11-1. Adverse Action Files
Case files and related records created in reviewing an adverse
action (corrective, disciplinary or non-disciplinary removal,
suspension, leave without pay, reduction in force) against the
employee. The file includes a copy of the proposed adverse action
with supporting papers; statements of witnesses; employee's
reply; hearing notices, reports, and decisions; reversal of
action; appeal of records, excluding letters of reprimand.
Retention
Record copy: Retain by agency for 6 years after case is
closed and then destroy.
Duplicate copies: Retain for 3 years and then destroy.
11-2. Agency Personnel Files for Permanent Employees
Complete work history of individual while employed by the State.
When an employee transfers to another state agency, the official
personnel file must be sent to the new agency. File should
include current information on performance evaluations (retain last 3 years),
performance plans, position description, career mobility
agreement, insurance benefits notification, job swap agreement,
and overtime agreement where applicable. Also contains
application for employment, employees; social security card
(copy), notice of personnel action, human resource
profile/events, termination form, employment eligibility
verification form, Exit interview form, and new employee
orientation self-guide.
Retention
Record copy: Transfer to Department of Personnel and
microfilm or scan. Retain for 10 years
after retirement or separation of employee
and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-3. Agency Personnel Files for Temporary Employees
Copies of correspondence and forms maintained in the personnel
file of a temporary employee. This does not include personnel
records created for specific federal programs.
Retention
Record copy: Retain by agency for 5 years after
separation and then destroy.
Duplicate copies: Retain by agency for 5 year after separation
and then destroy.
11-4. Answers and Score Sheets
Tests taken by applicants who have met the minimum qualifications
for a state position.
Retention
Record copy: Retain as part of agency personnel file for
5 years.
Duplicate copies: Retain by agency until no longer needed and
then destroy.
11-5. Eligibility List
This is a listing of all applicants who after careful review of
their qualifications are then rated on their eligibility for a
state position.
Retention
Record copy: Retain as part of agency personnel file for
4 years and then destroy.
Duplicate copies: Retain for 1 year and then destroy.
11-6. Conflict of Interest Files
Letters from employees with part-time jobs, which state that
there is not a conflict of interest in the two vocations and work
performance will not suffer as a result of a second job.
Retention
Record copy: Retain for 5 years as part of agency
personnel file or until superseded and then
destroy.
Duplicate copies: Retain until superseded and then destroy.
11-7. Course Announcement Files (Training or Educational)
Reference files of pamphlets, notices, catalogs, and other
records that provide information on courses or programs offered
by government agencies or non-governmental organizations.
Retention
Record copy: Retain by agency until superseded or
obsolete and then destroy.
Duplicate copies: Retain until no longer needed and then
destroy.
11-8. Employee Assistance Files (C-SEAP)
Files which document employees who have sought assistance for
personal problems which could interfere with job performance.
Retention
Record copy: Retain by agency for 3 years after case is
closed and then destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-9. Employee Awards Files
Case files which document all employee awards, including
recommendations, approved nominations, memoranda, correspondence,
reports, and related handbooks pertaining to agency-sponsored
cash and non-cash awards. (Such as incentive awards within grade,
merit increases, suggestions, and outstanding performance) These
files may also document awards from other government agencies or
private organizations.
Retention
Record copy: Retain as part of agency personnel file for
3 years and then destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-10. Employee Record Cards (Cardex)
Employee cards used for information purposes outside personnel
offices.
Retention
Record copy: Retain by agency until separation or
transfer of employee and then destroy.
Duplicate copies: Retain by agency until separation or
transfer of employee and then destroy.
11-11. Employee Training Records
Correspondence, memoranda, reports and other records relating to
the availability and employee participation in training programs
sponsored by governmental agencies or non-governmental
institutions. This information may also be entered into the
Department of Personnel automated system.
Retention
Record copy: Retain as part of agency personnel file.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-12. Employment Applications (Not Hired)
Applications of those persons qualified to be listed on a
register but who were not selected as the candidate for
employment. If Department of Personnel has officially delegated a
particular state agency as the record copy office, then they
should retain these applications for three years.
Retention
Record copy: Retain by agency personnel office for 2
years from the date of rejection or making
of the record and then destroy.
Duplicate copies: Retain for 6 months and then destroy.
11-13. Equal Employment Opportunity/Affirmative Action Plans
Affirmative Action Plans (AAP) include both the agency copies of
consolidated AAP's developed by the DOP, and the agency feeder
plans which are used to develop a larger affirmative action
strategy.
Retention
Record copy: Permanent. Retain by Department of
Personnel and then transfer to the State
Archives.
Duplicate copies: Retain for 2 years and then destroy.
11-14. Equal Employment Opportunity Compliance Review Files
Review files containing background papers, etc., relating to
contractor employment practices.
Retention
Record copy: Retain by agency for 7 years and then
destroy.
Duplicate copies: Retain for 3 years and then destroy.
11-15. Equal Employment Opportunity Discrimination Complaint Case Files
Official complaint files containing complaints, related
correspondence, reports, exhibits, withdrawal notices, copies of
decisions, and other records.
Retention
Record copy: Retain by agency for 4 years after
resolution of case and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-16. Equal Employment Opportunity Statistics Files
Employment statistics relating to race and sex.
Retention
Record copy: Retain by Department of Personnel for 10
years and then destroy.
Duplicate copies: Retain by agency for 2 years and then
destroy.
11-17. Employees Performance Appraisals
Appraisals of performance, along with job elements and standards
(job expectations) upon which they are based, and supporting
documentation.
Retention
Record copy: Retain as part of agency personnel file.
Duplicate copies: Retain by agency until superseded and then
destroy.
11-18. Financial Disclosure Reports (SES)
Reports and related documents submitted by individuals as
required by their agency.
Retention
Record copy: Retain by agency for 5 years and then
destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-19. Grievance/Appeal Files
Records originating on the review of grievance and appeals raised
by agency employees, except EEO complaints. These case files
include statements of witnesses, reports of interviews and
hearings, examiner's findings and recommendations, exhibits, and
records relating to a reconsideration request.
Retention
Record copy: Retain by agency for 3 years after case is
closed and then destroy.
Duplicate copies: Retain for 3 years and then destroy.
11-20. Incentive Awards Program Reports
Reports pertaining to the operation of the incentive awards
program.
Retention
Record copy: Retain by agency for 1 year and then
destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-21. Individual Health Record Files
Record which contains such information as date of employee's
visit, diagnosis and treatment. Included are short term
disability and FMLA documentation
Retention
Record copy: Retain by agency for 6 years and then
destroy.
Duplicate copies: Retain by agency for 2 years and then
destroy.
11-22. Interview Records
Correspondence, reports, notes, and other records relating to
interviews with prospective employees.
Retention
Record copy: Retain by agency for 6 months after hiring
decision is made and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-23. Job Announcements (Vacancies)
Announcements concerning job openings in agencies. Information
includes title of position, salary or grade range, description of
job duties, closing date, and to whom applications should be
directed.
Retention
Record copy: Retain by agency for 2 years after position
is filled or announcement is superseded or
updated and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-24. Job Classifications
A listing of all job positions classified by the State Personnel
Department. Information includes position qualifications, pay
grades, and duties for positions in state service
Retention
Record copy: Retain by agency until termination of
position and then destroy.
Duplicate copy: Retain until administrative need ends and
then destroy.
11-25. Job Swap or Career Mobility Files
Case files of a state employee applying to change positions with
another employee in the state work force.
Retention
Record copy: Retain as part of agency personnel file.
Duplicate copies: Retain for 3 years and then destroy.
11-26. Labor-Management Relations Files
Labor-management relations general and case files. Includes
correspondence, memoranda, reports, and other records relating to
the relationship between management and employee associations or
other groups.
Retention
Record copy: Retain by agency for 5 years and then
destroy.
Duplicate copies: Retain until superseded and then destroy.
11-27. Leave Records
Records of the amount of leave earned and taken employees.
Information includes employee's name, type of leave (annual,
sick, other), service date, social security number, amount of
leave earned and charged, sick leave cap amount and leave
balances for the period covered.
Retention
Record copy: Retain by agency personnel office from the
date the sick leave cap was established.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-28. Leave Slips
Forms completed by agency employees to request time off from
work. Information includes employee's name, social security
number, type of leave number of days or hours requested, date
requested, and signatures of employee, supervisor and director.
Retention
Record copy: Retain by agency as part of the leave record
for 3 years and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-29. Length of Service and Sick Leave Files
Records include correspondence, memoranda, reports, computations
of service and sick leave. This information is entered into the
Department of Personnel automated personnel system (EMPL)
Retention
Record copy: Retain by agency as part of personnel file.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-30. Letters of Employee Commendation
Letters of employee commendations and appreciation, recognizing
length of service, retirement, or performance.
Retention
Record copy: Retain as part of agency personnel file.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-31. Log and Summary of Occupational Injuries and Illnesses
Record of work-related injuries, illnesses, and deaths.
Information includes case or file number, date of injury or onset
of illness, employee's name, occupation, department, description
of injury or illness, fatalities, non-fatal injuries, injuries
with lost workdays, injuries without lost workdays, and other
related information.
Retention
Record copy: Retained by the Colorado Compensation
Insurance Authority, Risk Management or workmen
compensation insurance carrier.
Duplicate copies: Retain by agency for 5 years and then
destroy.
11-32. Merit Employee Performance-Related Records (Human Services)
Records including summary performance appraisal records,
containing appraisals and the job elements and standards upon
which they are based; and any supporting documentation.
Retention
Record copy: Retain by agency as part of personnel file.
Duplicate copies: Retain for 1 year and then destroy.
11-33. Merit Promotion Case Files
Records relating to the promotion of an individual that document
qualification standards or the evaluation of candidates,
excluding any records that duplicate information in the promotion
plan or in other personnel records.
Retention
Record copy: Retain by agency as part of personnel file
for 2 years after the personnel action or
until the action has been audited by the
Department of Personnel, whichever is first,
and then destroy.
Duplicate copies: Retain for 1 year and then destroy.
11-34. Notice of Proposed Action for Unacceptable Employee Performance
As part of a merit employee appraisal of unacceptable
performance, a notice of proposed demotion or removal that is
issued but not effected.
Retention
Record copy: Retain by agency as part of personnel file
until decision is made to take no further
action and then destroy.
Duplicate copies: Retain for 3 years and then destroy.
11-35. Personal Injury Case Files
Forms, reports, correspondence and related medical and
investigative records regarding on-the-job injuries, whether or
not a claim for compensation was made. These case files exclude
copies of official reports filed in the agency personnel file and
submitted to the Division of Worker's Compensation.
Retention
Record copy: Retain by agency for 5 years and then
destroy.
Duplicate copies: Retain for 1 year and then destroy.
11-36. Personnel Operations Statistical Reports
These are statistical reports used to set the standards for the
operation of a personnel office or subordinate personnel office.
Retention
Record copy: Permanent. Retain by Department of Personnel
for 5 years and then transfer to State
Archives.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-37. Personnel Rules
Files which outlines policies and procedures to be followed in
the Department of Personnel and throughout state government.
Retention
Record copy: Permanent. Retain by Department of Personnel
until superseded and then transfer to State
Archives.
Duplicate copies: Retain by agency until superseded and then
destroy.
11-38. Position Change Requests and Authorizations
Documents used to create new positions, abolish old ones and
change existing state employee positions.
Retention
Record copy: Retain by agency personnel office for 4
years and then destroy.
Duplicate copies: Retain by agency for 3 years and then
destroy.
11-39. Position Classification Appeal Files
Case files relating to classification appeals.
Retention
Record copy: Permanent. Retain by Department of Personnel
for 3 years after case is closed and then
transfer to State Archives.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-40. Position Classification Inspection and Audit Files
Correspondence, memoranda, reports, and other records relating to
inspections, desk audits and evaluations of position
classifications.
Retention
Record copy: Retain by Department of Personnel for 4
years and then destroy.
Duplicate copies: Retain until obsolete or superseded and then
destroy.
11-41. Position Classification Standards Files
Standards and guidelines issued or reviewed by the Department of
Personnel and used to classify and evaluate positions within the
agency. These files also include memoranda, correspondence, and
other records relating to the development of standards for
classification of positions unique to the agency and Department
of Personnel.
Retention
Record copy: Retain by Department of Personnel until
superseded and then destroy.
Duplicate copies: Retain until superseded and then destroy.
11-42. Position Classification Survey Studies
Survey reports on various positions prepared by classification
specialists, including periodic reports.
Retention
Record copy: Retain by Department of Personnel for 4
years and then destroy.
Duplicate copies: Retain for 2 years and then destroy.
11-43. Position Descriptions (PDQ)
Files describing established positions including information on
title, series, grade, duties, and responsibilities. Also contains
Position Description Questionnaire.
Retention
Record copy: Retain by agency personnel office for 4
years or until revised and then destroy.
Duplicate copies: Retain until superseded or obsolete and then
destroy.
11-44. Recruitment Files
Correspondence, letters, telegrams, offering appointments to
potential employees. These files contain offers that are
declined. Those offers accepted will be maintained in the
employee personnel file.
Retention
Record copy: Retain by agency for 6 months after hiring
decision is made and then destroy.
Duplicate copies: Retain for 1 months after hiring decision is
made and then destroy.
11-45. Requests for Approval of Overtime
Requests for approval, which is required by the Department of
Personnel and Fair Labor Standards, for overtime compensation.
Retention
Record copy: Retain for 3 years and then destroy.
Duplicate copies: Retain for 1 year and then destroy.
11-46. Salary Survey
Survey reports on various positions prepared by classification
specialists. It compare salary ranges, benefits, education and
experience required.
Retention
Record copy: Retain by Department of Personnel for 3
years and then destroy.
Duplicate copies: Retain for 1 year and then destroy.
11-47. Standards of Conduct Files
Correspondence, memoranda, and other records relating to codes of
ethics and standards of conduct.
Retention
Record copy: Permanent.
Duplicate copies: Retain for 3 years and then destroy.
11-48. Time and Attendance Records (Part-Time Employees)
Records concerning time worked by part-time employees during a
pay period. Information includes employee's name, agency, social
security number, pay period, total time worked, employee'
signature, supervisor's signature, and director's signature.
Retention
Record copy: Retain by agency personnel office for 3
years and then destroy.
Duplicate copies: Retain until administrative need ends and
then destroy.
11-49. Training Aids
One copy of each syllabus, manual, textbook, and any other
training materials created by the agency.
Retention
Record copy: Retain by agency until superseded or
obsolete and then destroy.
Duplicate copies: Retain until superseded or obsolete and then
destroy.
11-50. Training Conference and Courses Files
General file of agency-sponsored training. Includes
correspondence, memoranda, agreements, authorizations, background
and work papers, reports requirements, reviews, plans, and
objectives relating to operation of training courses and
conferences.
Retention
Record copy: Retain by agency until superseded or
obsolete and then destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-51. Training Contracts
Contracts between state agencies and the Department of Personnel
to administer agreed upon training programs.
Retention
Record copy: Retain by Department of Personnel for 3
years after the end of contract and then
destroy.
Duplicate copies: Retain by agency for 1 year and then
destroy.
11-52. Verification of Employment Eligibility (I-9)
Employment documentation required to comply with the Immigration
Reform and Control Act, as amended.
Retention
Record copy: Retain 3 years after termination.
Duplicate copies: Retain for 1 year after termination and then
destroy.
last modified 8/1/2010