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

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Presentation on theme: "4/5/20131 What is acceptable documentation for a Supervisor to keep?"— Presentation transcript:

1 4/5/20131 What is acceptable documentation for a Supervisor to keep?

2 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. 4/5/20132

3 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) Employees written explanation or response regarding critical information contained in the file that the employee believes to be incorrect or a misrepresentation of facts 4/5/20133

4 Equal Employment Opportunity (EEO) Self Identification Form Employment Eligibility Form I-9 Employment Verification Inquiries (mortgages, car loans, etc.) Workers 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). 4/5/20134

5 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 actions 4/5/20135 Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and AFSCME Local 3932 for

6 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. 4/5/20136 Collective Bargaining Agreement between DAS on behalf of The Oregon Military Department and AFSCME (Office of Emergency Management) for

7 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. 4/5/20137 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

8 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 for guidelines. 4/5/20138 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.

9 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 4/5/20139 DAS Statewide Policy

10 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 4/5/201310

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12 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, Workers Comp letter, Work Restrictions Notification, Incident Report Form 4/5/201312

13 Section 1 Copy of Emergency Information Form Copy of Position Appointment Letter Copy of Application for current position Resume Section 2 Copy 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 Supervisors 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, Workers Compensation Letter, Work Restrictions Notification, Incident Report Form Copy of Final Timesheets (at least last 12 months) 4/5/201313

14 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): Supervisors 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, Workers Compensation Letter, Work Restrictions Notification, Incident Report Form Copy of Final Timesheets (at least last 12 months) 4/5/201314

15 Equal Employment Opportunity (EEO) Self Identification Forms Employment Eligibility Verification Forms (I-9) Employment Verification Inquiries Workers Compensation Claim Information Grievance & Investigatory Information Position History Recruitment Information FMLA/OFLA Information Medical Records and related Information 4/5/201315

16 4/5/ AGP may occasionally ask you to remove specific information from your Supervisors 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.

17 AFSCME 3932 Contract , AFSCME OEM Contract , AGP Policy , Chief Human Resources Office, uman_resouce_records_2.aspx#Personnel_File uman_resouce_records_2.aspx#Personnel_File DAS Employee Records Statewide Policy , Human Resources at Berkeley, files/supervisors-workinghttp://hrweb.berkeley.edu/guides/personnel- files/supervisors-working Oregon Administrative Rule , ml ml 4/5/201317

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