ML20215K709

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Procedures for Files Maint & Control
ML20215K709
Person / Time
Issue date: 09/29/1982
From: Dan Collins
NRC OFFICE OF ADMINISTRATION (ADM)
To:
Shared Package
ML20215K297 List:
References
FOIA-86-85, FOIA-86-A-29 NUDOCS 8610280270
Download: ML20215K709 (23)
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'A PROCEDURES FOR FILES MAINTENANCE & CONTROL i

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Staffing & Position Evaluation Branch 1 PROCEDURES FOR FILES MAINTENANCE & CONTROL These procedures have been developed for use as a guide in establishing, maintaining, and controlling material in the Staffing & Position Evaluation Branch. They will be updated as the need arises.

If you have any questions, coments or suggestions, please discuss them with Sharon Root.

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h . ke Dale R. Collins, Chief Staffing & Position Evaluation Branch Division of Organization & Personnel

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S 09/29/82

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PROCEDURES FOR FILES MAINTENANCE & CONTROL TAB Official Personnel Folders (OPFs) A Merit Selection Folders (Close Outs) B Employee Perfonnance Folders (EPFs) C General Cormspondence p

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09/29/82

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lN UNITED STATES y adeglo .g NUCl. EAR REGULATORY COMMisslON j' )

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j/ SEP 2 71982 M640RANDUM FOR: All O&P Staff Members FROM: Paul E. Bird Director

. Division of Organization and Personnel SU8 JECT: SECURITY OF OFFICIAL PERSONNEL FOLDERS (OPFs)

Official Perscnnel Folders (OPFs) contain documents that need to be safeguarded and which must be readily available to us and to line managers. This memorandunn states procedures which will help us achieve these objectives: ,

- Only SPE Branch members may use the mechanical file to retrieve OPFs from the 3 bins or to replace OPFs in the machine.

- Folders will, without exception, be fonnally charged out at all times.

- The person to whom the OPF is charged is responsible for changing the charge-out card if the OPF is passed on -to another person.

, , - When working with OPFs, keep only the folder being used out -- keep all others

,, i secured in metal desk drawers or file cabinets. .

- Lock all file cabinets and drawers used for OPF storage at close of business -

. each day.

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- OPFs may be released to the custody of officials outside of OSP only when approved

' by Jo Browning, Mike Callahan, or Dale Collins and only when accompanied by a-memorandum such as Enclosure (1). The individual who releases an OPF outside- the

.* Division is responsible for following-up to assure return of the folder.

- Return OPFs promptly after their use to Pat Ryder.

- Req'uests for OPFs will be filled between the hours of 8:00 am and 3:00 pm, and returns must be made no later than 3:00 pm each day to allow Pat Ryder enough time to return OPFs to the bin. -

- 0&P Branch Chiefs and assigned members of SPE Branch will spot check work areas for compliance with the requirements to secure OPFs; violators will receive _

written notice with a copy to their supervisor.

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~ Paul E. Bird. Director Division of Organization and Personnel

Enclosure:

As stated cc: Patricia G. Norry, ADM Michael Springer, ADM

1

, - - . g ue SAMPLE ENCLOSURE LETTER El

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, f_, ug), , UNITED STATES yg g NUCLEAR REGULATORY COMMISSION s (, 't j wasHsNGTON, D. C. 20555

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.MENORAfIDUM FOR: John A. Doe, Director Division of ABC FRON: Josephine L. Browning Personnel Staffing Specialist j Division of Organization & Personnel

SUBJECT:

REQUESTED OFFICIAL PERS0tlNEL FOLDERS (OPFs)

As you requested, enclosed are the OPFs of:

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(List names of employees)

It is critical that these folders be guarded .from loss, that they be made available only to managers with a need-to-know, and that they be hand-carried back to me personally within three work days.

No material is permitted to be removed, copied, or placed in the g

Official Personnel Folder. Should you need to retain tfie folder overnight, it must be placed in a locked cabinet at the close of business. ,

Thank you for your cooperation in this matter.

Josephine L. Browning Personnel Staffing Specialist Division of Organization & Personnel -

Enclosure:

As stated O

SAMPLE ENCLOSURE LETTER

MERIT SELECTION FOLDERS FILING AND MAINTENANCE PROCEDURES

1. The Secretary to the Chief, Staffing Section, SPE, will receive all " Closed-Out" folders. These are to be put on the table beside her desk.
2. She will note on the vacancy announcement in the Vacancy Announcement Book
(kept at her desk and kept in reverse chronological order) that the package has been closed out and will note the date she files it in the cabinet.

This cabinet is locked at all times. The key to the cabinet is kept by her and the Secretary to the Chief. Staffing & Position Evaluation Branch. Only  !

those individuals may open the cabinet and file or refile folders. i The staff member msponsible for notifying the Committee on Aging to review

" Closed-Out" packages will notify her which folders the Comittee has seen for review. Thereafter, once this system is operational, SPE can identify for that staff member a listing of folders that the Committee has not yet '

reviewed. This procedure will eliminate the Committee reviewing a package more than once.

3. She will then file the package in the cabinet. After the package is filed, if you need to retrieve it, please see her. She will be able to go to the book to see if a package has been closed-out and filed. If it has been filed, she will retrieve it for you.

Effective this date, there will be a charge-out system for the packages. The Secretary to the Chief, Staffing Section will replace the folder with a Charge-Out Card with your name and the date you charged it out.

! 4. To refile a package, please place the folder on the table by her desk and she will refile the folder, and remove your name from the Charge-Out Card. -

FOLDERS SENT TO FOIA Folders that am sent to FOIA are charged-out in the same manner as other packages.

The Secretary to the Chief, SPE is keeping c listing of those folders sent to l FOIA in the Mail Control Box at her desk. When a folder is sent to FOIA, it is recorded on the card. A Routing Slip should be attached to those folders going

l. to FOIA asking that it be returned to Sharon Root. It will be removed from the listing upon its return and sent to Colleen Noone for refiling.

LABELS FOR MERIT SELECTION FOLDERS In order to make filing and retrieval procedures smoother, please make all the folders on white labels with the information on them as follows:

8- - TITLE OF POSITION, GRADE SERIES ORGANIZATION NAME OF SELECTEE (for example) 82-xxxx NUCLEAR ENGINEER, GG-14 0840 NRR SMITH, JOHN Root - 09/29/82 i . - _ - - -. .- - _ _ . - - - _ _ _ _ _ - _ - _ . _ ._ _ - .

November ~~, 1982 STANDARD OPERATING PROCEDURES #23 Employee Performance File (EPF) I These procedures apply to the establishment and maintenance of the Employee Performance File (EPF) for non-SES employees by the Division of Organization and Personnel and may be used as guidance by the Regional Offices. .

SECTION I General In/drastion I.

Custodian of the Files: The Director of the Division of O&P shall -

designate a senior staff member as

  • custodian of the Employee Performance Files.

II. Employee Performance File (EPF)

1. An Baployee Performance File (EP7) is

- a non-permanent

- system of records, as defined by the Privacy Act, and covered i

under NRC system of records #22; misintained separate from the Official Personnel File (OPF); ,

- con e=4nine forms / documents related to the performance of an.

individual employee;

- and used to provide documentation, justification, explanation,

. etc., for recommendations / actions related to/ derived from the verk performance of the individual employee.

2. An EPF will be established for each non-SES employee for whom an OPF is established if a performance appraisal is required. (See NRC 4151) ..
3. The EPF will consist of a green file folder identified by the l employee's LAST NAME, FIRST NAME, MI and filed in alphabetical order in lockable containers in a limited access area.

, . 4. The custodian of the files shall designate staffing specialist (s)/ -

assistant (s) who shall be responsible for the preparation and maintenance of the EPF in accordance with the procedures outlined herein.

III. Contents: The contents.of the EPF will be limited to:

! 1. NRC Forms 412 (Employee Performance Appraisal) 1

2. NRC Forms 199 (Probationary Period Appraisal)
3. IDP (Individual Deveopment Plan) when attached to, or forwarded as part of, a performance appraisal.

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4. PIRM (Performance Improvement Requirements Memorandum) and such follow-up memoranda to PIRMS which record improvement.

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5. Performance appraisals which are, or may be, required by other NRC directives / programs, e.g., DARE, Cooperative Education.
6. Other performance related/ relevant material which the custo4ian of the files may deem appropriate. *
7. Performance appraisals for detailees:
a. Detailees who work more than 120 days in a position will receive' an appraisal on NEC Form ,412.
b. Detailees who work more than 30 days but less than 120 days will be evaluated by memorandum in accordance with NRC Appendix 4151 Part 1.C.4.

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.III. Filing: __

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1. The filing of documents in the EPF is the primary responsibility of the files control clerk or such operating personnel as may be designated by the custodian of the files.

, 2. Ma,intenance of the filing system is the responsibility of each

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. operating personnel staffing specialist / assistant having direct access to the files.

.3 . Only those document listed in II above will be filed in the EPF.

When other material is received by the files clerk, it will be referred to the custodian of the files for determination of

. disposition.

4. Documents will be filed in the EPF in reverse chronology (most recent in the front of the folder.)
5. Documents related to the same action will be stapled together .

with the most recent document stapled on top.

6. EPF's for designated personnel of the Division of Organization and Personnel will be maintained separately from the central EPF files as directed by the Director, Division of O&P.

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l IV. Integrity of the System: The EPF files system will be monitored for currency, accuracy, and completeness by the files control clerk or other staffing specialists / assistants designated by the custodian of

. the files. As a minimum, this monitoring shall consist of l 1. maintaining suspense control on all pending adverse performance j related actions which involve probationary periods (PIRM, etc)

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2. coordinating with Labor Relations Branch upon the receipt of, and prior to the removal of, adverse performance related material.
3. reviewing, on a periodic basis, a sample of EPF's to insure consistency in the application of these procedures.
4. sampling, on a periodic basis, the viability of the EPF system by checking and, if appropriate, tracking folders which have been charged out.

V. Retention:

(NOTE: The EDO has temporarily suspended the destruction of any .

performance related material. Accordingly documents which would normally be destroyed will be retained in the EPF until .

such time as the EDO authorizes destruction.

Files which would normally be destroyed upon the termination

  • of the individual's employement with the NRC will be retained in an inactive file until s'uch time as destruction is authorized.

The only exception to this restriction is the removal and destruction of material as directed by administrative or judicial proceedings. (See NRC Appendix 415, Part II L 4.)

A copy of the EDO'u letter is attached hereto)

1. Except as provided herein, documents will be retained in the EPF based on the date of the last official action, e.g., signature of the employee, action by the approving / disapproving authority, etc.,

, or, if the material is undated, by the date on which filed.

, '2. Performance appraisals and documents upon which such appraisals were based will be retained for three years from the date of the appraisal except as provided in 4 below.

3. EPF's of former employees will be destroyed the effective date of the employee's termination of employment with the NRC except that those files pertaining to other than permanent employees, e.g., cooperative education participants, temporary employees, etc, will be retained for a period not to exceed the date upon which the employee would be expected to return f.. ,______,____. --. i ; _ 7 - - ' - " ' *- ' ' ' - -

-;' , ' - ' only if it is anticpated that the NRC will accept the individual upon his/her return. For those individuals who do l not return, the EPF will be destroyed upon determination of non-return; for those who will not be accepted back by the NRC, the file will be destroyed upon the individual's departure.

. 4. Performance records supersed through an administrative, quasi-judicial, or j dicial proceeding will be destroyed immediately; those required for longer than the established periods, for similar proceedings will be retained.

5. When an employee is reassigned within the NRC to an element supported by a different personnel office, the EPF will be transferred to the gaining personnel office in a sealed envelope clearly marked EPF with the OPF.
6. Appraisals. of unacceptable performance where a notice of proposed de=otion or removal is issued but not effected, and all related for:s/

documents, MUST be destroyed af ter the employee completes one year of acceptable performance fron the date of written advance notice of the

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  • proposed removal / reduction in grade notice and MAY be removed at an earlier date upon request of the official originating the formal notice, with the approval of the custodian of the file and the

/ concurrence of the employee's supervisor and with the fore-knowledge of Chief, I. abor Relations Branch, upon receipt of a favorable evaluation.

NOTE: To reconcile this requirement with the restrictions p15ced upon the destruction of performance related material by the

  • EDO, the custodian of the files shall establish a non-specific file labeled " DOCUMENTS FOR CLASS ACTION SUIT" for retention of such material. This file will not be releas'ed to any *

~ individual without the specific approval of the senior O&P

  • official responsible for the operations of the branch in .

which the EPF's are maintained.

7. If, at the end of the 12-month performance period required in conjunction with a PIRM, the employee's performance has remained

-; at, or exceeded, the Fully Successful level during the preceding 12 months, the documents pere =4=4=- to the PIBM will be destroyed.

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NOTE: Pending lifting of the EDO restrictions, such documents -when

' removed from the EPF, will be filed in':the DOCUMENTS FOR CLASS ACTION SUIT file described in 6 above.

8. Who'n any performance related document is needed in conjunction with an I

on-going =Aministrative,'. negotiated, quasi-judicial, or judicial'.

proceeding and it continues to be retained in the EPF rather than in the files of the element / agency conducting the proceedings, the documents will be annotated to indicate the basis for retention and '

, the revised. retention period.

, , NOTE: The EDO letter provides blanket authorization for retention at this time. This procedure will not be implemented until -

after the EDO has authorized the destruction of retained material.

VI. Control:

L. Direct access to the EPF central files is limited to the custodian of the files,. the files control clerk, and, with prior approval of the custodian or the files control clerk, operating personnel of the Division of 04P. -

2. Indirect access to the EPF, or its contents, is limited to those individuals with a "need to know" in the performance of their

, official agency duties as constrained by the Privacy Act and the routine uses provisions of that law published by the NRC for the system of records concerned (#22). Generally, these files may be made available', by those authorized direct access, to:

a. the employee or the representative which he/she has designated in writing specifically granting him/her access to the EFF;
b. appropriate officials in. conjunction with an EE0/FEORP complaint or investigation;

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c.

appropriate officials in conjunction with a union complaint; m '

d. appropriate officials in conjunction with evaluation of the employee appraisal system.
e. the employee's supervisor in conjunction with a performance related action;
f. with the prior approval of the custodian of the files, to other officials or government agencies when the requirement is based on the routine uises prescribed in NRC system of records #22; and
  • 3 to the NRC General Counse*1 or the Executive Legal Director.
3. When an individu.a1 who is authorized direct access to the central files removes an EPF, he/she will remove the entire folder and complete the charge-out record (NRC Form 22 4-77) which will be k~

e-filed in the cone =4ner until the folder is returned. The individual completing the charge-out record will enter his/her name in the CHARGED T0 column and that individual shall be responsible for the folder and its contents until it is returned to the central files.

4. When the folder is withdrawn from the central files by an individual authorized direct access for the purpose of releasing information to an individual. authorized indirect. access, the name of the, individual

/ to whom the information.wi1L be released and the type of information to ha released will be entered in .the ITEM column. '

l t 5. The removal of. the EPF folder.from the central files-does not imply '

the automatie. release of all information contained in the folder. '

.In releasing information from the~ EPF, personnel authorized direct

, access will insure that only those forms / documents which are relevant

.,, to the purpose / request will be released. The entire contents of the a

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folder will be released only when the. entire contents are relevant, e.g.,

i for review by the employee him/herself.

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6. When the EFF is released for review to an employee or his/her designated representative, the releas~or will remain in the area and maintain visual contact with the file. The individual will not be permitted to

" remove, change, or add any documents directly to/from the file. If copies of docoments are requested, the releasor will remove and reproduce the documents. If an employee objects to the inclusion of documents /

, information in the EPF, the matter will be referred to the branch /section chief for resolution.

. 7. When documents.in the EPF are reproduced, the user will insure that the copy filed in the EPF is returned to its proper place in the folder and {

that the reproduced copy is provided the requestor.

8. Requests for copies of EPF material in conjunction with a Freedom of Information Act request will be referred to the custodian of the files for ac. tion.

VII. Purging: Purging is the process of removing / destroying obsolete / outdated ma terial.' Pending lif ting of the ED0's restriction on destruction, purging of the EPF will be limited to identifying losses and moving the folder into

an inactive file.

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6-I. Establishment of the EPF:

,^ 1. The files control clerk will, using the weekly EOD list, identify i those newly employeed individuals for whom appraisals will be '

required and prepare a folder. The individual's EOD will be entered on the name label. (See NRC 4151-051)

2. The name label will be placed on the folder in accordance with the position of the cut as seen when facing the folder:

Center Cut left Cut Right Cut A B C D *F E I E G M J K P L , N S Q R ii V 0 V T Y-Z II. Filing of Performance Material

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All documents received by the files control clerk for filing in the .

EPF will be reviewed for pertinence to the file' against the list provided in Part III Section.I. Unlessnspecifically authorized by the custodian of the files.only those documents listed in.Part III ~

Section I will be filed. Documents which are not authorized for file in the EPF will be referred to the custodian of the OPF for'

' disposition. -

III.' Special Review and Processing Procedures: Under normal circumstances tha majority of performance material will be generated as a result of the annual performance appraisals effected at the and of the fiscal yea'r.

These procedures address the annual processing but are egnhily applicable to $solated/ individual cases.

l 1. , Performance appraisals

a. On/about September.15, the custodian of the EPF will request Chief, Personnel Data & Information Section to provida, as of October 1, a master. roster of all employees for whom the _

custodian maintains folders,e.g., non-SES employees from l Headquarters and Region V, excluding ,---- ; -- " ----

l consultants and Board members, contracted employees, and individuals serving without compensation. The roster should l be in alphabetical order and contain the employee's name, kork schedule cede, EOD date, organization code, and organization name. This roct.r is the control mechanism for monitoring the annual performance appraisal system as well as providing the basis for a cross-check of the files system.

b. Upon receipt of the roster the files clerk will:

(1) Transfer any pertinent data, e.g. , suspense dates, etc, from the old roster to the new.

. (2) Physically compare the names on the roster against the folders in the containers. All discrepancies will be resolved i:nmediately.

c. Upon receipt of a performance appraisal, and providing that the actions in" "b" .above have been completed, the files control clerk will accomplish the following actions: (}iOTE:

if the new control roster has not been posted and vhrified against the containers, retain all appraisals in a separate folder until such action is completed. DO NOT ATTEMPT TO PROCESS ANT APPRAISAL USING THE OLD CONTROL ROSTER)

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on the left hand margin of the roster (1) Place a check (

next to the name of'the employee indicating that the -

appraisal has been received. _ , .,

(2) Place a check ( [ on the lower right hand corner of the first page of the appraisal'indit.agin'g that the control

  • roster has been posted, s.

(3) During the annual appraisal period when large numbers of appraisals will be received at the same time, file the appraisal in the EPF folder. When single appraisals are received, proceed with the review as described in "d" below.

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d. During the annual review period, the custodian of the files will designate staffing specialtst(s)/ assistant (s) to assist the files control clerk in conducting the review. This
  • review is solely;a check of administrative correctness and not an evaluation of the equity / inequity of the narrative, the ratings, or the system. The procedural'reviewswill consist of a check of each appraisal to determine (1) if it is complete: Are all necessary pages included?

- Are all elements rated?

,,. Are all elements identified as critical or non-critical?

Are all required narratives included?

Is there one overall rating for each element?

(2) .if it is legible: Can all necessary information be read?

Can the information be reproduced? _

(3) if it is signed: By the employee both for the rating and performance standards?

By the supervisor and the reviewer?

Are the supervisor and reviewer different individuals? Are they the same?

(4) if it is dated: Are both the standards approval and su= mary rating sections dated?

Is the period between the two dates 120' days or more?

(5) if the sure:ary rating is correct: Does it agree with the definitions contained in Part C NRC Form 412?

e. If the review is satisfactory, the reviewer will:

^ (1) Convert the check on the control roster to an "X" by drawing a diagonal line through the bar indicating that the appraisal was satisfactory.

(2) Enter, in pencil, "OK" on the lower right side of the first page of the appraisal.

(3) Enter the summary rating on the control roster, in the margin, next to the employee's name, using the abbreviations designated by Chief, Personnel Data & Information Section. *

(4) File the appraisal as tHe topmost (toward the front) document in the folder and return the folder to the container.

f.

If the review is not satisfactory, the staffing:spedihlist vill:

f (1) If rager : .. and reviewer are the same or if there is only a supervisor's signature, determine if the Director of Administration has approved an exception. Normally this would be indicated with the document transmitting the appraisal. If it 'is not, contact the supervisor. NOTE:

When a Commissioner acts as the supervisor, the exception may be taken?.ad. grant &ds #rIf-the exception has not been granted proceed with the steps provided below. , ,

~ (.2) Using Form Letter #9. Print the employee's name in the.

indicated space, place an "I" in the appropriate block and sign the letter. Attach the letter to the outside

'of the folder and pass it to the staffing assistant designated for typing support who vill (a) Address the letter to the employee's immediate .

supervisor. Date the letter.

(b) Rgproduce two copies of the letter filing one in .

t}ie EPFfalder and the other in a separate folder

  • marked FOR EPF EVALUATION.

(d) Dispatch the original letter with the appraisal in

, a sealed envelope marked "TO BE OPENED BY ADDRESSEE ONLT' (d) Annotate the control roster with an "R" in the margin

  • next to the employee's name indicating the appraisal had been returned.

(e) Enter a suspense date (two weeks from date the appraisal was returned) on the right side of the roster en line with the emplcyee's name (f) Return the 5PF folder to the central files.

g. When a request for deferral, approved by the Director of Administration is received, the files control clerk will (1) Reproduce one copy of the docunent for each employee for whom the deferral was approved.

l (2) File the original in a " Status of Appraisals" correspondence file.

(3) File a copy as the topmost document in each affected employee's file.

(4) Enter "D" (Deferred) .in the left margin of the control roster '

, next to the employee's name.

(5) Enter the date to which the appraisal has been deferred on th'e right side of the control roster on l'ine with the employee's name.

h. When the program / staff office provides written" notification that an employea vill not be evaluated because he/she has not performed under the performance elements established for his/her position for 120 days, the files control' clerk will

, , (,1) Reproduce one copy of the document for each employee who will not be evaluated for this reason. . .-

(,2) File the original in the " Status of Appraisals" correspondence file.

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i (3) If there will be less than 18 months between the date of the last appraisal and September 30 of the following year, enter

. "S" in the left' margin of the control roster next to the employee's name indicating that no appraisal was rendered

' because of lack of performance under the standards and that, although desirabled and recommended, none is required before the next appraisal period.~ M.m- -

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(4) If there will be more than 18 months between the date of the last appraisal and September 30 of the following year, enter

'iidt'? in the left margin of the control roster next to the maployee's name indicating that no appraisal was rendered because of lack of performance under the standtrds and that one vill . -

be required. Enter a suspense date of 120 days from the date of the notification on the right side of the control roster on line with the employee's name.

(5) If the employee has been employed dnring the period .7un 1 and Sep 30, enter "L" in the lef t margin next to the employee's name indicating that the employement period itself t was less than 120 days. Circle the EOD on the control rester.

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(NOTE: This differentiating Nong the three 120 day categories is necessary# for evaluation of the system and to identify further required actions by the files contrbi clerk.) ,

1. When more than one appraisal is received for the same period, for the same employee, the files control clerk will (1) Review all appraisals to determine if they are identical in all respects. If so, destroy all but one. *

- (2) If the appraisals are not identical, return all copies to the supervisor with a request to identify that evaluation which was provided to the employee as his/her official evaluation *.

Annotate the control roster with an "R" on the left margin next to the employee's name.

(3) File one copy of the letter returning the appraisals (Form Letter #9) in the EPF. -

2. Monitorina the System:

On/about October 15, the custodian of the files will designate a staffing specialist to review the control roster to determine the status of the appraisal system. The designated individual vill:

a.

Identify all performance appraisals which have been received but; not yet reviewed (as indicated by the check in the margin). In coordination with the custodian of the files, establish a sp,ecial review team to complete this portion of the project'.

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b. Identify eacli employee listed for whom no action code, e.g., "D" "I",*'.'S"t'? "N't; "L".; !'S" . ort"N" has been annotated to the roster.

c.

- Check the EOD date for each such employee. If the EOD is after June 1 of the current year enter "S" on the lefe hand side of the roster next to the employee's name and circle the EOD date.

. d. For those whose EOD is prior to Juna 1 and for whom no action code has Y .been posted, prepare an alphabetical roster listing"the .

employee s name and organizational code. ~

e.

Using the roster, check the most current employee roster to determine if the employee fails within the appraisal system.

f.

Delete those who do not fall within the system by lining out the name and entering the reason on the right hand side of the control -

roster next to the employee's name.

g. For those who do require an appraisal enter the letter "M" (Missing) on the lef t margin of the control roster next to the employee's name.
h. Using Form Letter #10, request the missing appraisals frem the Program / Staff Office. File a copy of each letter in a suspense folder. .
1. Upon. receipt of a response, conduct the review procedures as specified herein.

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3.

Performance Improvement Requirements Memorandum (PIRM). h n en a PIRM is received, the files control clerk will:

a.

Coordinate from any other with source the Labor Relations or as part Branch if the PIRM is received of an appraisal.

b.

After coordinating with LRB, annotate the control roster su the right hand side on line with the employee's name with "PIRM" and  !

. a suspense date of one year from the data the PIRM is issued.

4. Notice of Proposed Demotion /n ', val:

Notices of proposed demotion /

removal not vill be forwarded for inclusion in the EPF only if they are effected.

will Upon receipt of such notices, the files control clerk a.

Coordinated from any other with source. the I; abor Relations Branch if the PIRM is received b.

Af ter coordinating with LRB, annotate the control roster on the right hand side on line with the employee's name with " NOTICE" and a suspense date of one" year from the date the notice is issued.

5. _0ther Appraisals:

Appraisals issued in conjunction with special NRC programs such as DARE, Stay-in-School, etc. w111 he processed by the

- responsible that program.staffing specialist using the procedures established for Procedures established in this SOP will,be used when separate instructions are not provided.

. . a-IV. Auditing the System:

The custodian of the files shall designate an i individual to audit the EFF system. This audit shall consist of 1.

A weekly review of the control roster to identify all suspense items

a. For those coded "D" (Deferred) . or "N" (Not received because of i failure to perform under standards for 120 days but required because the employee will exceed 18 months between appraisals if delayed until the regular evaluation period): the designated -

indiridual will telephonically contact the Program / Staff Office to determine the status of the action.

1 b. For PIRMS/ NOTICES which have reached their anniversary date, the

) designated individual will contact the IRB to determine the i

, appropriate action to be taken. -

2.

A monthly review of all charge-out cards to identify those for which folders 'have been charged out for more than 14 days. These will be tracked and located and an expected date of return established.

Missing or unlocated files as well as those which are to be retained outside of the central files will be reported to/ cleared by the custodian the files.

t

_ _ . . _ , , , _ , , . . , , , _ _ , _ . _ . _ . _ . , _,.,_,7____...__,,_.._,__y _ - , ,_.____.y

l

3. A bi-annual review in April. On/about March 15, the staffing specialist will obtain from Chief Personnel Data & Information Systems a new control roster, as of March 30, codtaining the same information required by Section II Part III.1 of these procedures. After transcribing the pertinent, current annotations from the old roster to the new roster, the stafffing specialist shall conduct a physical check of the roster against the folders in the central files. .All discrepancies:will be resolved. (NOTE: Summary ratings will not be transferred.) The old roster will be retained in a lockable container for 90 days after which it may be destroyed. w

, V. Out-of CYele Appraisals: When, for any reason, an employee receives a performance appraisal which is not in conjunction with the annual cycle the files control clerk will follow the procedures, as applicable, in Section II Part III of this SOP except that:

a. the new suammary rating will* be reported to Chief', Personnel Data &

, Information Systems after being posted to the roster.

~

b. the control roster will be annotated on the right side on line with employee's name with "Out of Cycle" and the date.
c. in reviewing the control roster during t.he annual appraisal cycle to identify those for whom appraisals are required, the staffing specialist will determine if the out-of-cycle appraisal had been conducted after Jun 1.- If it has, no further appraisal is -

required. (SEE NRC. Appendix 4151 I.,C.1.a)

VI. Maintaining the Control Roster: Except for the annual appraisal period e the staffing special responsible for maintaining the control roster will have a limited amount of work. Primarily, he/she will

' (1) using the weekly EOD list, identify and enter in the appropriate place on the roster, those employees who are subject to the appraisal system.

(2) prepara a felder and charge out card, entering the EOD on the

  • name label'. File the folder in the central file unless it'is
among those designated by Director O&P for maintenance in a i separate area.

' (3) Using this weekly departure / resignation list, draw a line thcough

! the employee's name and transfer the folder to the inactive file. .

Annotate the control roster with a brief explanation of deletion.

1 (4) Insure that the control roster is under strict control and made available only to those authorized by the custodian of the files.

VII. Inactive Files
When an employee departs NRC employment for cny reason, his/her EPF vill be retained in an inactive file until permission for destruction has been received from the EDO.

e D

1-

9'.

'g. nog 4 jef .. UNITED STATES ,

- e  % ..,

NUCLEAR REGULATORY COMMISSION .

s ;j wasmwoTow. o. c.2osss

'+ + FORM LETTER #10 (FOR USE WITH STANDARD OPERATING PROCEDURES #23)

, MEMORANDUM FOR: X FROM:

Frank L. Elizondo '

Chief. Recruitment Section

- Personnel Resources & Employment Programs Branch Division of Organization and Personnel

SUBJECT:

EMPLOYEE PERFORMANCE APPRAISAL

An audit of the Employee Perfomance Appraisal File reveal has yet been received for the following named employee (s) of your office:s that no app If there are extenuating circumstances which preclude submission / appraisal of the employee within the time frame indicated, please make appropriate notation hereon and return to me at LA-1220 or telephone me on extension 24635 or 28275.

i.

Frank L. Elizondo Chief. Recruitment Section PREP Branch Division of Organization ~

and Personnel

. Falut LETTER #9 6 *

  • 's

/ oa**%..,(FOR USE WITH STANDARD UNITED STATES CPERATING PROCEDURES #27) y c( y, .g NUCLEAR REGULATORY COMMISSION wAssincrow. o. c.20sss 4;437 owf

' ( NOTE: This letter will be revised upon completion of t'nn revision of the NRC Form 412)

MEMORANDUM FOR:

FROM:

Frank L. Elizondo Chief, Recruitment Section Personnel Resources and Employment Programs Branch Division of Organization and Personnel ,

SUBJECT:

... ~ EMPLOYEE PERFORMANCE APPRAISAL 3 .

y The Division of Organization and Personnel 1's responsible for assuring procedural compliance with Manual Chapter 4151. Performance Appraisal System

'(Non-SES). "Such action is necessary since Sumary Ratings are used to deter-

', mine eligibility for incentive awards, noncompetitive career promotions,

+ ..- within-grades. High Quality Increases and for granting extra credit in reduc-tion-in-force. Also, under the Union contract. Sumary Ratings are assigned

,, a weight merit of 20 percent towards a bargaining unit employee's final rating for promotion.

" Therefore, it is essential that correct Sumary Ratings are recorded for all employees to assure fair and equitable treatment and to provide a correct record for subsequent actions based on appraisals.

We are returning employee the official-record copy of your appraisal of the above-named '

for correction.

3

~

Please see box below identifying the change needed:

~

Part A. Ind cate a rating for Performance Element number D and make necessary adjustment in Summary Rating if affected by this additional rating information.

b Part B. Indicate only .one overall rating N any one Perfor-mance Eledent.

Part C. Sumary Rating is not warra.4 h .he ratings on -

individual critical /non-critical el4Nnn.. i'eyise.the Sumary

- Ratiyig to conform with. the.crittcal/non-critical element ratings or change the critical /non-critical element ratings to conform with the Sumary Rating.

O Provide a iegibie copy of the empioyee s appraisai. The copy previously submitted to 0&P was either illegible or a portion of the form was missing due to the copying process.

Other.

, , . _ - - ~ ~ '

9 ,f; i' , ,. K $ .JUCLEAR REGULATOR COMMIS,SION g' .

s gj WASHINGTON,0. C. 20555 ,,,

(,, '%'....a 'O/ November 18, 1981

\~.. s MEMORANDUM TOR: Office Directors

~

FROMi William J. Dircks, Executive Director  :

for Operations .

SUBJECT:

DOCUMENTS RELATING TO EE0 CLASS ACTION COMPLAINT I am sure you are aware that a class action complaint of sex diser4=4a= tion

' was' filed against the NRC several years ago. I wish to remind you that .

discovery is- still in progress in connection with the litigation of that complaint. It is imperative that the Agen::y preserve all documents which may b'e riilevant to the class complaint, e.g., outdat.ed performance appraisals, yacancy announcement folders, organizational charts, position descriptions,

o. and any memoranda or correspondence regarding the salaries, promotions or training of female non-clerical employees GS-5 and above at NRC headquarters.

In this regard, if a discovery request is made for relevant documents which the Agency has destroyed, it could adversely impact on the presentation of the Agency's case. Any NRC or government-wide document destruction schedule is suspended with respect to documents that may be relevant to issues in '

thi.s litigation. .

@ j Accordingly, please assure that no documents telating to the issues described

. ? above. are destroyed. If any doubt arises as to the possible relevance of particular documents, please contact Harvin Itzkowitz, OELD at X27280.. '

~~ ~

. Original Signed By William J. Dircks, Executive Directo'r- .

, . for Operstions~" "

ENCLOSURE TO STANDARD OPERATING PROCEDURES #23 COPY

, Attachment A

%Ng SPE GENERAL CORRESPONDENCE PROCEDURES s

SPE is converting its general correspondence files to the system recomended by the Records Management Branch. This is a Subject / Functional system.

For the last year the Secretary to the Chief, SPE has been using this system.

The index for the system is at her desk. We should all make an effort to assure that material is filed in the proper place; for example,*the general correspondence files, the merit selection files, or the Official Personnel Folders. If you have a question on where material is filed, please see Sharon and a detemination can be made. We will then notify all staff members where material is filed so that all material is filed unifomly.

The Official File Copy of a document should never be filed in a reading file or a notebook at an individual's desk. It should be filed in an established file someplace and we will be making that determination as needed.

9 At the present time material is filed in the Branch Chief's office, and each Staffing Chief's office. We would like to bring the material to a central location (the Branch Chief's office) with each Section responsible for incorporating the material into the files. The Branch Chief's secretary is responsible for the overall files and will help the Sections incorporate their files.

i This objective is directed by the Director, Division of Organization and Personnel and is to be accomplished by January 1, 1983.

i .

Root - 09/30/82

~. .

w '

READING FILE

. . , PROCEDURES Reading Files are prepared in SPE for the Division O&P RF and the SPE RF.

These copies may be made on green tissue or xeroxed on white paper and marked O&P RF or SPE RF.

Each Section maintains a Section Reading File. These copies may be made on pink tissue or xeroxed on white paper and marked Staffing RF or PE RF.

The Secretary to the Chief, SPE maintains the SPE RF. The material is filed in reverse chronological order. She reviews copies received for the RF and files general correspondence in the file.

ment letters for information and then discards them.She reviews copies The offer of offer / employ-

/ employment letters are filed in the Staffing RF so duplicates are not necessary in the SPE RF although they should be provided for information.

.h She also maintains a Reading File for material the Branch Chief himself originates. This is used for a quick and ready reference. Individual reading files may be maintained at your discretion; however, only information copies (green, pink or. xerox copies) are in this file NOT Official File Copies of material.

x e

Root - 09/30/82

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