Utah Department of Administrative Services

Division of Archives & Records Service

Dept. of Corrections Schedule 7: Human Resource Records

 

7-1. ADVERSE ACTION FILES

Case files and related records created in reviewing an adverse action (disciplinary or non-disciplinary removal, suspension, leave without pay, reduction in force) against an employee. The file includes a copy of the proposed adverse action with supporting papers, statement of witnesses, employee's reply, hearing notices, reports, decisions, reversal of action and appeal of records, excluding letters of reprimand.

RETENTION

Retain by agency for 5 years after final action and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

Approved: 08/1999

7-2. CAPTAIN AND LIEUTENANT TESTING FILES

Provides a record of the employee testing for promotion to the rank of Captain or Lieutenant. Contains the answer and score sheets.

RETENTION

Retain by agency until records are made part of the candidate's personnel record.

SUGGESTED PRIMARY CLASSIFICATION

Private.

Approved: 08/1999

7-3. DISCIPLINARY HEARING AUDIO TAPES

Provides an audio tape recording of an employee's disciplinary hearing. The recordings may be transcribed and retained for 5 years.

RETENTION

Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

SUGGESTED SECONDARY CLASSIFICATION

Protected.

Approved: 08/1999

7-4. DISCIPLINARY HEARING ORDERS

Provides a record of the final decision and order issued by the executive director regarding an employee disciplinary hearing. Consists of the order, any recommendations of the Administrative Law Judge, reports, etc.

RETENTION

Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 08/1999

7-5. EMPLOYEE MEDICAL RECORDS

These files document employee medical history relating to job related medical incidents. The files may include bloodborn pathogen information as required by OSHA Bloodborn Pathogen regulations 29 CFR part 1910.1030, bloodborn pathogen exposure report, airborne pathogen exposure report, Worker's Compensation records, fitness for duty case files, suitability assessment files, drug testing records, and ADA related records.

RETENTION

Retain by agency for 30 years after termination or separation from employment and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

SUGGESTED SECONDARY CLASSIFICATION

Controlled: Psychological data

Protected: Fitness for Duty and Suitability Assessment

Approved: 08/1999

7-6. EMPLOYEE EDUCATIONAL ASSISTANCE PROGRAM FILES

These records document the educational assistance program which provides support to employees for professional development. Files may contain applications for assistance, letters of approval, memos, grades and warrant requests.

RETENTION

Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

Approved: 08/1999

7-7. HEARING TRANSCRIPTS

Provides a written record of an employee's disciplinary hearing.

RETENTION

Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

SUGGESTED SECONDARY CLASSIFICATION

Protected.

Approved: 08/1999

7-8. LEAVE APPLICATIONS

Applications for leave and supporting papers relating to request for and approval of employee leave.

RETENTION

Retain for 6 months and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

Approved: 08/1999

7-9. PERFORMANCE EVALUATION

Record of evaluation of compliance with performance plans agreed upon by the employee and supervisor.

RETENTION

Record copy: Retain by agency for 30 years after termination as part of the employee personnel file and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

Approved: 08/1999

7-10. PERFORMANCE PLAN

Record of performance understanding completed between the employee and their supervisor. The plan consists of time-frames, duties identified, yearly goals and expectations of the employee.

RETENTION

Record copy: Retain by agency for 30 years after termination as part of the employee personnel file and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 08/1999

7-11. PERSONNEL FILES

Complete work history for employees within the Department of Corrections. Information may include current performance evaluations, performance plans, position description, career mobility agreement, insurance benefits notification, job swap agreement, overtime agreement, application for employment, employee's social security card (copy), notice of personnel action, termination form, employment eligibility verification form, exit interview form, new employee orientation self-guide and retirement/deferred compensation plan notification. In addition files may contain completion of course certificates, letters of commendation, performance plans and evaluations and leave adjustment reports.

RETENTION

Retain by agency for 30 years after retirement or separation of employee and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private: UCA 63G-2-302 (1)(e).

SUGGESTED SECONDARY CLASSIFICATION

Public: UCA 63G-2-301 (1)(b)

Approved: 08/1999

7-12. RETIREMENT REPORTS

Documents employee benefits due at retirement.

RETENTION

Retain for 1 year and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Private.

SUGGESTED SECONDARY CLASSIFICATION

Public.

Approved: 08/1999

7-13. STAFF SCHEDULES

These files document the work schedules for correctional personnel within each section. The schedules are prepared monthly and weekly and are used to verify time sheets. Information includes date, shift leader's name, staff on duty during the respective shift, and the position assigned to each employee.

RETENTION

Retain by agency for 6 months and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 08/1999

7-14. TIME SHEETS

Provides a record of employee time sheets, including flextime attendance reports, supplemental time and attendance records, such as sign-in/sign-out sheets and work reports that are used for time accounting under flextime schedules.

RETENTION

Retain for 3 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

SUGGESTED SECONDARY CLASSIFICATION

Private: Social Security Number

Approved: 08/1999

7-15. RISK MANAGEMENT RECORDS

Case files for Department of Corrections employee related Risk Management Investigations. May include accident reports, statements from the employee, medical records, etc.

RETENTION

Retain by agency for 30 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Protected: UCA 63G-2-305 (24) (2008).

SUGGESTED SECONDARY CLASSIFICATION

Private: Social security number, home address, home phone, medical data.

Controlled: UCA 63G-2-304 (2008)

Approved: 04/2000