Supervisor’s Working Files

1. Supervisor’s Working Files What is acceptable documentation for a Supervisor to keep?

2. 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.

3. 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

4. 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).

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

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. 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

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. 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

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 99.100.05 for guidelines. 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.

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 Retention Schedule of Information DAS Statewide Policy 10.011.01

10. Layout of the Employee's Official Personnel File AGP Agency Policy 99.100.05

11. 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!

12. Acceptable Documentation to Keep in the Supervisor’s File: 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 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

13. Manager’s Working File Checklist SAMPLE

14. Layout of the Supervisor’s Working File SAMPLE

15. REMINDER: Files that are maintained separately in AGP- AND -not allowed to be in the Supervisor’s Files Equal Employment Opportunity (EEO) Self Identification Forms Employment Eligibility Verification Forms (I-9) Employment Verification Inquiries Worker’s Compensation Claim Information Grievance & Investigatory Information Position History Recruitment Information FMLA/OFLA Information Medical Records and related Information

16. 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.

17. 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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