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LARIMER COUNTY POLICIES AND PROCEDURES ADMINISTRATIVE POLICY AND PROCEDURE 340.

2D SUBJECT: ELECTRONIC MAIL

DATE: March 28, 2011 EFFECTIVE PERIOD: Until Superseded REVIEW SCHEDULE: Every five years in March, or as needed CANCELLATION: Administrative Policy and Procedure 340.2C; April 30, 2002 ENCLOSURE: None REFERENCES: A. Google Mail and Calendar Webinars B. Open Records Act/Senate Bill 96-212 & House Bill 96-1314 C. Human Resources Policy and Procedure 331.8; Corrective and Adverse Actions, Grievance Procedure, and Problem Solving Process D. Human Resources Policy and Procedure 331.4, Section II, C Discrimination Prevention E. Administrative Policy and Procedure 351.4 Record Retention Program F. Colorado Revised Statutes, Section 24-72-203; Public Records Open to Inspection G. Governing Policies Manual, 3.5.6 Asset Protection H. Administrative Policy and Procedure 700.1; Discovery (in development) PURPOSE: To establish uniform procedures for the use of Electronic Mail (E-Mail) Systems within Larimer County Offices and the Larimer County Network; and to provide reference for training new personnel. SCOPE: This procedure applies to all Offices, Divisions and Departments of Larimer County. RESPONSIBILITY: All Larimer County employees using E-mail are responsible to use the Email System for business related communications (reference G). Elected Officials, Division Directors and Department Heads shall ensure compliance with these procedures within their organization, and shall ensure that all electronic mail is for the benefit of Larimer County. The Systems Administrator will administer the system and will monitor compliance with the provisions presented below. SPECIFIC REQUIREMENTS: None

340.2D pg. 2 REVISION LOCATOR: 1. Reference A 2. Reference B (deleted) 3. Reference D, G, and H (added) 4. Section I, A and H (added) 5. Section I, D 6. Section VI POLICY AND PROCEDURE: I. GENERAL E-MAIL GUIDELINES: The following guidelines are for the use of E-Mail Systems within Larimer County. A. MAIN PURPOSE OF E-MAIL: The main purpose of the e-mail system is to foster effective and efficient communications. It is not meant to be a storage system for County records. Over the last several years many laws have been updated or created (Electronic Discovery, HIPPA, Open Records Act, etc. (references B, F, and H)) that require us to be able to store, protect, as well as provide access to certain types of records and information. For this reason it is important to understand the e-mail system IS NOT a records storage, retrieval, and archival system (reference E). B. E-MAIL USE: E-mail is provided by the County to facilitate County work and is intended for business-related communications, including uses related to County sponsored events and activities. Incidental and occasional personal use of County e-mail systems is permitted. However, blatant misuse and excessive personal communications, as determined by Larimer County, is not acceptable (see Section I, G below for more detail). Personal and other e-mail without a demonstrable connection to official County business should promptly be deleted from the County e-mail system or transferred to a personal file of the user. C. PRIVACY: ALL ELECTRONIC COMMUNICATIONS TRANSMITTED VIA COUNTY E-MAIL SYSTEMS ARE COUNTY PROPERTY. THE COUNTY MAINTAINS THE RIGHT AND ABILITY TO ENTER INTO ANY OF ITS E-MAIL SYSTEMS TO INSPECT, REVIEW, COPY, AND DISCLOSE ANY AND ALL DATA RECEIVED AND/OR TRANSMITTED OVER THOSE SYSTEMS (reference H). BECAUSE LARIMER COUNTY RESERVES THE RIGHT TO ACCESS ALL E-MAIL MESSAGES RECORDED IN ITS SYSTEMS; EMPLOYEES SHOULD NOT HAVE AN EXPECTATION OF PRIVACY WHEN USING LARIMER COUNTY E-MAIL SYSTEMS. D. CONFIDENTIALITY: Departments may require encryption of e-mail that is transmitted outside Larimer Countys e-mail domain (co.larimer.co.us) to non-county entities. E. E-MAIL ACCESS: An E-mail user may not access the mail or account of another user unless granted permission to do so by that user. This restriction does not apply to system administrators and others who are authorized to access the systems for legitimate business purposes.

340.2D pg. 3 F. POLICIES OF COMMUNICATION: In general, Larimer County employees have an obligation to use their access to the electronic communications tools in a responsible and informed way while conforming to business etiquette, customs and courtesies, and representing the County in a positive manner. E-mail service is made available to employees for the purpose of providing an effective method to communicate, increase productivity, perform research, and obtain information that will assist in performing jobrelated tasks. County Human Resources Policies and Procedures concerning work-related activities apply equally to e-mail. E-mail should follow accepted policies of communication as is in place in individual departments. The e-mail system is not to be used to create any offensive or disruptive messages. Larimer County e-mail will be used in compliance with applicable Statutes and Regulations, including those that require a work environment free from discrimination and harassment (reference D). G. IMPROPER E-MAIL USE: Improper use of e-mail includes, but is not limited to: 1. Any message which contain sexual implications, racial slurs, gender-specific comments, or any other comments that offensively address someone's race, age, sexual orientation, disability, religious or political beliefs, or national origin. This includes the use of personal quotes or mottos in the signature area. Ensure that the personal quote included in the signature would not be offensive in nature. 2. Language which is offensive, obscene, or in poor taste including jokes which create an intimidating, hostile, or offensive work environment. 3. Messages or information that is in conflict with Larimer County policies against discrimination or harassment in the workplace (reference D). 4. Personal business advertisements or announcements. 5. Messages or information which advertise or promote a business, political candidate, or political or religious cause; any activity of any outside special interest group; or any activity, group, cause, or venture of like character. 6. Non-county sponsored collections and solicitations. 7. Frivolous use such as conducting private business, importing and exporting personal files, playing games, conducting betting pools, relaying chain letters, etc. NOTE: Any e-mail use inconsistent with the Policies stated herein, as determined by Larimer County, will not be tolerated. Use of the County e-mail systems in violation of this procedure or any other County Policy on workplace behavior may result in suspension or loss of e-mail access, disciplinary action up to and including termination of employment, and/or legal action. If you believe these Policies have been violated, immediately contact the Human Resources Department. You may also reference Human Resources Policy and Procedure 331.8 regarding the problem solving process (reference C). Also see Section VI for recommended email etiquette guidelines.

340.2D pg. 4 H. COUNTY-WIDE EMAILS and SITE-SPECIFIC EMAILS: E-mails sent to all recipients in Larimer Countys E-mail system Contact list, or all recipients at a specific Larimer County building are called County Wide E-mails or Site-Specific E-mails. The responsibility for all County-Wide e-mails and Site-Specific E-mails follows: 1. The County Manager or designee pre-approves senders of County Wide or SiteSpecific E-mails. To date, the following senders are authorized to send County Wide or Site Specific E-Mails. Unless authorized (as outlined below), pre-approval is necessary. a. Any Larimer County content County Manager and Assistant County Manager b. County Internal matters such as employee events and notifications Elected Officials and their designees; Commissioners Administrative Manager; and, Community Information Manager. c. County External matters such as press releases (which are sometimes also sent to employees) Elected Officials and their designees; Community Information Manager (Public Information Officer); and Commissioners Administrative Manager. d. Human Resources information Human Resources Director or designee e. Computer Systems, Phones, or Facilities matters Support Central designee f. Bulletin Board Updates Web Administrator/Master g. Health Information Health Department Public Information Officer h. Pool Car (Fleet) Related Announcements Fleet Manager or designee 2. Approved senders will: a. TO List him/herself in the TO box b. BCC Type County Wide in the blind copy (Bcc) box for a County wide email or the appropriate e-mail address/s for a site-specific campus/building/floor e-mail. c. SUBJECT For a County Wide e-mail, simply type the topic in the Subject line. Since you have typed County Wide: in the Bcc box, a [CW] will automatically show up at the beginning of the subject line. d. SUBJECT For a site-specific e-mail, begin the subject line with Site-Specific: name of campus/building/floor etc., immediately followed by the topic. 3. Content The following items are examples of appropriate topics for a County Wide E-mail: a. Employee information:

340.2D pg. 5 1) Benefits, compensation, training, payroll, and other related information. 2) Personnel policy updates, reminders, or requirements. 3) Special Employee tickets to events, meetings, and surveys. b. General citizen and public information such as fire restrictions, boards, and commission openings. c. Emergency information d. County sponsored events e. Updates or status of Facilities or Information Technology buildings or systems. For topics not specifically listed above, the County Manager or designee will decide whether the topic is appropriate or not. The Community Information Manager should be contacted for review, awareness, and assistance when internal information also needs to be sent to external audiences. Note that County Wide E-Mails cannot be used to promote a nonCounty related event or personal business. II. PUBLIC/NON-PUBLIC RECORDS: A. PUBLIC RECORDS: Correspondence by employees through electronic mail may be a public record open for inspection. 1. "Records" shall include: All books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by any governmental agency in pursuance of law or in connections with the transaction of public business and preserved or appropriate for preservation by the agency. 2. "Public Records" shall include: All records made, maintained, or kept by the County for use in the exercise of functions required or authorized by law or administrative rule or involving the receipt of expenditure of public funds (reference F). 3. Public record e-mails should not be deleted from the County e-mail systems until they have been saved onto an acceptable medium that meets national standards for permanent record retention like any other form of public record pursuant to Larimer County Retention Schedules (reference E). Public record e-mails, as with all public records, should not be altered in any manner. To store on the network, select text and copy and paste text into a word document or text file. It may be necessary to save other data such as the Subject line and any other details. B. NON-PUBLIC RECORDS: Correspondence without a demonstrable connection to the exercise of functions required or authorized by law or administrative rule, that does not have a significant impact on the functions of Larimer County government, and that does not involve spending or receiving public funds is not a public record. Non-public records include, but are not limited to, the following:

340.2D pg. 6 1. Personal e-mail messages, personal memos, return phone call messages, scheduling invitations, automated responses, and other communications, of which the preservation is not necessary for a public purpose. 2. Correspondence between elected officials and constituents if the correspondence clearly implies by its nature and content that the constituent expects the communication to be kept confidential. 3. Correspondence relating to matters that is subject to confidentiality or non-disclosure by statute. 4. "Work Product" which shall be defined as: a. All e-mail and other intra/inter-agency advisory or deliberative materials assembled for the benefit of elected officials that express an opinion or are deliberative in nature and are communicated for the purpose of assisting such elected officials in reaching a decision within the scope of their authority. Such non-public advisory materials shall include, but is not limited to: Staff reports, background materials, working drafts of resolutions, working drafts of policies, working drafts of ordinances, notes and memoranda that relate to or serve as background information for such decisions, and other preliminary drafts and discussion copies of documentation that express a decision by an elected official. b. "Work Product" shall not include: any final version of a document or e-mail that expresses a final decision by an elected official; any final version of a fiscal or performance audit report or similar document, the purpose of which is to investigate, track, or account for the operation or management of a public entity or the expenditure of public money, together with the final version of any supporting material attached to such final report or document; any final accounting or final financial record or report; any materials that would otherwise constitute work product as defined above if such materials are produced and distributed in a public meeting or cited and identified in the text of the final version of a document that expresses a decision by an elected official. Such material shall be deemed a public record as defined herein. NOTE: All questions regarding whether an e-mail is a "public" or "non-public" record should be directed to the Elected Official, Department Head, or County Attorney's Office. Non-public e-mails that involve County business may be stored on county e-mail systems as long as necessary. Individual employees are encouraged to maintain e-mail messages and e-mail labels (aka folders) on a regular basis and should delete unneeded e-mails or folders from the e-mail system as soon as possible. Refer to the Discovery Policy (reference H, in development) for questions regarding discovery of e-mail. III. REQUESTS FOR PUBLIC RECORDS: Any request to inspect a public record as defined herein should be directed to the appropriate Appointed or Elected Official. This individual will then take the necessary steps to ensure that appropriate disclosure is made in accordance with the Colorado Open Records Act (reference B). Correspondence to or from an Elected Official may not be released without first informing the Elected Official. Any questions regarding the appropriateness of disclosure should be directed to the County Attorney's Office.

340.2D pg. 7 IV. USE OF E-MAIL BY ELECTED OFFICIALS: Use of e-mail by Elected Officials to discuss public policy among themselves may be a "public meeting", subject to all notice requirements normally required for a public meeting. This requirement does not include correspondence with administrative staff and other administration matters. Generally, Elected Officials should avoid the use of e-mail to discuss public policy by two or more Elected Officials. A. PUBLIC E-MAILS BY ELECTED OFFICIALS: Because the task of providing e-mail communications to the public is one that could constitute a heavy burden on Elected Officials, the following procedures should be used to assist the Elected Officials in fulfilling their open records obligations. A directory should be established on the e-mail service for each elected official. The Elected Official shall transfer to this directory all emails that meet the definition of public record, as defined herein, and that otherwise do not fall under any of the exceptions described herein. The Elected Official or his/her designee is responsible for determining if any item of e-mail is public and should be transferred to the public records directory. Such public e-mails should be transferred to the public records directory within five days of its actual receipt or as soon thereafter as possible. Elected officials may each designate a specific individual employee of Larimer County to review their public records directory as often as necessary to determine whether the information in the e-mails constitutes a public record. Requests for public e-mails of elected officials should be directed to the designated individual who shall then access the elected official's public records directory and make the requisite disclosures. The department designee will direct any questions regarding disclosure to the County Attorney's Office. Public record e-mails of Elected Officials should not be deleted from the County e-mail systems until they have been saved onto an acceptable medium that meets national standards for permanent record retention like any other form of public record pursuant to Larimer County Retention Schedules (reference E). Public record emails, as with all public records, should not be altered in any manner. Anyone requesting such public e-mails shall pay a reasonable fee for the actual time spent by the department designee in searching and reviewing the public records directory and for the cost of copying such e-mails. C.R.S. 24-72-203 (reference F), also states that the custodian shall, within three working days, make the records available for inspection or provide written notice of extenuating circumstances to the person requesting the information as to the length of time that will be needed to compile the information (but in no case shall the time exceed 7 calendar days). The department designee may receive a Public Records Request form (enclosure 1) from the individual making the request. V. E-MAIL RETENTION/DESTRUCTION: When E-mail is created or received by any governmental agency in pursuance of law or in connection with the transaction of public business, it is considered a record (refer to Section II, A, 1). A. E-mail records that fall under the above definition are to be treated like any other type of record that would carry retention for disposition (whether it is in an electronic or paper format).

340.2D pg. 8 B. The record category identification and content/subject of the e-mail can be researched in the Larimer County Retention Schedules (reference E) for the appropriate retention period and destruction timeframe. C. Permanent/Archival records are those records having legal, administrative or historical value that must be retained indefinitely. These records must be preserved in a medium that will be utilizable for future generations. Advances in policies, legislation, and technologies in this area are changing regularly. To date, there are no national standards for permanency of electronic medium on which e-mail is maintained; hence electronic medium is not considered acceptable for permanent record storage at this time. If or when standards for permanence of e-mail or electronic medium becomes a reality and that medium is judged permanent, this Policy and Procedure will be re-evaluated and appropriate changes will be made. Until that time, e-mail records appraised as permanent must be saved onto an acceptable medium that meets national standards for permanent record retention like any other form of public record pursuant to Larimer County Retention Schedules (reference E). Offices, Divisions and Departments of Larimer County are encouraged to work with the Records Systems Coordinator to determine the most appropriate storage medium and operational procedures in managing e-mail records. VI. E-MAIL ETIQUETTE: A. It is important to set the correct tone when sending an e-mail. It is recommended to use some common sense when writing an email to avoid mistakes or misunderstandings. Below are some recommended guidelines: 1. Take another look before sending your message. Read the message to avoid any misunderstandings. Double check for grammar or spelling errors. Keep the email short. Do not intimidate your recipient(s) with too much text. You may want to wait to complete the To box, until you have reread the message and it is exactly what you want it to say. 2. Punctuation matters; comma, colon, semicolon, and hyphen all exist for a reason. They make it easier to understand the intended meaning of the sentence or statement. 3. Writing in all Caps is like shouting to the recipient. Text in all upper case is significantly more difficult to read, and gives the perception of shouting. If you think typing in all one case is more convenient, consider using lower case only, because it seems to be more widely accepted than all caps. 4. Abbreviations and Acronyms usage can be quite rampant in e-mail. It is best to limit to some very common usage, such as FYI (for your information) or BTW (by the way). Beyond that, you run the risk of confusing your recipient. 5. Resize pictures, or compress larger files to handy proportions before including in the e-mail. You may have received an e-mail with pictures so large, they completely stood out from the rest of the e-mail. There are tools available on the County intranet to help resize picture files before including within the e-mail or attaching to the email.

340.2D pg. 9 6. Do not default to Reply to All. Have you ever seen someone Reply to all and make an embarrassing mistake? If you truly want to make a group reply, simply drop down the Reply button, and choose Reply to All. 7. Do let people know their mail has been received. Sometimes, e-mails get lost or caught up in spam filtering. Do send a quick note back, including an informal thank you, to acknowledge receipt even if no other reply is necessary. 8. Think twice before doing any Unauthorized forwarding of e-mails. You may have good intentions, and have a desire to maintain transparent operations within your department. The author of the original e-mail may not have given permission to forward their original content. The recipients of the forward may not want the email. It may also be necessary to clean up the e-mail before forwarding. Cleaning up the message before forwarding can rid a cluttered e-mail of unwanted and unnecessary characters, others e-mail addresses, and formatting marks. 9. Signatures and Personal Quotations: the signature is placed where you would normally sign off on a written letter, and is typically no more than 4 to 5 lines. A personal favorite quotation can sometimes accompany after the signature block, but should remain professional and short. You dont want the quotation to be longer than the text of the e-mail. 10. Save a Tree: any time you send out an e-mail to a group of people, it is common practice for a certain percentage of the group that would print the e-mail. One of the goals of email is to greatly reduce the use of paper. The current system has methods of moving and storing the e-mail to folders or labels and should be used to methodically store the important e-mails to your business function.

Frank Lancaster County Manager

S. Andrew Paratore Chief Information Officer, FITD Distribution: All County Departments and Elected Officials Records Management SOP Manual (original) DL/GV/vl

LARIMER COUNTY POLICIES AND PROCEDURES ADMINISTRATIVE POLICY AND PROCEDURE 351.4I SUBJECT: RECORDS RETENTION PROGRAM DATE: May 4, 2012 EFFECTIVE PERIOD: Until Superseded REVIEW SCHEDULE: Every three years in May, or as needed CANCELLATION: Administrative Policy and Procedure 351.4H (June 1, 2006)

ENCLOSURES: 1. Department File Inventory, LCIM-5 (10/98) (dept work aid) 2. Record Destruction Chart (03/11) REFERENCES: A. CRS 24-80-101 thru 110 (State Archives and Public Records) B. CRS 6-1-713 (Disposal of Personal Identifying information) C. CRS 24-71.3-112 (Retention of electronic records) D. Larimer County Retention Schedule E. Municipal Records Retention Schedule F. Administrative ITD Policy and Procedure 351.2/Record Center G. Administrative FITD Policy and Procedure 340.2/Electronic Mail H. Human Resources Policy and Procedure 331.2.17/Privacy and Security of Protected Health Information, Section X, B, 3 I. Administrative FITD Policy and Procedure 360.4/Courier, Section V J. Governing Policies Manual, 3.5.6 Asset Protection K. Records Management Inventory Application GAINRM L. Administrative Policy and Procedure 340.8/Computing Acceptable Use: Security M. Administrative Policy and Procedure 700.1/Discovery Preservation N. Administrative Policy and Procedure 700.2/Colorado Open Records Requests

PURPOSE: The purpose of this Policy is to provide consistent guidelines and practices for the storage, retrieval, and destruction of Larimer Countys paper and electronic records (reference A and reference J). And to provide County agencies with the recommended minimum length of time that all types of County government records (see Section III, A) must be retained by County employees/contractors in the interest of records control and maintenance. The Retention Schedules (reference D) should help to establish a systematic, standard procedure for the retention and disposal of records so that:

351.4I pg. 2 Records are retained for as long as necessary for legal, fiscal, and administrative needs; and as required by local, State, and Federal regulations. Records of enduring value are retained permanently for historical and other research purposes. Records and information no longer needed are properly disposed of.

SCOPE: This Policy and Procedure applies to all Offices, Divisions and Departments of the Larimer County government. RESPONSIBILITY: Records System Coordinator shall be responsible for the general administration and implementation of the Record Retention Program and will provide advisory services and training, as required, to all departments. In addition, Records Management Services is responsible for maintaining the inventory in the Records Center inventory tracking application (reference K) and alerting department custodians when records have reached the end of their retention periods; obtaining destruction approval for eligible records; and maintaining records relating to the retention and destruction. Records Management Services will conduct periodic random audits of departmental records to ensure compliance these Policies and Procedures. Elected Officials and Appointed Authorities shall ensure compliance with this Policy and Procedure within their organization. Elected Officials and Appointed Authorities shall make every effort to identify business emails that could be interpreted as Public Record (reference N) and place copies of these records in the designated folders of P:\Pubdata (see Section III). Departmental Records Liaisons are responsible for coordinating activities for the management of all records and data and ensuring departmental compliance relating to the retention and ultimate disposition of information within their departments. County employees and contractors who create records during the course of business shall be responsible for compliance with the Retention Schedule and for maintaining department records according to the minimum required retentions stated on the Schedules (reference D). Employees and contractors must also ensure that their electronic records are organized in a manner that makes them easily identified for archiving, when inactive, by transferring record(s) to the Electronic Document Management (EDM) System; destroying/purging when obsolete; and placing a legal hold when required (see Specific Requirement 1). NOTE: The Colorado State Archives has created, researched and assured approval of the Larimer County Record Retention Schedule (reference D) for use by all Counties in the State of Colorado according to State Statutes (reference A). SPECIFIC REQUIREMENTS: 1. No Record shall be destroyed under this Policy and Procedure so long as it pertains to ANY pending legal case, claim, action, or audit (Section VIII, B and C; reference M). 2. Records shall remain in the physical custody of the originating department, and shall not be removed unless authorized for the purpose of conducting departmental business.

351.4I pg. 3 3. Records shall only be removed from physical custody of the originating department for the purpose of retention and storage in the Records Center (reference F) or destroyed/transferred after electronic storage in the Electronic Document Management (EDM) System. The exception to this clause is when the record is transferred to another governmental entity (i.e. annexation of a township from unincorporated Larimer County). 4. Business records that are not identified and defined on the Retention Schedule (reference D) are considered Unscheduled Records and cannot be disposed of or transferred until such time that they have been scheduled. 5. Department review of the Retention Schedules will occur as needed. REVISION LOCATOR: 1. Enclosure 2 2. References L, M, and N (added) 3. Purpose 4. Responsibility 5. Specific Requirements 3 6. Specific Requirements 4 (added) 7. All Sections revised

POLICY AND PROCEDURE: I. GENERAL POLICY: A. Larimer County must have centralized policies and department procedures for the: 1) proper storage, 2) retrieval for future electronic use (reference C), and 3) ultimate destruction of electronic data and documents (any form of media). Business information is critical to the operation of Larimer County and as such must be controlled by processes that ensure that external or internal conditions or changes (e.g., organizational or staff changes, fire, natural disasters, etc.) do not interfere with Larimer Countys ability to locate, retrieve, and utilize this information. B. All official record and working copies of paper (see Section III, A for more information), electronic records, and other forms of media created by Larimer County offices or its contractors must follow the same retention periods as specified in Larimer Countys Records Retention Schedule (reference D). Retention and destruction of paper, electronic records, and other forms of media must be carried out according to the established Policy below and in the due course of business in order to avoid legal penalties should they be required for litigation (reference M) or public records request (references A and N). Inconsistent, selective and inaccurate destruction of records may be viewed by legal entities as a deliberate attempt to obstruct justice or conceal harmful information.

351.4I pg. 4 II. DEFINITIONS: A. Record Definition: Record means any letter, word, sound, picture, number, or its equivalent, set down by handwriting, typewriting, printing, photographing, magnetic impulse, mechanical, or electronic recording of forms of data compilation as outlined by Records Types/Categories in Section III, A. The term Record is applied to any and all information assets of the organization. During its existence, information can become a record by being identified as documenting a business transaction or as satisfying a business need. B. Retention Schedule Function: FITD Business Administration/Records Management, through the process of retention/disposition, uses retention schedules as an official guideline that is approved and authorized by the Colorado State Archives and Larimer County. All County employees and contractors are required to abide by these schedules. Each retention period is the required/legal minimum for the record series. C. E-Mail: E-mail is a communications tool, and is not intended to be retained for longterm. E-mail created or received, in the course of business, in pursuance of law or in connection with the transaction of public business, may be classified as a record (reference G). The content/topic of the E-mail justifies the classification as a record. Email records that are classified under the categories (Section III, A) are to be treated like any other type of record that would carry retention for disposition. Once classified, it is recommended to maintain the record as an electronic document or you may transfer to any other format such as paper. 1. Retention: There is no blanket retention for e-mails. The retention is dependant on the subject/content of the e-mail record (reference G and Section III, A). You must transfer the content of the email to another form outside of the email application. It may be necessary to capture the properties of the email (author, time/date, and recipients) to ensure the integrity of the record classification. If identified as a Public Record, please refer to Responsibilities Section for Elected Officials and Appointed Authorities. D. Voice Mail: Telephone voice mail is a communications method, and is not intended to be retained for long-term. Voice mail messages received should be noted, and if determined as an official business record for retention purposes, the message may be transcribed to an electronic file or saved as a digital sound .wav or .mp3 file and stored as an electronic file for record keeping purposes. E. Electronic Records: Records containing machine-readable information that consists of character-coded electronic signals that can be processed and read only by the use of computers. The content of the data (text files, data files, audio, or image files) justifies the classification of a single record or belonging to a series/group of documents creating the entire record (reference C).

351.4I pg. 5 Note: this definition does not apply to versioning of software, general statistical programs, or SQL retrieval logic, under the assumption that control of program code should be separate from electronic data and documents and shall be performed via the validation chain process for all system changes (e.g., software and hardware upgrades). 1. Electronic Records may include ESI (electronically stored information). Including records identified above and Network-based System records identified below; ESI includes voicemail, instant and text messaging, wikis, blogs, RSS feeds, data on PDAs and Smartphones, data on cellphones, video conferencing, webcasting, and external hard drives (flash, zip, thumb, jazz, ipods). Please contact Systems Administration for questions regarding ESI. F. Archive: Storage of official record copy or working copies (if deemed necessary for support value) of electronic data or documents to magnetic, optical, or other appropriate long term storage media for a prescribed retention period, and with the intention that the information is not in active use. G. Backup: A snapshot of the system which is created for restoration purposes in the event of a disaster or a special departmental restoration request. Backups are created and destroyed (recycled) according to an established schedule with Systems Administration. H. Network-based System Records: Data or records created in computer applications that are used, administered and maintained by multiple people, departments, and/or divisions and reside on various platforms. Records created in various software applications that are used, administered and maintained by employees and contractors and reside on computer servers. I. Databases: Databases or applications identified as a database is a tool or resource that aids in reporting type documents. Databases populate a document or application, therefore the document becomes the official record (i.e. payroll, ERP, indexes, etc). An example would be that a Payroll report is the official record copy, not the database that populates the report. J. External Online Data Storage services (i.e., Google Applications, ADP HR Services), also known as Cloud Computing: Cloud Computing is the delivery of computing as a service rather than a product, whereby shared resources, software, and information are provided to computers and other devices as a utility over a network (typically the Internet). K. Secure Disposal: For all forms of media shredding, mulching, erasing, or otherwise modifying the information or data to make it unreadable or undecipherable through any means. L. Custodian Department: The department creating the record is generally the custodian of that record. Except in the case of a transactional record created for the purpose of an entity wide system application (ex: Accounts Payable or Receivables, Purchase Orders, Fixed Assets, Payroll, etc.). After a transactional record is created and authorized, it

351.4I pg. 6 becomes the property of that particular department that manages the County wide application (ex: Financial Services). Once a record becomes property of a different department than that which created it, the record is a duplicate or departmental copy (see Section III, A, 9). M. Non-Business and/or Personal Records: All files created for personal use, such as recipes, personal correspondence, music, pictures, movies, etc. All nonbusiness/personal electronic records must be stored on a computers local drive (C:) at all times. Non-business files will be removed from the County servers on a regular basis with no recovery process offered to restore any personal files at any time. If you so choose to back up personal files from the C Drive, it must be done on personal time and with personally purchased CDs or flash drives. III. RECORDS CREATED IN THE COURSE OF COUNTY BUSINESS: Whether a record (any type) is brief, long, partial, or complete; if it is created in the course of County business and can be used as a reference to County business, it falls under the Larimer County Retention Schedules. A. RECORD TYPES/CATEGORIES: The time period for a record (paper, audio/video, CD, microfilm, electronic file, e-mail, etc.) to be retained will depend on which category the document is in. Most documents fall under one of the following definitions: 1. Non-Record: Of no operating value to the County; i.e. lunch appointment, reminder, most telephone messages, basic non-business e-mail, etc. 2. Working Record: This may also be known as Working Project Files or Drafts. While a file/project is in the mode of creation, review, and revisions; it is considered a Working File. There may be many brief/partial/incomplete parts that make up a working file. These types of data or documents are generally utilized for analysis or for informational purposes. It is not considered an Official record for classification purposes until Complete or Final. See Naming Conventions, Section VII, C. 3. Transaction - Billing, request for payment, requisition, purchase order, work order, etc.; may possibly include supporting documentation for this transactional type record. 4. Administrative - General correspondence, administrative reports, inter-departmental functions, etc. The usefulness of a record in the conduct of the organizations business and/or evidence of business transactions thereof. 5. Legal - Litigation, claims, contracts, agreements, resolutions, etc. 6. Research Projects - Studies, narratives, reports of long-term value for the organization, etc.

351.4I pg. 7 7. Historical - Records serving as evidence for research of long-term value: Examples of documents that are considered to have long-term value include (but are not limited to): originals of projects, statistical and narrative studies, surveys and reports, journals, ledgers and registers, minutes, budgets and certain personnel records. 8. Vital Records that are fundamental to the functioning of the organization and necessary to continue business operations without delay under abnormal conditions, such as a natural disaster. 9. Duplicate or Convenience Copies Extra copies of any of the above categories created or received solely for ease of use or reference. NOTE: There are exceptions to the above categories and to assure accurate retentions and destruction, be sure to check the classification schedules. IV. RECORDS INVENTORY AND ACCESSIBILITY: A. DOCUMENT COLLECTION: All records created in the course of County business (Section III), are gathered in a variety of methods. They may be collected in a department network system, filing system, or notebooks/binders. Records may also be collected in any manner for departmental use, and then the official record copy may be transferred to another department, agency, or entity; or captured in an electronic transaction system. All personnel information transferred to Human Resources shall follow the procedures as outlined in Section V of Administrative Policy and Procedure 360.4 (reference I). B. RECORDS INVENTORY: The Record Liaison or other department staff (may involve the Records System Coordinator) should perform a systematic examination of all department records at the beginning of each year to ascertain if records are ready for destruction, off-site storage, or transfer to an electronic document management system. 1. As a 'work aid' in the department, it is recommended that each department maintain a record inventory, using the Department File Inventory (enclosure 1). The Inventory should be updated for each new record series that comes into existence and for any record files or categories that have been updated or changed. 2. Once the inventory has been classified according the Retention Schedules (reference D), the department may use the Destruction Chart (enclosure 2) as an aid in determining the records life term. 3. The department may also use the section on Naming Conventions (Section VII, C) as a work aid to determine electronic record classifications and retention. 4. A report will be generated on a quarterly basis from Systems Administrators and provided to Appointed Authorities (or Business Analysts) to aid in determining electronic records classifications for business use and the retention of such records.

351.4I pg. 8 See Section VII, C, 3. Upon approval from designated authority, files will be archived and/or removed from network servers. C. ACCESS OF RECORDS: The department Record Liaison and other department staff shall determine which of the three basic types of 'access frequency' may apply to departmental records. A decision needs to be made to determine if records are ready for destruction according to retention; and if not, whether they should retire records to inactive storage (FITD Records Center (reference F) or other off-site storage) or be managed by one of the methods outlined below. This determination may apply to files transferred to Human Resources or other departments via Courier (reference I). Inactive - sporadic or no reference or off-line (should be purged) Semi-Active - referenced every few months or work in progress or near-line/off-line (off-line could be time sensitive for retrieval purposes) Active - any record used as a reference on a regular basis, i.e. weekly, monthly or on-line (accessed at any time)

1. Active paper records should be retained in the department. Active e-records will be maintained on County network servers. Active records that are scanned and placed in the Electronic Document Management System are treated like any other e-record, and acquires the retention lifecycle tied to the proper classification. The paper record is then destroyed. 2. Semi-active records should be stored off-site if possible or in the FITD Records Center, and semi-active e-records will be held on near-line storage for time sensitive retrieval and restoration to on-line directory. 3. Inactive records should be stored off-site (FITD Records Center or department offsite storage), if possible. Many inactive records are scanned and placed into the Electronic Document Management System (EDMS). Any record classified with long-term value should be indexed and placed into the EDMS. (Call Support Central to place a request to add new document classes to the Document Management System.) Inactive e-records may be compressed and placed into an archive directory. When paper records are sent to the Record Center for inactive storage, the liaison will use the Records Management Application (reference K) to enter the files. The Retention Code (with Title and Description) is available for use. If the record is not listed on any of the schedules in the application, contact the Records System Coordinator. NOTE: See Section VIII for processes regarding Destruction and Disposition of all records. V. RETENTION SCHEDULE USE: The schedules are an official guideline for the retention and destruction of all department records (regardless of media form), including records

351.4I pg. 9 stored off-site. Schedules are available on the Countys intranet bulletin board under the County tab. A. SCHEDULE STRUCTURE: The Retention Schedule (reference D) is organized by function rather than by office of record origin. A General Records Schedule is included, which lists records that are common throughout the County. There may be listings for certain record series that are located under the General Records Schedule as well as under a particular function where additional specificity or clarification seems helpful. 1. Each schedule is set up alphabetically: the general record categories and individual records are listed under main categories for easier reference. 2. Most individual record categories have a description of the types of documents included. 3. Each listing includes the minimum legal retention period; as authorized by State of Colorado Archives (reference A) for that record series. B. RECORD SERIES SEARCH: 1. A content search can be made either from the Table of Contents page or if searching an individual schedule from the Edit/Find function in the Title Bar Menu. 2. When you do a search, use generic terminology for the subject of your record (i.e. agreement, billing, computer, etc). You may be more specific in search terminology to narrow the amount of matches. Use the best-fit descriptive schedule for your purpose. If there are multiple listings for the purpose, it is recommended to use the longest retention period for that category. 3. Contact FITD Business Administration/Records Management if you have difficulty finding a retention listing for your records. 4. On the State Archives website, there is a Municipal Records Retention Schedule (reference E) that has been adopted by many Townships and City municipalities. If a retention period cannot be determined for your departmental record series, you may reference the Municipal Schedule. However, you must contact FITD/Records Management before initiation of any schedule/retention recommendation found on the Municipal Records Retention Schedule. This is not the official adopted schedule of Larimer County. C. DUPLICATE RECORD COPIES: This pertains to the authoritative original record copy, except where specifically noted. Duplicate copies or copies kept by more than one agency are generally recommended to have retention of 1 year + the current year or until no longer needed, whichever is longer. VI. SCHEDULE CHANGE/ADDITION:

351.4I pg. 10 A. Department review of the Retention Schedules will occur as needed. If a discrepancy is found or you have additional description information, contact FITD/Records Management. The recommendations can be made at any time during the year. The Records System Coordinator will contact the Colorado State Archives with the recommendations for change or addition to the schedules. VII. GUIDELINES FOR MANAGING ELECTRONIC RECORDS: A. Summary: Electronic records and data are kept in an active computing environment over the period of time that the information is needed for analysis, summarizing, active information purposes, and internal or external auditing. At the end of this active period, if further retention is required, electronic records and data must be archived to an appropriate archive media or system. During its entire life cycle, electronic information must maintain readability. Systems Administration personnel will ensure data migration from system to system when applicable. Files must be saved in a format that is capable of being retrieved in a validated state. This may be accomplished by: 1) saving files in a format that is not dependent on the software or hardware that the files were generated in; 2) converting and validating files when there is a software or hardware change or when it is required; and 3) addressing readability issues by validation testing of data migration. B. Storage and Protection: Staff should develop and implement departmental procedures for physically accessing electronic documents and protect documents from unauthorized access and alteration of information. Systems Administration has policies and processes in place to protect information and data on shared network servers. Good security practices include using passwords to gain access to electronic workspace, locking keyboards, or turning computers off when absent (reference L). Apply careful work habits to protect electronic information from physical hazards. Keep magnets well away from electronic media and equipment. A magnet could reorganize, and therefore destroy, the information stored on the magnetic media. However, when electronic information seems to be lost due to corruption or damage, it can often be recovered using utilities programs. Electronic information stored on disks, CDs, or DVDs have a limited life expectancy. This relates to the life expectancy of the storage medium and the ability of software to read documents created using an earlier version of software or a different software altogether. Check readability of electronic information regularly and transfer data to new storage media as required. C. Naming Conventions: Departments should set up standard conventions for naming the directories and the files stored under the directories. There are many benefits to establishing conventions for directory and file names.

351.4I pg. 11 Documents can be easily and quickly located in your own as well as someone elses workspace, in shared workspace, on diskettes/CDs, on backup systems, in off-site storage, etc. Since adopting naming conventions allows employees to recognize documents that others may have filed, they can be re-used, and duplicating work is avoided. The file name can be used to distinguish final version from drafts. Documents with the same name cannot be stored in the same directory.

Naming Convention Standards (documents that remain on network servers): 1. DRAFT: the word Draft should be placed somewhere in the name of any document while in draft or working form. See Section III, A, 2 Working Records. 2. FINAL: the word Final should be placed somewhere in the name of any document that is approved by the Board of Commissioners, County Manager, or Senior Management Team. See Section III, A, 2 Working Records. 3. Reports are generated on a quarterly basis from Systems Administration based on a non-accessed date rule of 2 years (see Section IV, B, 3). Reports may contain the directory path, the name, last access date, file type and size, metadata (author, creation date), and may contain the network user-id information. NOTE: A directory or folder path may be exempt from directory scanning activities for reporting purposes. Authorization from the department Business Analyst must be obtained prior to exemption. D. EDMS: Standards for moving documents into the Document Management System: 1. Business Requirements must be submitted to the Imaging Support Team via a request through Support Central. Analysis, building, and testing of the business requirements for documentation will commence. Index values (including document types) will be built into the Document Class per the request. An analysis sheet (questionnaire) may be provided to the requesting department to aid in the analysis. 2. Once the Document Class is tested and approved, tools will be in place to capture and release the file with index values to the Document Management System. NOTE: See Section VIII, D, 4 & 5 regarding archiving and destruction information for electronic records. VIII. RECORD DISPOSITION: The Record Liaison or other department staff may destroy or transfer records throughout the year, provided the record has met the proper retention period. It is recommended to schedule destruction annually (preferably in the first quarter) for larger quantities or regular series groupings. Each department, as custodian, is responsible for the appropriate destruction of their records (both in the department and any departmental off-site) according to the retentions on specific schedules. The Records System Coordinator shall be responsible for records disposition within the FITD/Records Center (see Section VIII, D, 1). Please refer to the Record Destruction Chart (enclosure 2) to aid in the destruction analysis.

351.4I pg. 12 A. PERSONAL INFORMATION POLICY: Larimer County requires that certain documents be disposed of in a safe and secure manner (reference B). Employee Protected Health Information (PHI) falls under Human Resources Policy and Procedure 331.2.17 (reference H). This Policy applies whether the document is in paper or electronic form. These personal information documents include (but are not limited to): All documents containing social security numbers; personal identification numbers, birth date, home address, medical information, system passwords/pass-codes; passport numbers; security/background data; employer, student, government, or military identification numbers; or financial transaction information (i.e. cancelled checks, credit/debit card numbers). All consumer reports or documents derived from consumer reports. Examples include credit reports, motor vehicle records, and criminal background screens when obtained through a background screening service.

If in paper form and the criteria above apply, the documents must be shredded by placing in secured marked bins intended for shredding. If in electronic form, the documents and/or data must be rendered unreadable, undecipherable, and unrecoverable. If you are uncertain whether a document falls under this disposal policy, assume that it does and follow this policy, rather than assuming it does not. To avoid possible issues of confidential information being obtained before destruction, all employees who come into contact with such information should practice the following precautionary measures: Collect personal identifying information only when necessary. Limit access to information to only those who have a business related need to know. Develop security procedures in order to store, maintain, use, and disclose information. Instruct employees to keep sensitive papers off desks and keeping documents with personal identifying information locked in cabinets.

Departments are responsible for identifying their areas that may contain personal identifying information and taking appropriate action. Please refer to your Department Head or Appointed Authority for further information on your departments procedures regarding confidential material. B. LEGAL RESPONSIBILITIES: Employees and Contractors must be aware that the retentions listed for all records are the minimum required retention, as authorized by the State of Colorado Archives (reference A). NOTE: If there is any request to produce documents for legal litigation or process; a HOLD request for records will apply. This will delay the disposition process for all records requested (Specific Requirements #1, reference M).

351.4I pg. 13

C. LEGALLY REQUIRED SUSPENSION OF RECORDS DESTRUCTION: This provision outlines the Policy of Larimer County to retain all documents related to any impending or active governmental investigation; or threatened or pending litigation. This should include a departmental procedure for issuing a records-hold notification to all employees who might have access to records that are related to the proceeding and to suspend any potential destruction of records subject to the hold. This includes records in electronic form and backup materials. Refer to Administrative Policy and Procedure 700.1 Discovery Preservation for more information (reference M). 1. All types of records (see Section III), created in the course of business, can be used in a court of law. Records are evidence of the departments transactions and should follow the appropriate retention schedule to avoid potential issues involving litigation. D. RECORDS DESTRUCTION: All records will be destroyed in a safe and secure manner. Individual departments and Elected Offices are required to establish internal processes for this disposal. FITD Business Administration and Facilities Support Services will assist departments and offices in identifying and implementing appropriate options. Departments and Elected Offices may choose to be responsible for their own record destruction (by shredding or other means), provided it is within the guidelines set forth in this Policy and Procedure regarding confidentiality and provided the department/elected office adheres to any other guidelines set forth by Larimer County. 1. All paper records, whether classified as confidential/protected information or daily/routine information must be destroyed. For example, in the FITD Records Center, paper records are destroyed by shredding. The Facilities Division has a contractual agreement with a third party vendor to appropriately destroy all paper documents collected by Larimer County. Either by shredding common paper products or by locking and then shredding all confidential material. Also, individual departments and elected offices may inquire on other available media destruction services available by contacting Support Central. 2. Inactive e-records will be archived and removed from network directories (see #4 and #5 below). After a predetermined timeframe, archived electronic records shall be erased or otherwise modified to make it unreadable, undecipherable, or unrecoverable. 3. FITD/Record Center Destruction: If a record stored in the Record Center is due for destruction according to the Retention Schedule (reference D), it must be destroyed by FITD/Records Management. A Disposition Memo will be created within the first quarter of each year from the Records Management Application (reference K), specifying the inventory of boxes or folders scheduled for destruction. The Disposition Memo will contain all inventories, and must be signed by the Department Head or other Authorizing Signature before destruction will commence.

351.4I pg. 14 It is recommended that a review should be made of box or folder inventory lists before destruction. Records Management will maintain signed and dated Disposition Memos/Lists authorizing the destruction for each box of records destroyed for a period of 3 years after destruction. 4. Network Servers Archiving: Archiving of records housed on Larimer County file servers will follow policies determined by FITD Systems Administration. These policies will be driven by business need and network storage capacity. Currently files are removed on the (T) transfer folder on the LCEN_FS server after 60 days of inactivity on the file. 5. Server Archive Disposition: Servers replaced or otherwise removed from ITSM Inventory; and hard disk drives will follow FITD processes for destruction of data on disk drives. This process destroys the data and removes all previous pointers to data. Backup tapes and/or Archive tapes no longer readable by Larimer County tape drives will be destroyed. 6. External Online (Cloud) Storage Archiving/Disposition (see Section II, J for definition): Storage maintenance tasks such as backup, data replication, and procuring additional storage devices are the responsibility of the service provider.

Frank Lancaster County Manager

Mark Pfaffinger Interim Chief Information Officer

Vicki Lucero, CRM Records System Coordinator

Distribution: All County Department and Elected Officials Records Management SOP Manual (original)

351.4I pg. 15

VVL

LARIMER COUNTY POLICIES AND PROCEDURES

HUMAN RESOURCES POLICY AND PROCEDURE 331.8C

SUBJECT: CORRECTIVE AND ADVERSE ACTIONS; GRIEVANCE PROCEDURE; AND PROBLEM SOLVING PROCESS

DATE: September 29, 2009

EFFECTIVE PERIOD: Until Superseded

REVIEW SCHEDULE: Annual

CANCELLATION: Human Resources Policy and Procedure 331.8B, dated October 3, 2006

ENCLOSURE(S): None

REFERENCE(S): A. Human Resources Policy and Procedure, 331.9, Employee Development B. Human Resources Policy and Procedure, 331.7, Separation from County Service C. Human Resources Policy and Procedure, 331.4, Conditions of Employment D. Human Resources Policy and Procedure, 331.2, Limited Term Employee E. Governing Policy Manual: Policy 3.2 - Treatment of Staff F. Larimer County Policy BCC P# 15A, Sheriffs Department Personnel Policies G. Human Resources Policy and Procedure, 331.3, Classification and Positions H. Appointed Officials, Appendix A

PURPOSE: To establish a process to review employee performance and conduct and to review Adverse Actions.

SCOPE: This policy and procedure applies to all employees (reference E) of Larimer County and employees of the Office of the District Attorney, Eighth Judicial District, with the exception of employees of the Larimer County Sheriff's Office pursuant to Larimer County Policy BCC P# 15A (reference F).

RESPONSIBILITY: The Human Resources Director administers this policy.

SPECIFIC REQUIREMENTS:

REVISION LOCATOR: 1. References F through H (added) 2. Scope 3. Section III, C 4. Section IV (added) 5. Section VI, D 6. Section VII, B, 4, d 7. Section VII, B, 5, g 8. Section VIII, B, 3, a

POLICY AND PROCEDURE:

I.

GENERAL POLICY:

A. This Policy and Procedure provides a means for resolving issues arising from employee performance or conduct and from certain listed disagreements between an employee and Larimer County. This policy and procedure addresses four (4) topics:

1. Corrective Actions: actions to assist employees in correcting and/or improving conduct and behavior that is inconsistent with the expectations and standards

established by Larimer County. Corrective Actions do not result in the employee losing or having a reduction in pay or grade.

Adverse Actions: serious actions for performance and conduct that is inconsistent with the expectations and standards established by Larimer County. Adverse Actions result in the employee losing or having a reduction in pay or grade either through suspension without pay, demotion or dismissal (reference B).

3. Grievance Procedure: provides Regular, non-probationary employees a process to review Adverse Actions.

4. Problem Solving Process: provides all employees a process to address issues with certain work-related matters.

B. Larimer County Elected Officials and the Board of County Commissioners expressly authorize final decisions on grievable Adverse Actions as outlined in this policy and procedure.

C. As used throughout this policy and procedure, "Appointing Authority" refers to an Elected Official, Division Head or Department Head who makes the final decision on an Adverse Action.

D. When addressing either job performance or conduct deficiencies of Temporary employees, Regular employees, Limited Term Employees or Appointed Officials, Larimer County is not required to follow and employees have no right to expect any specific formal disciplinary, corrective or adverse action process. The County is authorized to impose Corrective Actions, Adverse Actions or other disciplinary or corrective actions depending on the specific circumstances.

II.

EMPLOYEE STATUS:

A. Temporary Employees: Employees in Temporary or seasonal positions remain employed with Larimer County at the mutual consent of the employee and the County (reference G). Either the employee or the County may end the employment relationship at will, with or without cause at any time and without following any Corrective or Adverse Action process.

B. Regular and Limited Term Employees:

1. For the purposes of this policy and procedure, Limited Term Employees have the same status and rights as Regular employees (references D and E).

2. Probationary: employees in Regular positions serve a probationary period in accordance with County policy (reference C). During the probationary period, these employees remain employed with Larimer County at the mutual consent of the employee and the County. Either the employee or the County may end the employment relationship at will, with or without cause at any time and without following any Corrective Action, Adverse Action or Grievance process. The County may unilaterally extend a probationary employee's probationary period. If the probationary period is extended, the employee remains in probationary status until specifically released from that status in writing by the Appointing Authority.

3. Post-probationary: once an employee in a Regular position successfully completes his/her probationary period, the County may not end the employment relationship without cause and he/she may use the Grievance process to review an Adverse Action.

C. Appointed Officials: Employees in Appointed positions as identified in County policy remain employed with Larimer County at the mutual consent of the employee and the County (references C, G, and H). Either the Appointed Official or the County may end the employment relationship at will, with or without cause at any time and without following any Adverse Action process.

D. Elected Officials: Elected Officials are elected by the citizens of Larimer County and are not covered by this policy and procedure.

III. EXPECTATIONS:

A. Larimer County expects all employees to conduct themselves in a manner that reflects favorably on County service and to meet or exceed reasonable expectations.

B. Managers and supervisors are expected to supervise employees to encourage employees to conduct themselves in a manner that reflects favorably on the County and to meet or exceed performance and conduct expectations. Managers and supervisors shall reasonably exercise their discretion in meeting this expectation.

C. The Human Resources Department is available for all employees to help achieve the highest levels of performance and to identify the appropriate tools to improve employee performance (reference A). The Countys Employee Assistance Program is one of the available tools for both employees and supervisors/managers.

IV.

BASIS FOR CORRECTIVE OR ADVERSE ACTIONS:

Employees may be subject to a Corrective or Adverse Action for performance reasons, for conduct reasons, or for both. The following are some examples of misconduct which could lead to a Corrective or Adverse Action. This is not a complete list and Corrective and Adverse Actions may be based on conduct reasons different from those listed below.

A. Deliberate or careless conduct endangering the safety or well being of employees or the public;

B. Negligent or willful damage or waste of County property and/or resources;

C. Refusal or failure to comply with a lawful order, instruction, law, regulation or County policy and procedure;

D. Inappropriate conduct toward fellow employees, the public, and/or others doing business with the County;

E. Unauthorized possession, consumption and/or being under the influence of alcohol and/or controlled substances, including the misuse of prescribed medication, while in a work status or on County property;

F. Misuse of leave, unexcused absence, tardiness, or excessive absenteeism;

G. Conviction of, admission to, or entering a plea of nolo contendre (no contest) to a charge of a serious crime;

H. Soliciting or accepting bribes in the course of County work or deliberate misuse of County funds or property;

I.

Misuse of and/or unauthorized disclosure of official and/or confidential information;

J.

Harassment and/or illegal discrimination;

K. Falsification and/or misrepresentation regarding County business or interests;

L. Unreported absence;

M. A reasonable belief by the Appointing Authority that an employee has committed or engaged in an act that is contrary to the interests of the County including, but not limited to, a serious criminal act;

N. A reasonable belief by the Appointing Authority that an employee has engaged in any lawful activity off the premises of the County during nonworking hours where restriction of the activity

1.

relates to a bona fide occupational requirement or is reasonably and rationally related to the employment activities and responsibilities of a particular employee or a particular group of employees, rather than to all employees of the County, or

2.

is necessary to avoid a conflict of interest with any responsibilities to the County or the appearance of such a conflict of interest.

V.

CORRECTIVE ACTIONS:

A. Corrective Actions are intended to provide a means for correcting certain employee performance and conduct. Corrective Actions may include a verbal coaching, written supervisory guidance, written performance improvement plan and performance evaluation narrative.

B. If an employee disagrees with a Corrective Action, he/she may use the Problem Solving Process, but not file a Grievance, under this policy and procedure.

VI.

ADVERSE ACTIONS:

A. Types of Adverse Actions:

1. suspension: the temporary placement of an employee in a non-pay, non-duty status;

2. involuntary demotion: the involuntary placement of an employee in a position with a lower grade and/or rate of pay for disciplinary reasons or

3. dismissal: the involuntary separation of an employee from County service (reference B).

B. An Adverse Action may be issued for job performance deficiencies or for employee misconduct.

C. Job Performance Based Adverse Actions:

1. Larimer County expects all employees to perform their jobs satisfactorily based on the reasonable expectations of their supervisors. All employees are required to comply with Larimer County's Employee Development policy, specifically the Performance Evaluation policy and procedure (Reference C).

2. If an employee's performance does not meet the reasonable expectations of his/her supervisor, the supervisor is required to exercise his/her discretion in taking reasonable action to ensure the employee(s) perform(s) at a satisfactory level.

3. All Adverse Actions for performance reasons must be reviewed in advance by the Human Resources Director, or designee.

4. Depending upon the circumstances, the Human Resources Director or designee may require a Pre-Adverse Action meeting for job performance reasons.

5. An employee who is issued an Adverse Action may file a Grievance.

D. Conduct Based Adverse Actions:

1. Larimer County expects all employees to conduct themselves in an acceptable manner. Managers and supervisors exercise significant discretion in supervising their employees and determining acceptable employee conduct. If an employee violates standards of acceptable behavior on the job or away from the job, an

Adverse Action may be imposed without notice except for the Pre-Adverse Action described below.

2. An Appointing Authority may take an Adverse Action against an employee if the Appointing Authority has a reasonable belief that an employee has engaged in any illegal activity on or off the job.

3. An Appointing Authority may take an Adverse Action against an employee if the Appointing Authority has a reasonable belief that an employee has engaged in any lawful activity off the premises of the County during nonworking hours where restriction of the activity

a. relates to a bona fide occupational requirement or is reasonably and rationally related to the employment activities and responsibilities of a particular employee or a particular group of employees, rather than to all employees of the County, or

b. is necessary to avoid a conflict of interest with any responsibilities to the County or the appearance of such a conflict of interest.

4. If an Appointing Authority has a reasonable belief that an employee should be subject to an Adverse Action pursuant to this section, the Appointing Authority will consult the Human Resources Director or designee prior to taking any action. After such consultation, the employee may be placed on immediate administrative leave. If circumstances do not permit advance consultation, the Appointing Authority may place an employee on administrative leave pending consultation with the Human Resources Director or designee.

5. The Appointing Authority, using his/her discretion may, after consultation with the Human Resources Director or designee, impose an Adverse Action. A Pre-Adverse Action meeting is required for Adverse Actions taken pursuant to this section.

6. An employee who is issued an Adverse Action pursuant to this section may file a Grievance.

E. Pre-Adverse Action Meeting:

1. The Appointing Authority will provide the employee with a written notice of:

a. the employee being subject to a possible Adverse Action, including the anticipated nature and seriousness of the Adverse Action, if appropriate;

b. the specific grounds for the possible Adverse Action including appropriate citation to any County policies or other law if applicable and

c. the time and place for a mandatory meeting between the Appointing Authority and the employee and the purpose for that meeting.

2. The pre-Adverse Action notice will be reviewed by the Human Resources Director or designee and the County Attorney's Office prior to being issued.

3. At the time the pre-Adverse Action notice referenced above is issued, the Appointing Authority may place the employee on administrative leave until a final decision is made. The Appointing Authority will consult with the Human Resources Director or designee about this decision.

4. The purpose of the pre-Adverse Action meeting is to allow the employee an opportunity to respond to the grounds for the proposed Adverse Action. The Human Resources Director or designee shall facilitate the meeting and record the meeting as he/she deems appropriate.

5. At the pre-Adverse Action meeting, the employee shall have an opportunity to respond to the matters presented in the pre-Adverse Action notice and/or present any additional or mitigating information that the employee believes is relevant to a determination regarding the pending Adverse Action. The employee may have representation at his/her expense at this meeting. If the employee is to be represented by an attorney, the employee will notify the Human Resources Director or designee prior to the meeting so the County Attorney may also attend.

6. After the meeting, the Appointing Authority will consider the information offered by the employee as well as all other information deemed relevant. The Appointing Authority will also determine whether any further information is needed. The Appointing Authority shall promptly gather additional information necessary to make a final determination. The Appointing Authority's final determination will be reviewed by the Human Resources Director or designee and the County Attorney's Office prior to issuance.

7. Within a reasonable time after the pre-Adverse Action meeting, the Appointing Authority shall render a written decision regarding the proposed Adverse Action. The written decision shall be promptly delivered to the employee in person or in a manner that will reasonably ensure and establish the employee's receipt. If an Adverse Action is taken, the written decision shall contain the following:

a. a statement of the grounds for the disciplinary action, including findings about the subject behavior, relevant dates, policy violated and any necessary credibility determinations;

b. a statement of the Adverse Action to be taken and an explanation of the level of seriousness;

c. the effective date of the Adverse Action;

d. a statement that the employee may grieve the Adverse Action and the time limit within which the employee may exercise the right to grieve the Adverse Action, including a specific reference to the County Grievance Procedure. A copy of this policy will be attached to the notice of decision; and

e. if the Adverse Action taken is dismissal from employment, the written decision will also contain information about such rights the employee may have, including benefits continuation.

VII. GRIEVANCE PROCEDURE:

A. Purpose:

1. The Grievance Procedure is a process under which an employee may seek review of the Adverse Actions of suspension, involuntary demotion or dismissal.

2. Pay rates, job classifications, performance evaluations and merit increases, corrective actions, reassignments or other actions that do not cause a pay reduction, suspension without pay, or dismissal are not grievable matters.

B. Procedure:

1. The Grievance must be in writing and filed with the Human Resources Director or designee and a copy must be sent to the Appointing Authority who issued the Adverse Action.

2. The Grievance must clearly state:

a. the factual, legal, and/or policy basis on which the employee objects to the Adverse Action and/or the grounds given by the Appointing Authority for the Adverse Action;

b. the remedy sought;

c. whether the employee requests an administrative hearing on the Grievance or a review by the Human Resources Director without a hearing;

d. if a hearing is requested, the employee must indicate whether the request is for a hearing open to the public and the reasons for such a hearing; and

e. if a hearing is not requested at the time a Grievance is filed, the employee's right to a hearing will be deemed voluntarily waived.

3. Time Period for Filing a. A Grievance must be filed within five (5) business days after the employees receipt of the written Adverse Action notice. If the employee fails to file the Grievance within this time period, the Grievance will be considered untimely and a voluntary waiver of the employee's Grievance rights. The filing of a Grievance will not delay or otherwise affect the effective date of the subject Adverse Action.

b. The untimely filing of a Grievance may be waived if the Human Resources Director finds good cause to extend the time period.

4. No Hearing Requested:

a. If the employee/Grievant requests review by the Human Resources Director without a hearing, the Human Resources Director, or designee, shall review the Grievance to determine whether sufficient grounds exist to find that the Appointing Authority's decision was reasonable and in compliance with these rules.

b. The Human Resources Director or designee shall review any and all information necessary for an appropriate review, including requesting additional information from the employee/Grievant and/or the Appointing Authority. Both the employee/Grievant and the Appointing Authority are required to cooperate in this process.

c. The Human Resources Director or designee shall issue a written decision within ten (10) business days from receipt of the Grievance. This time period may be extended by agreement of the employee/Grievant and the Appointing Authority. d. The Appointing Authoritys decision shall be presumed correct and the scope of the Human Resources Directors or designees review shall be limited to a review of the reasonableness of the Appointing Authoritys decision and compliance with these rules. The employee/Grievant shall have the burden of proof by a preponderance of the evidence as to any disputed issue of fact and overcoming the presumption of the reasonableness of the Appointing Authoritys decision. The Human Resources Director's or designee's written decision shall address all issues raised in the Grievance. If the decision is to reverse or modify the Appointing Authority's decision, the decision shall outline all actions the Appointing Authority must take in order to resolve the Grievance. If the decision is to affirm the Appointing Authority's decision, the decision must advise the employee that the decision is final.

5. Administrative Hearing Requested:

a. If the employee/Grievant requests a hearing, it will be conducted by a Hearing Officer appointed by the County Manager in consultation with the County Attorney and the Human Resources Director. In addition to any other qualifications deemed necessary or appropriate by the County Manager, the Hearing Officer will have experience in conducting administrative hearings and

preparing written decisions. The Hearing Officer is authorized to make all procedural decisions relative to pre-hearing matters and conduct of the hearing. The Human Resources Director or designee shall be available to the Hearing Officer to perform the administrative matters relative to the hearing.

b. The Hearing Officer will promptly schedule the administrative hearing, giving consideration to the complexity of the issues involved and the schedules of the participants. The Hearing Officer will make a good faith effort to schedule the hearing within twenty (20) business days after receipt of the Grievance. The participants shall be notified in writing of all matters regarding the hearing process.

c. The participants in the hearing process include the employee/Grievant, the employee's representative, if any, the Appointing Authority, the County Attorney or designee acting as the Appointing Authority's representative, and any other individual deemed necessary by the Hearing Officer.

d. The Human Resources Director or designee will be responsible for advising all participants, including the Hearing Officer, about the Grievance process and the applicable policies, procedures and rules.

e. The employee/Grievant and the Appointing Authority shall exchange exhibits and witness lists seven (7) business days prior to the hearing and rebuttal exhibits and witness lists three (3) business days prior to the hearing. The requesting party will be responsible for ensuring the appearance of an approved witness that is not a County employee.

f.

The procedures for the conduct of the hearing shall be informal and the rules of evidence and civil procedure shall not be strictly applied. All testimony shall be provided under oath. The Hearing Officer may receive or reject evidence and testimony and administer oaths. Witnesses and exhibits will be approved based

on their relevance to the issues raised in the Grievance and hearing efficiency. Hearsay shall be allowed. The hearing shall be closed to the public unless the employee/Grievant asks for an open hearing and the Appointing Authority agrees. If the Appointing Authority does not agree to a public hearing, the employee/Grievant may request the Hearing Officer to open the hearing to the public. The Hearing Officer will rule on that request after considering the interests of both parties. The hearing will last no more than one (1) business day, unless otherwise directed by the Hearing Officer.

g. Neither party is entitled to formal discovery. All appropriate County records pertaining to the employee and/or relevant to the issues raised in the Grievance shall be made available for the use of the Hearing Officer, the employee/Grievant, and the Appointing Authority. The Hearing Officer has no authority to issue subpoenas to compel the attendance of witnesses. If a witness who is not a County employee is unable or refuses to attend the hearing, the Hearing officer may accept a deposition, affidavit or an offer of proof and rebuttal offer of proof in lieu of testimony. The County will cooperate with the employee/Grievant to secure the attendance at the hearing of County employees whom the employee/Grievant reasonably lists as witnesses. If the County believes the County employee(s) listed as witnesses are not necessary or so numerous as to be burdensome and/or impractical, the County may request the Hearing Officer to review and decide the witnesses who will be required to attend. If the Hearing Officer determines that attendance of a County employee is necessary, the Hearing Officer may order the County employee to attend. This order shall be enforced by the appropriate Appointing Authority.

h. The scope of the hearing will be limited to a review of the reasonableness of the Appointing Authority's decision and the underlying facts. The employee/Grievant shall have the burden of proof by a preponderance of the evidence as to any disputed issue of fact and overcoming the presumption of the

reasonableness of the Appointing Authoritys decision. The employee/Grievant shall present his/her case first.

i.

At the hearing, the employee/Grievant may appear in person with or without representation. If the employee/Grievant chooses to have an attorney representative, that will be at the employee's expense. If the employee/Grievant chooses to be represented by an attorney, the employee must notify the Human Resources Director within five (5) business days after the filing of the Grievance. By entering an appearance on behalf of the employee or the County, each counsel agrees to be prepared to commence the hearing within the schedule set by the Hearing Officer and to proceed expeditiously once the hearing has begun.

j. The hearing will be electronically recorded as deemed appropriate by the Hearing Officer. Either the employee/Grievant or the Appointing Authority may request that the hearing be recorded and transcribed by a court reporter. The party requesting a court reporter shall be obligated to pay the reporter's fee. If the hearing is recorded by a court reporter, each party shall bear the cost of obtaining a transcript.

k. No later than ten (10) business days after the conclusion of the hearing, the Hearing Officer shall issue a two-part Decision consisting of:

1) findings of fact; and

2) a finding that affirms the Appointing Authority's decision, that modifies the Appointing Authority's decision by imposing a less severe Adverse Action, or that reverses the Appointing Authority's decision.

l. In no event may the decision impose a more severe Adverse Action than that imposed initially by the Appointing Authority.

m. If the Hearing Officer's decision is to reverse or modify the Appointing Authority's decision, the decision may provide for a less severe Adverse Action and/or an award of appropriate remedial measures. Such measures shall be limited to reinstatement of the employee/Grievant to the employee's former job or grade/pay, payment of back wages, and reinstatement of benefits.

n. The Hearing Officer's decision is final and not subject to further internal review or appeal. Review of the final decision may be requested under Rule 106 of the Colorado Rules of Civil Procedure by either party. The employee waives any de novo judicial review of the underlying issues.

VIII. PROBLEM SOLVING PROCESS:

A. Purpose:

The Problem Solving Process is one way an employee may air dissatisfaction with work-related matters other than Adverse Actions covered by the County's Grievance Procedure in this policy and procedure. This process is limited to issues over which the employee's Appointing Authority has control, such as Corrective Actions and work assignments.

B. Process:

1. The employee and the involved supervisor or Appointing Authority will consult with the Human Resources Director or designee to ensure compliance with the provisions of this policy and for assistance in reaching a solution.

2. Informal Problem Solving: If an employee has a question or concern about or an objection to a work-related matter over which the employee's Appointing Authority has control, the employee is encouraged to promptly discuss the matter with his/her

immediate supervisor or Appointing Authority. The supervisor or Appointing Authority is encouraged to listen to the employee's concerns or objections and appropriately respond. If this informal process does not satisfactorily resolve the issue, the employee has the right to file a Formal Problem Solving Request.

3. Formal Problem Solving Request:

a. The employee shall file the Formal Problem Solving Request in writing with her/his Appointing Authority or designee. If an employees immediate supervisor is a Department Head, then the Formal Problem Solving Request can be filed with the employees Division Head. No specific form is required.

b. The Formal Problem Solving Request must:

1) be identified as a Formal Problem Solving Request submitted under this policy and procedure;

2) identify the requesting employee;

3) specifically describe the problem or concern; and

4) state the remedy sought.

c. The Formal Problem Solving Request should be filed within thirty (30) calendar days from the action or decision that gave rise to the Problem Solving Request or the unsatisfactory resolution of the Informal Process.

d. The Appointing Authority or designee shall provide a copy of the Formal Problem Solving Request to the Human Resources Director or designee and shall consult with the Human Resources Director or designee about an appropriate response.

e. The Appointing Authority or designee shall meet with the employee within ten (10) business days from receipt of the Formal Problem Solving Request. The purpose of this meeting is for the employee and the Appointing Authority or designee to discuss the issues raised in the Formal Problem Solving Request and ensure both understand the issues and underlying facts.

f.

Within ten (10) business days from the Formal Problem Solving Request meeting, the Appointing Authority or designee shall again meet with the employee and provide him/her with a written decision in response to the Formal Problem Solving Request. Copies of the Appointing Authority's or designee's decision shall be given to the immediate supervisor, if applicable, and Human Resources for placement in the employee's personnel file. If applicable, the immediate supervisor will take all steps necessary to comply with the Appointing Authority's or designee's decision.

g. The Appointing Authority's or designee's decision on the Formal Problem Solving Request is final.

_______________________________________ Kathay Rennels Chair, Board of County Commissioners (Approved by BOCC Admin Matters 09/29/2009)

Distribution: All County Department and Elected Officials Records Management SOP Manual (original)

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