# Presentation: 869408

## Revised Procedures For Maintaining & Reviewing Employee Performance Files (EPF)

- December 2007
- Presented by: Dyron Gunter
- Performance and Work-Life Dynamics Office
- (301) 286-8052

**Notes:**
Employee Performance File (EPF) - A record system for storing each employee’s performance documents (performance plan, rating of record, etc.) in a separate file (blue folder) that must be maintained by the Rating Official. 

Includes performance related documents such as ratings of record, performance plans, IDP, Recommendations, Input or Feedback

No 50s, 52s, life or health insurance or medical documentation 

## Employee Performance Files (EPF) 

- Revised EPF Policy
- Revised procedures for maintaining & reviewing EPFs
- EPF Audit
- EPF Reviewer
- Rating Officials

**Notes:**
We have looked at past practices and decided to revise procedures for maintaining & reviewing EPFs.
Organizations have been ordering brown folders and maintaining separate duplicate OPF folders in house.
Don’t think organizations were aware of procedure to submit EPF’s to HR when employee’s resigned, retired, separated, transferred, etc.
Luckily, we’ve only had one case (EEO/MSPB) that had to use EPF’s.
Annually, a random audit of EPFs (EPF Audit) will be conducted by the Office of Human Capital Management (OHCM) EPF Reviewer. 
EPF Reviewer- a performance management (PM) human resource specialist from OHCM, who reviews EPFs for regulatory compliance and reports findings and recommendations to supervisors/managers.  Also, conducts the annual EPF audit and reviews EPFs of reassigned, separating, retiring, or transferring employees.

## EPF Reviewer- Annual Duties

- Annual Duties (EPF Audit):
- 5% random sample of GSFC civil servants
- Check security of EPF location
- Audit EPFs for regulatory compliance

**Notes:**
Annually, as the EPF Reviewer I will audit at least 5% of the GSFC civil servant EPFs. I will have a random sample report generated from BRIO by OCO. From this report I will create a audit schedule for each directorate down to the division level.  The EPF audit will be conducted in locations provided by these organizations. I will audit the EPFs and check the area where EPF are stored to make sure it is secure. Once complete, I will return to the Rating Officials to discuss my recommendations/findings and/or thank them for their cooperation in the audit.

##   EPF Reviewer- Monthly Duties

- Monthly Duties:
- Coordinating process to forward EPFs between losing & gaining Rating Officials
- Reviewing EPFs of retiring, separating, or transferring employees

**Notes:**
Monthly, I will coordinate the collection, forwarding, purging, and disposal of EPFs of employees whom have been reassigned, retire, separate, or transfer from GSFC. Monthly, I will receive a generated report that lists employees who have been reassigned, retire, separate, or transfer from GSFC. I will contact the Rating Officials of these employees via e-mail. These e-mails will contain documents and instructions for the purging and/or forwarding of EPFs.  Once I review the EPFs for purging, I will forward them to TAO for proper transfer or disposal. 

For reassignments, I will coordinate the forwarding of the EPF from the source Rating Official to the recipient Rating Official.  

## NASA Privacy Act

- To be included when EPFs are transmitted:
- NF 1534 (Privacy Act Cover Sheet)
- “Subject To The Privacy Act of 1974” (Inter-Office Envelopes)

**Notes:**
These items stem from NASA Privacy Act regulations covering any hard copy format privacy data that is subject to the Privacy Act.  EPFs are covered under this authority.
When EPFs are transmitted, in accordance with NASA Privacy Procedural Requirements, a NF 1534 is to be included along with the EPF folder in a U.S Government Messenger envelope.  The NF 1534 can be downloaded from the OHCM website under forms.  Also, in accordance with Privacy Act regulation, the statement, “Subject To The Privacy Act of 1974” and “To Be Opened By Addressee Only” , will be documented on the outside of the U.S. Government Messenger envelope. 

## Rating Officials- Duties

- Purging EPFs & cooperating in EPF Audit
- Forwarding EPFs of retiring, separating, or transferring employees to OHCM
- Forwarding EPFs of reassigned employees to the gaining Rating Official

**Notes:**
The Rating Official will be responsible for the maintenance of their direct reports Employee Performance Files (EPF).  EPF documents must be kept in an official employee performance file folder (blue folder).  The Rating Official is responsible for storing EPFs in a locked desk or filing cabinet, secured room, etc., with access limited to those who have authority to access them.  EPFs will be identified by full name, code, and position title.  All EPF contents will be maintained for four (4) years. 

Reassigned Employee 
The source Rating Official is responsible for forwarding the EPF to the recipient Rating Official within 30 days.  The losing Rating Official is responsible for the contents of the EPF and will provide any missing documents within seven (7) working days to the gaining organization.

Retiring, Separating, or Transferring Employee 
The Rating Official will forward the employee’s EPF to the EPF Reviewer within 30 days.  The Rating Official is responsible for the contents of the EPF and will provide any missing documents within seven (7) working days. 

## Any Questions ?

- Office of Human Capital Management
- Performance Work-Life Dynamics Office
- Dyron Gunter (HR Specialist), x6-8052
- Bernadette Fowler Program Manager, Performance Management Program, x6-4998