Dept. of Corrections Schedule 7: Human Resource Records

 

 

Adverse Action Files (UDC 7-1)

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.

Approved: 08/1999

 

Captain and Lieutenant Testing Files (UDC 7-2)

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.

Approved: 08/1999

 

Disciplinary Hearing Audio Tapes (UDC 7-3)

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.

Approved: 08/1999

 

Disciplinary Hearing Orders (UDC 7-4)

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.

Approved: 08/1999

 

Employee Educational Assistance Program Files (UDC 7-5)

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.

Approved: 08/1999

 

Employee Medical Records (UDC 7-6)

These files document employee medical history relating to job related medical incidents. The files may include bloodborne pathogen information as required by OSHA Bloodborne Pathogen regulations 29 CFR part 1910.1030, bloodborne 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.

Approved: 08/1999

 

Hearing Transcripts (UDC 7-7)

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

Retention

Retain by agency for 5 years and then destroy.

Approved: 08/1999

 

Leave Applications (UDC 7-8)

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

Retention

Retain for 6 months and then destroy.

Approved: 08/1999

 

Performance Evaluation (UDC 7-9)

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

Retention

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

Approved: 08/1999

 

Performance Plan (UDC 7-10)

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

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

Approved: 08/1999

 

Personnel Files (UDC 7-11)

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.

Approved: 08/1999

 

Retirement Reports (UDC 7-12)

Documents employee benefits due at retirement.

Retention

Retain for 1 year and then destroy.

Approved: 08/1999

 

Risk Management Records (UDC 7-13)

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.

Approved: 04/2000

 

Staff Schedules (UDC 7-14)

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.

Approved: 08/1999

 

Time Sheets (UDC 7-15)

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.

Approved: 08/1999

↑ to top

Page Last Updated April 17, 2017 .