Contents

Adverse Action Files

• Captain and Lieutenant Testing Files
• Disciplinary Hearing Audio Tapes
• Disciplinary Hearing Orders
• Employee Educational Assistance Program Files
• Employee Medical Records
• Hearing Transcripts
• Leave Applications
• Performance Evaluation
• Performance Plan
• Personnel Files
• Retirement Reports
• Staff Schedules
• Time Sheets
• Risk Management 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

  Page Last Updated August 1, 2008