2 (Opposite Left Outer Tab): Copy of Personnel Actions/Requests Copy of Work out of Class documents Copy of Lead work documents Copy of Notice of Layoff or Resignation

Section 3 (Left Inner Tab): Copy of Performance Appraisals and any

enclosures, responses, or rebuttals (three most recent – current on top)

Copy of Position Description & Organizational Chart

Section 4 (Right Inner Tab): Supervisor’s notes of conversations/counseling Letter of expectation and Work Improvement

Plan Status reports and milestones of employee Copy of Letters of commendation, reprimand,

suspension, demotion (for current position, applicable times, etc.)

Copy of correspondences that may affect upcoming performance appraisal (positive or negative)

Complaints or concerns from the employee Copy of grievances and responses (with

supporting documentation)

Section 5 (Left Tab Opposite Right Outer Tab): Copy of Checklist received from employee

documenting compliance with directive of review policies

Copy of required licenses for the current position

Training List/Record Training Checklist Employee Assigned Property Tracking Form

Section 6 (Right Outer Tab): Leave balances FMLA/OFLA tracking sheets Copy of FMLA/OFLA Letter, Worker’s

Compensation Letter, Work Restrictions Notification, Incident Report Form

Copy of Final Timesheets (at least last 12 months)

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SAMP

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Equal Employment Opportunity (EEO) Self Identification Forms

Employment Eligibility Verification Forms (I-9)Employment Verification Inquiries

Worker’s Compensation Claim InformationGrievance & Investigatory Information

Position History Recruitment InformationFMLA/OFLA Information

Medical Records and related Information

Files that are maintained separately in AGP- AND -

not allowed to be in the Supervisor’s Files

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REMIND

ER:

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Closing Note:AGP may occasionally ask you to remove specific information from your Supervisor’s Working file for a variety of reasons. Always keep in mind, we are here as a resource for you. We encourage you to ask questions.

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References• AFSCME 3932 Contract 2011-2013,

http://cms.oregon.egov.com/DAS/CHRO/docs/lr/11_13_omd_final.pdf

• AFSCME OEM Contract 2011-2013, http://cms.oregon.egov.com/DAS/CHRO/docs/lr/11_13_oem_final.pdf

• AGP Policy 99.100.05, http://www.oregon.gov/OMD/AGP/docs/policies/99-100/99.100.05.pdf

• Chief Human Resources Office, http://www.oregon.gov/DAS/CHRO/pages/manual/human%20resources/human_resouce_records_2.aspx#Personnel_File

• DAS Employee Records Statewide Policy 10.011.01, http://www.oregon.gov/DAS/CHRO/docs/advice/p1001101.pdf

• Human Resources at Berkeley, http://hrweb.berkeley.edu/guides/personnel-files/supervisors-working

• Oregon Administrative Rule 166-300-0040, http://arcweb.sos.state.or.us/pages/rules/oars_100/oar_166/166_300.html

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