HomeMy WebLinkAboutAgenda 8-e - 2018 Amendment to Orange County Records Retention and Disposition Schedule, Standard 11 Personnel Records, Item 25 - Employee Performance Review File
ORANGE COUNTY
BOARD OF COMMISSIONERS
ACTION AGENDA ITEM ABSTRACT
Meeting Date: June 5, 2018
Action Agenda
Item No. 8-e
SUBJECT: 2018 Amendment to Orange County Records Retention and Disposition
Schedule, Standard 11: Personnel Records, Item 25: Employee Performance
Review File
DEPARTMENT: Human Resources
ATTACHMENT(S):
Email from Mark Holland, Supervisor,
Records Analysis Unit, NC Department
of Natural and Cultural Resources
(NCDNCR)
Current Standard 11, Personnel Records,
Item 25
Proposed Standard 11, Personnel
Records Item 25
INFORMATION CONTACT:
Brenda Bartholomew, Human Resources
Director, 919-245-2552
PURPOSE: To approve an amendment to the Personnel Records Retention and Disposition
Schedule dated April 15, 2013, and approved by the Board of County Commissioners on
December 15, 2015, amending the County Management Records Retention and Disposition
Schedule, Item 25, Employee Performance Review File, Agency Policy, to reflect “Agency
Policy: Destroy in office after 3 years.”
BACKGROUND: Due to lack of storage for Human Resources Department records, the
Department is being asked to downsize records that are not permanent records and records
with historical and/or administrative value.
According to the NCDNCR, the performance review files for employees do not need to be kept
in paper form along with the main personnel file for its 30-year retention period, and a three-year
retention period is adequate. Keeping performance review files for three years rather than 30
years will reduce the size of employee personnel files tremendously and will reduce the amount
of space needed to retain the main personnel file for its 30-year retention period. Although not
retained in paper form, the performance review files will continue to be kept electronically.
FINANCIAL IMPACT: There is no financial impact associated with this item.
SOCIAL JUSTICE IMPACT: There is no Orange County Social Justice Goal impact associated
with this item.
RECOMMENDATION(S): The Manager recommends that the Board approve an amendment to
the Personnel Records Retention and Disposition Schedule dated April 15, 2013, and approved
by the Board of County Commissioners on December 15, 2015, amending the County
Management Records Retention and Disposition Schedule, Item 25, Employee Performance
Review File, Agency Policy, to reflect “Agency Policy: Destroy in office after 3 years.”
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Donna Lloyd
From:
Sent:
To:
Subject:
Donna,
Holland, Mark <mark.holland@ncdcr.gov>
Friday, February 23, 2018 4:52 PM
Donna Lloyd
RE : [External] Personnel Records
You may speak to myself or any one of my staff for any assistance you may need.
The records you described can be retained electronically as long as the printed copies are not changed in any way
(signed, etc.) The three year retention is adequate and these do not need to be kept with the main personnel file for its
30 year retention period.
Let me know if you need any additional assistance.
Thanks and have a great weekend!
-Mark
Mark Holland
Supervisor, Records Analysis Unit
NC Dept. of Natural and Cultural Resources
(919) 807-7358
mark.holl and@ncdcr.gov
215 N Blount St I 4615 Mail Service Center I Raleigh, NC 27699
Email correspondence to and from this address is subject to the
North Carolina Public Records Law and may be disclosed to third patties.
Facebook Twitter lnstagram YouTube
From: Donna Lloyd [mailto:dolloyd@orangecountync.gov]
Sent: Friday, February 23, 2018 7:55AM
To: Holland, Mark <mark .holland@ncdcr.gov>
Subject: [External] Personnel Records
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Good morning Mark,
I heard that Kurt Brenneman is not with your office now. He was my "go to" person when I needed assistance . Is this
true? I know I have turned to you at times as well .
I have a question about personnel records. I am now a Human Resources Specialist in the Orange County Government
Human Resources Department. I wanted to get clarification on the Work Performance and Plan Review records we
process and retain for the County employees .
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Based on the retention schedule, it states:
ITEM# STANDARD-11: PERSONNEL RECORDS RECORD SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 25.
EMPLOYEE PERFORMANCE REVIEW FILE Information used to establish employees' goals and primary tasks . Records
used to eva luate each employee's work performance. See also PERSONNEL RECORDS {OFFICIAL COPY} item 45, page
83. a) Destroy in office supervisor approved and signed work plans after 3 years. b) Destroy in office remaining
records when administrative value ends.t Agency Policy: Destroy in office after ____ _
At this time, we are printing off copies ofthe document and putting it in the personnel file, but we also retain the
document electronically in two locations. My question is, do we have to retain a paper copy if we have them
electronically? Is this document a "permanent record" or can it be destroyed in "3 years" after the date of the finalizing
of the work plan?
I greatly appreciate your assistance, and I look forward to hearing from you soon.
Have a great day!
Donna Lloyd
DonnaS. Lloyd
Human Resources Specialist
Orange County Human Resources Department
200 S. Cameron St.
Hillsborough, NC 27278
919-245-2556
dolloyd@orangecountync.gov
ORANGE COUNTY
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Orange County Government and as such are considered p ublic domain a nd are su bject to the No rth Caro li na Public Records
Law. Certain confidential informatio n may be tra nsmitted a nd any unauthorized review, use , disclosu re or distribution is prohibited. If you
are not the in tended recipient. please contact the sender b y re p ly email and destroy all copies of the origina l message.
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CI
2015 COUNTY MANAGEMENT RECORDS RETENTION AND DISPOSITION SCHEDULE - CURRENT
ITEM #
STANDARD -11: PERSONNEL RECORDS
RECORD SERIES TITLE
DISPOSITION INSTRUCTIONS
CITATION
25.
EMPLOYEE PERFORMANCE REVIEW FILE
a) Destroy in office supervisor approved and signed work
Information used to establish employees' goals and
plans after 3 years.
primary tasks. Records used to evaluate each
employee's work performance.
b) Destroy in office remaining records when administrative
value ends.'
See also PERSONNEL RECORDS (OFFICIAL COPY) item
Agency Policy: Destroy in office after 30 years after date of
45, page 83.
separation.
26.
EMPLOYEE POLYGRAPH RECORDS
Destroy in office 3 years from the date the test was given, or
29 CFR 801.30
Includes statements informing employee of the time,
from the date the test was requested if no examination was
place, and reasons for the test; copy of notice sent to
given.
examiner identifying employee to be tested; and
copies of opinions, reports, or similar records
generated by the examiner and provided to the
agency.
27.
EMPLOYEE SUGGESTIONS
Destroy in office when administrative value ends.'
Includes employee surveys and survey responses.
Agency Policy: Destroy in office after 3 years
28.
EMPLOYEE TRAINING AND EDUCATIONAL RECORDS
a) Transfer employee- specific records as applicable to
29 CFR 1627.3(b)(1)(iv)
Includes employee- specific records (certificates,
PERSONNEL RECORDS (OFFICIAL COPY) item 45, page 83 if
transcripts, test scores, etc.) and non - employee-
such training and testing is required for the position held
specific records (training manuals and aids, syllabi,
or could affect career advancement.
course outlines, attendance rosters, etc.) relating to
the training, testing, or continuing education of
b) Destroy in office non - employee- specific records 1 year
employees.
from date record was created.
c) Destroy in office remaining records when administrative
value ends.t
Agency Policy: Destroy in office after 3 years
*See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTIONS page vi.
T See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that
Cultural Resources has scheduled with the disposition instruction "destroy when administrative value ends." Please use the space provided.
5
2015 COUNTY MANAGEMENT RECORDS RETENTION AND DISPOSITION SCHEDULE - PROPOSED
*See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTIONS, page vi.
T See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that
Cultural Resources has scheduled with the disposition instruction "destroy when administrative value ends." Please use the space provided.
VIR
STANDARD -11: PERSONNEL RECORDS
ITEM #
RECORD SERIES TITLE
DISPOSITION INSTRUCTIONS
CITATION
25.
EMPLOYEE PERFORMANCE REVIEW FILE
a) .Destroy in office supervisor approved and signed work
Information used to establish employees' goals and
plans after 3 years.
primary tasks. Records used to evaluate each
employee's work performance.
b) Destroy in office remaining records when administrative
value ends.'
See also PERSONNEL RECORDS (OFFICIAL COPY) item
Agency Policy: Destroy in office after 3 years after date of
45, page 83.
separation.
26.
EMPLOYEE POLYGRAPH RECORDS
Destroy in office 3 years from the date the test was given, or
29 CFR 801.30
Includes statements informing employee of the time,
from the date the test was requested if no examination was
place, and reasons for the test; copy of notice sent to
given.
examiner identifying employee to be tested; and
copies of opinions, reports, or similar records
generated by the examiner and provided to the
agency.
27.
EMPLOYEE SUGGESTIONS
Destroy in office when administrative value ends.'
Includes employee surveys and survey responses.
Agency Policy: Destroy in office after 3 years
28.
EMPLOYEE TRAINING AND EDUCATIONAL RECORDS
a) Transfer employee- specific records as applicable to
29 CFR 1627.3(b)(1)(iv)
Includes employee- specific records (certificates,
PERSONNEL RECORDS (OFFICIAL COPY) item 45, page 83 if
transcripts, test scores, etc.) and non - employee-
such training and testing is required for the position held
specific records (training manuals and aids, syllabi,
or could affect career advancement.
course outlines, attendance rosters, etc.) relating to
the training, testing, or continuing education of
b) Destroy in office non - employee- specific records 1 year
employees.
from date record was created.
c) Destroy in office remaining records when administrative
value ends.'
Agency Policy: Destroy in office after 3 years
*See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTIONS, page vi.
T See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that
Cultural Resources has scheduled with the disposition instruction "destroy when administrative value ends." Please use the space provided.
VIR