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USA Operations Centers Official Employee Drop File & Supervisor Drop File May 2017
As this policy is reviewed, please note the following States/Areas for which exceptions exist:
Not Applicable
Specific details on each section may be found within the General Information of this text.
There are certain forms and records that must be obtained and retained collectively to establish the Official Employee Drop File (OEDF). All active Drop Files are maintained at Corporate Headquarters in Atlanta, GA. The specific address is: Corporate HR Records, 1201 W. Peachtree Street NW, Suite 2304 Atlanta, GA 30309. Terminated employee Drop Files may be maintained at additional Field Locations. Other employment-related documents are maintained within the Supervisor Drop File or other specified locations.
Purpose of the Official Employee Drop File The Official Employee Drop File (OEDF) serves as the main component of the employee's personnel records. Besides the paper file maintained at Corporate Headquarters, the OESDF includes, but is not limited to training records and Manager Self Service (MSS). MSS (also known as eDrop File) pulls data such as job history, compensation history, skills inventory, and emergency contact information from PeopleSoft and provides different viewing levels to HR and management.
The Official Employee Drop File documents the following critical employment history from initial hire through final termination or retirement:
Hiring Documentation - includes documents that impacted hire/rehire decisions such as a copy of the applicant’s employment application from the Staffing System; authorizations or agreements signed by the employee; and documents outlining terms and conditions of employment such as job offer letters
Performance Documentation - includes specified completed performance evaluations (EPRs) and certain performance counseling memos
Retirement/Separation - includes notice of resignation/retirement and signed Agreement and General Release (Transition Plan documents)
Termination -> includes documentation for voluntary and involuntary terminations
Other employment history records may be generally considered part of an official personnel file, including compensation history. Refer to applicable employment policies and procedures for state-required notices (e.g. separation and hiring notices).
The following examples may be helpful in determining whether a document meets the guidelines for inclusion in the Drop File. HR should use the OEDF definition and the examples as guidelines in determining whether the document in questions should be included in the Official Employee Drop FiIe.
Note: This form is not for use in Michigan
Forms and Information That Establish Documentation of Employment See Documents That Make up the OEDF definition for a complete Official Employee Drop File content list.
Application
HR should store the application from the Staffing System that corresponds to the Job Opening for which the applicant was hired
Background Check Information This includes:
Background Check results initially deemed acceptable by HireRight and no subject to review will be retained electronically by HireRight.
Background checks subject to review are to be stored for filing in the electronic drop file, initialed and dated by the HR Recruiter along with the email from the HREC.
Note: HREC will return the background checks via e-mail to the HR Recruiter or other designated contacts. All background checks should be stored, along with the email from the HREC and filed by HR.
See Background Checks for Applicants for more information.
Licensing Agreement An individual hired into a position requiring licensing must sign a Licensing Agreement. This agreement ensures the employee understands their continued employment in the position is contingent upon obtaining and maintaining a license for the state in which they work. The signed agreement will be filed in the official employee drop file. See Licensing Agreement for more information.
College or High School Transcripts If the job requires the review of transcripts, they should be filed in the OEDF upon hire. If the transcripts were received electronically via the Staffing System, HR should store a copy for the Drop FIle.
Form I-9 and Evidence of Employability and Identity Documents The I9 form and supporting documents are filed electronically and maintained by vendor, HireRight.
Hiring Documentation - includes documents that impacted hire/rehire decisions such as a copy of the applicant’s employment application from the Staffing System; authorization/agreement documents signed by the employee; and documents outlining terms and conditions of employment such as job offer letters and employment agreements.
Job Offer Memos - If a job offer is sent via the Staffing System, a copy should be stored from either Outlook (HR will receive a copy of the final job offer for employee moves) or Contact Notes (Offer e-mails sent to New Hires are automatically captured in Contact Notes). If a paper job offer letter is used, HR should make a copy of the job offer letter & file within the Official Employee Drop File (OEDF). For any other job offer handled outside of the Staffing System, a copy should also be filed within the OEDF. Exception: Job offers related to transition activity should be retained according to IRP guidelines. If necessary, job offers may be retained from the Transition Tracking Tool (TTT) during the retention period.
Work Permit-(if applicable)
Waivers Federal law limits the ability of Joyner to employ any person convicted of a felony or misdemeanor involving dishonesty, breach of trust, or money laundering (including the manufacture, sale, distribution of or trafficking in controlled substances) or who has agreed to enter into a pretrial diversion or similar program in connection with the prosecution of such an offense without the prior written consent of the appropriate regulatory authorities. Written consent from the appropriate regulatory authorities should be maintained in the Official Employee Drop File. However, the consent should not be provided, if a part or all of the Drop FIle is requested for management review. Individuals moving from one job family to another (i.e. internal operations to external operations or vice versa ) might require an additional waiver. Also, since waivers are state specific, employees who transfer from one state to another may need to obtain a waiver from the state to which they are moving. See Criminal Convictions policy for more information.
Supervisor Drop File The Supervisor Drop File assists management in documenting an employee's in- progress job performance and development. The Performance Management policy offers guidance on the performance management process which includes setting expectations, providing timely feedback, supporting development, evaluating results, addressing problem areas and rewarding performance.
The Supervisor Drop File is kept and maintained by management and includes documents related to in-progress job performance and employment discussions, such as open door sessions, that do not require an investigation. These documents belong to the Supervisor Drop File retention category and should be retained according to the Information Retention Program guidelines.
Maintenance of Supervisor Drop Files Supervisors may currently retain Supervisor Drop Files on their employees in either paper, or electronic form. Regardless of the format used, the logistics for proper retention are the same. To simplify management of this documentation, a gradual shift to electronic Supervisor Drop Files is strongly encouraged.
Movement of Employees As employees change jobs and acquire different Supervisors, whether within the same department, or between different departments, the Supervisor Drop File travels with the employee.
Proper management of SDF documentation requires active oversight by management. Performance concerns that remain unresolved after one year should be reviewed with Human Resources, and subsequently monitored as deemed necessary. When and if additional disciplinary action is taken, all documentation pertaining to the situation should be elevated to the Official Employee Drop File, rather than continuing to be maintained in the Supervisor Drop File for its full retention period. Developmental material, such as Individual Development Plans or documentation of career planning discussions should be revised on an annual basis to ensure relevancy. Prior versions of these documents should be retained, and managed according to retention guidelines.
Termination of Employees When an employee terminates employment (whether voluntarily or involuntarily), the Supervisor Drop File should be retained in the last department in which the employee worked, and should be managed according to Information Retention Program guidelines until all material has been destroyed.
The process is the same whether the Supervisor Drop File is in paper or electronic format. Since electronic Supervisor Drop Files can be managed automatically by the retention capabilities in Outlook, supervisors should consider transitioning to electronic files, to eliminate the need for manual handling.
Employees who wish to review their Official Employee Drop File should refer to the Requests to Review Human Resources Information policy.
Managers should send documents to be filed in the Official Employee Drop File to HREC for uploading if they are not able to access the Drop File Portal to complete the upload.
Human Resources Role
Human Resources is responsible for securing all items applicable to each new employee.
Once all items noted under Forms and Information Used to Build an Official Employee Drop FIle have been obtained, Human Resources should create and file all items in the Official Employee Drop FIle.
Drop FIles are not available to be checked out from HR Records.
Requests for copies of an entire Drop FIle will be limited to documents associated with the most recent five years of employment, unless otherwise required by law. Requests for exceptions will be reviewed on a case-by-case basis.
Requests for Drop File documents, and documents to be filed in the Drop DIle should be sent to HREC.