To provide clarity and direction to supervisors in the effective management of employee records relative to performance and conduct in order to support consistent, fair and appropriate practices across the Division.
Record for the purpose of working files means information in any form.
Working file is a file held by the employee’s supervisor relative to the employee’s performance, competence, conduct, or matters that have not yet been resolved. Significant records and those records referred to in the Division Records Classification Scheme and Retention Schedule may also be held in the working file. The working file is the property of the Division, and may exist in paper and digital formats. The working file is separate from the employee file. The working file must not include:
Employee file is the permanent master record of an employee that is maintained centrally by Human Resources (i.e., PinPoint). As the official record, this file retains administrative (e.g., resumes, transcripts, payroll and benefits information, evaluations, contract information, etc.) and significant records (e.g., disciplinary action) relative to an employee’s employment with the Division.
D. U. administrator is the administrative supervisor of a decision unit.
Direct supervisor means the supervisor of an employee if the employee does not report directly to the D. U. administrator. Supervisors may include line supervisors who assist in fulfilling day-to-day supervision needs by providing direction and monitoring employees in such areas as work quality, production and attendance.
Letter of Expectation is a non-disciplinary letter that is retained in the working file. The intent of the letter is to communicate expected performance or conduct to an employee in a supportive manner. The letter describes the concern, identifies prior attempts to address the concern, states expectations for required improvement and notes how progress will be monitored.
(see Section 197(j))