Utah Department of Administrative Services

Division of Archives & Records Service

Dept. of Corrections Schedule 1: Administrative Records

 

 

Asbestos Abatement Project Books (1-1)

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

 

Audit reports (1-2)

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

 

AUDIT WORK PAPERS (1-3)

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: Utah Code 63G-2-305 (15)(2008).

SUGGESTED SECONDARY CLASSIFICATION

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

Approved: 10/2000

 

CONTRACT FILES (1-4)

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

 

Correspondence - Administrative (1-5)

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

 

CORRESPONDENCE - EXECUTIVE (1-6)

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

 

CORRESPONDENCE - GENERAL (1-7)

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

 

CORRESPONDENCE - ROUTINE (1-8)

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

 

DEATHS AT THE UTAH STATE PRISON (1-9)

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

 

DIETARY CASE STUDY FILES (1-10)

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

 

DIETARY SERVICES RECORDS (1-11)

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:

 

ESCAPED INMATE CASE FILES (1-12)

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

 

EXECUTION FILES (1-13)

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

 

EXPUNGEMENT FILES (1-14)

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 (Utah Code 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 (Utah Code 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: Utah Code 77-40-109(6) (2010)

Approved: 12/10

 

FOOD SERVICE INSPECTION REPORTS (1-15)

These weekly reports identify the strengths 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

 

GRAMA Appeals Case Files (1-68)

These files document all appeals submitted to records appeals boards. These case files include requests, denials, appeals, decisions, and any other documentation concerning the appeals process.

Retention

Permanent. May be transferred to the State Archives.

Suggested Primary Classification

Public

Approved: 12/14

 

Information Governance Records (1-66)

Records used in establishing and implementing records management policies, practices, and procedures. Included are inventories, finding aids, and related information.

Retention

Retain until superseded or until the lifespan of the related record is met.

Suggested Primary Classification

Public.

Approved: 08/14

 

INVESTIGATIVE CASE FILES (1-18)

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: Utah Code 63G-2-305 (2008).

Approved:

 

LOGS (1-19)

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 and then destroy.

Suggested Primary Classification

Public.

Approved: 10/2000

 

MONTHLY PLANNING CALENDARS (1-21)

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

 

Open Meeting Minutes and Public Materials (1-59)

Approved minutes of an open meeting are the official record of the meeting of a public body. Contained in or with the minutes shall be the substance of all matters proposed, discussed or decided and votes taken (Utah Code 52-4-203(2014)). This includes the agenda, notices, and any public materials distributed at the meeting.

Retention

Permanent. May be transferred to the State Archives.

Suggested Primary Classification

Public.

Approved: 07/14

 

PHOTOGRAPHS (1-22)

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

 

Policy and Procedure Records (1-70)

These records are created by executive decision makers to document the dissemination of agency programs, policies and procedures. Executive decision makers may include the Director, Chief Administrative Officer, Public Information officer or other internal administrators as identified by the executive office.

Retention

Retain in office for 3 years and then transfer to the Archives.

Suggested Primary Classification

Public

Approved: 02/15

 

PRODUCTION MANAGEMENT RECORDS (1-24)

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

 

PUBLICATIONS (1-25)

Any record, regardless of format, that is issued by a governmental entity for public distribution at the total or partial expense of that governmental entity. See Utah Code Section 9-7-101 (8)(a)(b) (2010) and 9-7-208 (2006)

Retention

Transfer preservation copy(ies) to State Archives and access copy(ies) to the State Library.

Suggested Primary Classification

Public.

Approved: 10/13

 

REPORTS (1-26)

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

 

RESIDENT WORK ASSIGNMENT RECORDS (1-30)

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

 

ROSTERS (1-27)

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

Retain for 2 years and then destroy.

Suggested Primary Classification

Public.

Approved: 10/2000

 

SEX OFFENDER REGISTRATION CASE FILES (1-31)

Records created under the authority of Utah Code 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: Utah Code 63G-2-305 (2008).

Approved: 10/2000

 

VOLUNTEERS' MOVEMENT AUTHORIZATION FILES (1-32)

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

 

WEEKLY ACTIVITY SHEETS (1-33)

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