MRPBS Publications - Human Resources Desk Guide

Subchapter 4430
Performance Management
Section G – Employee Performance File

Introduction
Maintaining Employee Performance File (EPF)
Work Folders
Summary Rating Retention
Change in Employment

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Introduction

An Employee Performance File (EPF) is maintained for each employee covered by the performance appraisal system. Each supervisor is the EPF custodian, unless the organization maintains EPF’s at a higher organizational level (like a regional office) or a central location (like a Resources Management Staff or Administrative Office).

Maintaining Employee Performance File (EPF)

Employee performance plans and ratings of record are maintained in the EPF for 4 years, and then are purged. Material may be kept longer than 4 years if an administrative or judicial proceeding is pending. Performance records that are superseded (e.g., through an administrative or judicial procedure) are destroyed. EPF's must be locked or otherwise secured to prevent unauthorized disclosure.
Other performance-related documents are to be filed in the EPF, e.g., training plans and copies of performance awards. Materials not related to performance may not be kept in the EPF. Performance records must be maintained in accordance with the procedures set forth in 5 CFR, Part 293, Personnel Records; and 5 CFR, Part 297, Privacy Act Procedures for Personnel Records. Supervisors must regard performance records as confidential in their maintenance and distribution.

Work Folders

Supervisors may use a work folder that is in addition to, but separate from the EPF. Items that are typically found in work folders are the supervisor’s copies of EPF documents, as well as materials that may not be kept in the EPF. This includes documents related to conduct, as well as general administrative documents. Work folders must also be secured to prevent unauthorized disclosure; and they are destroyed when the employee leaves the organization.

Summary Rating Retention

Summary ratings (AD-435) sent to HR Processing are maintained for a short period of time following input into the personnel database, and are then shredded. As a result, AD-435 forms are not available for retrieval by HR Processing, and are not filed in the electronic Official Personnel Folder (eOPF).

Change in Employment

If the employee…	The EPF custodian must…
Transfers to another organization within the MRP mission area (APHIS, AMS, GIPSA)	Transfer the performance ratings of record that are four years old or less; Transfer the performance plan on which the most recent rating of record is based. Purge all performance ratings, performance plans, and supporting performance-related documents that are more than four years old.
Transfers to another federal agency	Send the EPF to HR Processing Section. The EPF will be included with the OPF and forwarded to the gaining agency. Purge all performance ratings, performance plans, and supporting performance-related documents that are more than four years old.
Separates from Federal service	Send the EPF to HR Processing Section. The EPF will be included with the OPF and forwarded to the National Personnel Records Center for maintenance.

Link to HR Processing webpage. (Employees Only)

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