Utah Department of Administrative Services

Division of Archives & Records Service

Dept. of Corrections Schedule 1: Administrative Records

 

1-1. ASBESTOS ABATEMENT PROJECT BOOKS

Records documenting the removal of asbestos from state buildings by the Utah Correctional Industries' Asbestos Abatement Project crew. The books include check-off sheets, description of project, notifications, work logs, memos, area sign-in sheets, daily work sheets, training certifications, summary of respiratory equipment used, Material Safety Data Sheets, final reports, and waste disposal records.

RETENTION

Retain by agency for 30 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-2. AUDIT REPORTS

These files document internal audits conducted of all support services activities. These activities include library services, mental health services, religious services, the business office, the commissary, the hobby shops, and alcohol abuse treatment services. Information includes an introduction statement of concepts and audit methodologies, policies and procedures, working papers, findings and recommendations and the final report.

RETENTION

Permanent. May transfer to the State Archives with authority to weed.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-3. AUDIT WORK PAPERS

This files document internal audits conducted by Internal Audit Bureau. Files consist of memorandum, audit control files, audit working papers, drafts and final reports, follow-up papers, supporting documents, correspondence, staff notes, etc.

RETENTION

Retain for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Protected: UCA 63G-2-305 (15) (2008).

SUGGESTED SECONDARY CLASSIFICATION

Public: Final audit report UCA 63G-2-301 (2)(q) (2008)

Approved: 10/2000

1-4. CONTRACT FILES

These records are used to monitor and track the approval process for awarding contacts and document the contractor's performance. Includes the request for proposal, the proposal, the contract, amendments, correspondence, and review documents.

RETENTION

Retain for 6 years after contract ends and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-5. CORRESPONDENCE - ADMINISTRATIVE

Records of a general nature which would be created in the course of administering agency programs. Information could include office organization, staffing, procedures, and internal communications. Includes electronic mail that communicates the above.

RETENTION

Retain by agency for 2 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-6. CORRESPONDENCE - EXECUTIVE

Records not duplicated elsewhere that document how the office is organized and how it functions, its pattern of action, its policies, procedures and achievements. Includes electronic mail that communicates the above.

RETENTION

Permanent. Retain in agency for 5 years and then transfer to the State Archives with authority to weed.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-7. CORRESPONDENCE - GENERAL

Internal or external correspondence regarding general program information duplicated elsewhere, which does not include policy decisions or directives, how the office is organized, how it functions, its pattern of action, procedures, or achievements. Includes electronic mail that communicates the above.

RETENTION

Retain by agency for 3 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-8. CORRESPONDENCE - ROUTINE

Papers of short-term interest which have no documentary or evidential value. Includes transmittal correspondence, copies of replies which require no administrative action, no policy decision, and no special compilation or research for reply; and quasi-official notices such as for holidays, charity, and other similar papers. May include electronic mail if it contains the above.

RETENTION

Retain by agency for 3 months and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-9. DEATHS AT THE UTAH STATE PRISON

This file documents the deaths occurring at each facility. The file consists of cards containing the inmate name and number, date of death, circumstances surrounding the death, and type of death.

RETENTION

Permanent. May be transferred to the State Archives with authority to weed.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-10. DIETARY CASE STUDY FILES

These files are maintained by the dietician for statistical study of the effectiveness of the food services program. Includes memos, diet manuals, reference publications, dietary training materials and menus. May also contain weight charts and dietary plans for inmates identified as overweight.

RETENTION

Retain for 10 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 11/2000

1-11. DIETARY SERVICES RECORDS

These files are used to control the administration of food service activities at the facilities. Includes meal counts, menus, health inspections, food inventories, purchase records, and accounting records.

RETENTION

Retain for 3 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved:

1-12. ESCAPED INMATE CASE FILES

Case files used to generate warrants for arrest of escaped felons. Information includes correspondence regarding escapes, escape notifications, warrant for arrest, fingerprint cards, face sheet, rap sheet, commitment papers, statement of probable cause and documentation on the events surrounding the escape. After the case is closed the records are filed with the Investigative case files.

RETENTION

Retain until case is closed and then transfer to Investigative case file.

Approved: 10/2000

1-13. EXECUTION FILES

These files provide a history of executions at the prison. The files may contain news clippings, administrative memos, execution minutes, name of inmate, date of execution and inmate correspondence.

RETENTION

Permanent. May be transferred to the State Archives with authority to weed.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-14. EXPUNGEMENT FILES

A person who has been convicted of a crime may petition the court for an order to expunge records of arrest, investigation, detention, or conviction (UCA 77-40-103) (2010). To "expunge" means to seal or otherwise restrict access to records held by the agency that relate to the petitioner's arrest, criminal investigation, detention, and conviction (UCA 77-40-102 (7))(2010). A successful petitioner is responsible for distributing the court order to all affected agencies, so the agency may seal the records. An expunged record includes the sealed records along with the court order.

RETENTION

Retain until records meet the same retention that was required before they were expunged and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Exempt: UCA 77-40-109(6) (2010)

Approved: 12/2010

1-15. FOOD SERVICE INSPECTION REPORTS

These weekly reports identify the strenghts and weaknesses of each kitchen regarding safety, cleanliness, and compliance with operating procedures. Information includes date of report, facility, condition of the kitchen, and comments.

RETENTION

Retain for 3 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-16. GRAMA APPEAL CASE FILES

Case files that contain information on Government Records Access and Management Act (GRAMA) access appeals to the designated records officer, chief administrative officer, State Records Committee or District Court. May contain correspondence, copies of requests, research notes, court documents, and any other documentation concerning the appeal process.

RETENTION

Retain for 10 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-17. GRAMA FILES

These files document requests for records from the Department. The files may include correspondence, request form, working papers , and the response made. In the case of a denial the files will include documents relating to the appeal process. Information contained in the series includes the name of the requestor, date, address and phone number, and the records requested.

RETENTION

Retain for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public: Name of individual, nature of request, and the response..

SUGGESTED SECONDARY CLASSIFICATION

Private: Medical information

Controlled: Psychological data

Protected: Names of informants

Approved: 10/2000

1-18. INVESTIGATIVE CASE FILES

Case files consisting of investigative files gathered by the Department of Corrections. Information may include personal data, investigative reports, witness statements, law enforcement information, credit history, criminal history, taped/transcribed conversations, video taped activities, photographs, lab reports, evidence and any other information pertinent to the investigation.

RETENTION

Retain by agency for 10 years after case closes and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

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

Approved:

1-19. LOGS

This series serves as a reference for information received or maintained. Examples include the Radio call logs and the Investigative case file log. Information may include name of resident or employee, case number, file number, date, type of compliant or incident, name of investigator, etc.

RETENTION

Retain for 1 year provided administrative need has ended and no litigation is pending and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-20. MINUTES

These are the minutes of various committees and staff meetings held within the Department. Examples include staff meetings, Supervisor's meetings, Parole Staff, Director's meetings, Correctional Advisory Council and the Information Committee. The minutes may include the date and time of the meeting, the agenda, names of attendees, a summary of all matters proposed, discussed or decided and a record of any votes taken during the meeting. UCA 52-4-7(1) (1997) requires that written minutes be kept of all open meetings. Minutes are also required to be kept for all closed meetings in accordance with UCA 52-4-7 (2) (1997).

RETENTION

Record copy: Permanent. Retain in agency for 5 years and then transfer to the State Archives with authority to weed.

Duplicate copies: Retain by agency until administrative need ends. and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

SUGGESTED SECONDARY CLASSIFICATION

Private: UCA 52-4-7(2) 1997

Approved: 10/2000

1-21. MONTHLY PLANNING CALENDARS

These records are used to identify and notify the volunteers and part-time staff who perform religious services and individual counseling at the facilities. Information includes weekly work schedules, time of counseling sessions or religious services, and the name of the individual conducting the activity.

RETENTION

Retain for 1 year and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-22. PHOTOGRAPHS

Includes photographs documenting activities and special events held at or sponsored by the Department. This series does not include inmate ID photographs.

RETENTION

Permanent. May be transferred to the State Archives.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-23. POLICIES AND PROCEDURES

Policies and procedures that govern the operation and administration of various programs within the Department of Corrections. Topics may include offender treatement, prison security, employee training, etc. The series may contain post orders, special orders, directives, plans, reports, memorandum, forms, etc.

RETENTION

Permanent. Retain in agency until superseded and then transfer to the State Archives with authority to weed.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-24. PRODUCTION MANAGEMENT RECORDS

Records used to control the workload and quantity of work performed at Utah Correctional Industries. Series may include production schedules, monitoring reports, production quantities, and cost accounting reports.

RETENTION

Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-25. PUBLICATIONS

Documents created by the agency, including pamphlets, reports, leaflets, file manuals, annual reports, or other published or processed documents.

RETENTION

Permanent. May be transferred to the State Archives.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-26. REPORTS

Various reports created by the Department of Corrections. Examples include the Monthly management report, Utah Crime Conference report, annual reports, management information systems reports, reorganization reports, Salt Lake City jail population statistical report, research reports, etc.

RETENTION

Permanent. May be transferred to the State Archives.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-27. ROSTERS

This series consist of various rosters which are used to monitor activities related to the residents. Examples of the rosters are the Weekly resident roster, clean-up rosters, Daily rosters, and Alphabetical offender listing. Information may include resident's name, name and type of program enrolled in, work schedule, employer information, date of birth, type of supervision, name of parole officer, duty assigned, warnings/demerits received, etc.

RETENTION

Record copy: Retain for 2 years and then destroy. Duplicate copies: Retain for 3 months and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-28. RECORDS DISPOSITION FILES

Records which document the destruction of a governmental agency's records, such as destruction letters or destruction logs. May also contain documentation of records maintained and destroyed by the State Records Center.

RETENTION

Retain for 10 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 11/2000

1-29. RECORDS TRANSFER SHEETS

Descriptive listings of agency records transferred to the State Records Center. Information includes record series number, agency name and address, records officer name and signature, record series title, inclusive dates, description of box contents,and records center box location.

RETENTION

Retain for 5 years after records are destroyed and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-30. RESIDENT WORK ASSIGNMENT RECORDS

Documents the work assignments made by the staff to residents to perform standard cleaning routines in and around the facilities. Includes daily welfare inspection worksheets, room cleaning assignments, kitchen cleaning schedules, general facility cleanup assignments and living area cleanup schedules.

RETENTION

Retain for 1 year and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-31. SEX OFFENDER REGISTRATION CASE FILES

Records created under the authority of UCA 77-27-21.5 (1993) which requires the Department "to collect, analyze, and maintain information on sex offenders and sex offenses" and to make that information available to law enforcement agencies and to control "access to information gathered under this section." Information includes sex offenders profile form, sex-offender victim information form, and change of address form. After their legal retention period expires they are transferred to the Department's Intelligence files, where they are maintained for 1 year.

RETENTION

Retain by agency for 5 years after release and then transfer to Intelligence file.

SUGGESTED PRIMARY CLASSIFICATION

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

Approved: 10/2000

1-32. VOLUNTEERS' MOVEMENT AUTHORIZATION FILES

These records are used to document the authorization granted to a volunteer to move from one facility within the prison to another. Includes the date and times of movement, purpose of movement, name of the activity supervisor, name of volunteer and final destination of volunteer.

RETENTION

Retain for 5 years and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000

1-33. WEEKLY ACTIVITY SHEETS

These records list all of the activities occurring at each facility every week. They include schedules for events affecting staff and/or inmates. Information includes a weekly calendar showing the activity, date and time of the activity. May also include the menu for the week.

RETENTION

Retain for 1 month and then destroy.

SUGGESTED PRIMARY CLASSIFICATION

Public.

Approved: 10/2000