Utah Department of Administrative Services

Division of Archives & Records Service

Municipal Schedule 9 Personnel Records

 

Contents (or view active schedules only)

 

***ADVERSE ACTION FILES (Item 9-16) OBSOLETE

Please refer to the state schedule for Grievance Records, SG 11-64.

 

COURSE ANNOUNCEMENT FILES (Item 9-33)

These are informational files on municipal employee training opportunities. They are used for reference purposes. They include pamphlets, notices, catalogs, and other records that provide information on courses or programs offered to municipal employees by government agencies or non-governmental organizations.

Retention

Retain until superseded or obsolete and then destroy.

Suggested Primary Designation

Public.

(Approved 11/96)

 

COURT ORDERED COMMUNITY SERVICE FILES (Item 9-17)

These files document participation in court ordered community service projects. A district, circuit, or juvenile court may order the completion of a specific number of hours of community service in lieu of a jail term or payment of a fine. The files include an introduction form from the court which contains name, number of hours of community service ordered to perform, by what date, and any expectations; a copy of the court order; and a time sheet showing how many hours have been completed. The court having jurisdiction of the case retains the record copy of these records.

Retention

Retain for 1 year after completion of community service and then destroy.

Suggested Primary Designation

Public.

Suggested Secondary Designation

Exempt:Rule 4-202.03(10) (2008) CJA

(Approved 11/96)

 

DRUG TEST NEGATIVE RESULTS (Item 9-42)

This screening test is used as a pre-employment screen, post accident screen, and for random screening of employees, the results of which are found to be negative. The records contain the name, date, type of test, substance for which the medical facility tested and test results.

Retention

Retain by office for 1 year and then destroy.

Suggested Primary Designation

Private:UCA 63G-2-302.

(Approved 04/06)

 

DRUG TEST POSITIVE RESULTS (Item 9-41)

This screening test is used as a pre-employment screen, post accident screen, and for random screening of employees. If test is positive employment offer is withdrawn or disciplinary action is taken for employees. The records contain the name, date, type of test, substance for which the medical facility tested and test results.

Retention

Retain by office for 5 years and then destroy provided it is transferred to personnel file if disciplinary action is taken.

Suggested Primary Designation

Private:UCA 63G-2-302.

(Approved 04/06)

 

***ELIGIBILITY CERTIFICATES (Item 9-2) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***ELIGIBILITY REGISTER (Item 9-4) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

EMERGENCY AND OTHER PERSONAL LEAVE FILES (Item 9-5)

These records show the name of employee, dates of absence, explanation of emergency, signature of employee taking emergency leave, and signature of supervisor.

Retention

Retain for 4 years and then destroy.

Suggested Primary Designation

Private:UCA 63G-2-302(1)(b) (2008).

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 12/97)

 

***EMPLOYEE HISTORY CARD (Item 9-6) OBSOLETE

Please refer to the state schedule for Employment History Records, SG 11-62, or Performance Plans & Evaluations, SG 11-63.

 

EMPLOYEE TRAINING FILES (Item 9-18)

These files document course availability and municipal employee participation in training programs sponsored by the municipality, other government agencies, and non-governmental institutions. They include correspondence, reports, participant lists, and other items. The actual training certificates and transcripts are filed in individual personnel files.

Retention

Retain for 6 years and then destroy.

Suggested Primary Designation

Public.

(Approved 06/97)

 

***EMPLOYEE WARNING FILES (Item 9-19) OBSOLETE

Please refer to the state schedule for Complaint Investigation Files, SG 11-66.

 

***EMPLOYMENT APPLICATIONS (HIRED) (Item 9-1) OBSOLETE

Please refer to the state schedule for Employment History Records, SG 11-62, or Performance Plans & Evaluations, SG 11-63.

 

***EMPLOYMENT APPLICATIONS (NOT HIRED) (Item 9-20) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***EMPLOYMENT ELIGIBILITY RECORDS (I-9) (Item 9-34) OBSOLETE

Please refer to the state schedule for Employment History Records, SG 11-62.

 

Employment Health Records (Item 9-37)

Employee health records can include but are not limited to such things as Family Medical Leave documentation, psychological profiles, doctor's notes for absences, long and short term disability documentation, documentation of disability accommodations, workers' compensation information, x-rays, hypertension screenings, blood series, pre-employment physicals, medical histories and etc. The records are used to limit liability in deployment of workers, to establish the health status of potential employees, and to limit the effect of occupation related diseases or to modify conditions that might limit an employee's ability to perform assigned duties.

Retention

Retain for 65 years from date of employment or 3 years after retirement or death, whichever is earliest, and then destroy.

Suggested Primary Designation

Private.

(Approved 03/98)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) COMPLIANCE CASE FILES (Item 9-21)

These are compliance files containing background papers and correspondence relating to contractor employment practices.

Retention

Retain for 3 years and then destroy.

Suggested Primary Designation

Public.

(Approved 11/96)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) DISCRIMINATION COMPLAINT CASE FILES (Item 9-8)

These files document official discrimination complaints received and resolved by the municipality. The files contain complaints, related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other records as described in 29 CFR 1613.222 (1992).

Retention

Retain for 4 years after resolution of case and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 03/88)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) PROGRAM FILES (Item 9-22)

These files document the adoption and administration of municipal affirmative action programs under the Civil Rights Act of 1964 and the Equal Employment Opportunity Act of 1972. The files include program correspondence, program plans, reports, and may include anti-discrimination committee meeting records and reports.

Retention

Permanent. May be transferred to the State Archives.

Suggested Primary Designation

Public.

(Approved 06/97)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) REPORTS (Item 9-35)

These reports are required to be filed with the Equal Employment Opportunity Commission (EEOC) in accordance with the provisions of Title VII and the Americans with Disabilities Act (ADA) (29 CFR 1602 (1992)). They include statistical information on employees hired, rehired, and terminated.

Retention

Retain for 2 years and then destroy.

Suggested Primary Designation

Public.

(Approved 12/97)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) STATISTICS FILES (Item 9-23)

These files contain employment statistics and statistical reports relating to race and gender.

Retention

Permanent. May be transferred to the State Archives.

Suggested Primary Designation

Public.

(Approved 11/96)

 

EXEMPT EMPLOYEE PERFORMANCE-RELATED RECORDS (Item 9-7)

These files document the performance of exempt employees. They may include performance records superseded through an administrative, judicial, or quasi-judicial procedure; performance appraisals along with job elements and standards upon which they are based; and supporting documentation.

Retention

Retain for 5 years after date of appraisal and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 12/97)

 

Experience Works Program Files (Item 9-24)

These files document the municipality's participation in the Green Thumb Program. This is a program designed to improve the economic and social conditions of older citizens and rural communities by providing essential community services through promoting the employment and training of older Americans. The Green Thumb Program is sponsored by the National Farmer's Union and is funded by the U.S. Department of Labor. Participants are low income persons 55 years and older who work an average of 20 to 24 hours per week. The files include time cards, Green Thumb employment form, performance review forms, enrollee job description, work schedule, medical examination form, memoranda, surveys, and related correspondence.

Retention

Retain for 3 years after final expenditure report submitted and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 11/96)

 

***GRIEVANCE AND DISCIPLINARY FILES (Item 9-9) OBSOLETE

Please refer to the state schedule for Grievance Records, SG 11-64.

 

***INTERVIEW RECORDS (Item 9-25) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***JOB OPENING FILES (Item 9-10) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

LABOR-MANAGEMENT RELATIONS FILES (Item 9-26)

These files document the relationship between municipal management and employee unions or associations. They include correspondence, memoranda, and reports.

Retention

Retain for 5 years and then destroy.

Suggested Primary Designation

Public.

(Approved 11/96)

 

***MERIT EMPLOYEE PERFORMANCE-RELATED RECORDS (Item 9-27) OBSOLETE

Please refer to the state schedule for Performance Plans and Evaluations, SG 11-63.

 

***MUNICIPAL OFFICERS' AND EMPLOYEES' ETHICS ACT RECORDS (Item 9-36) OBSOLETE

Please refer to the state schedule for Complaint Investigation Files, SG 11-66.

 

***PERSONAL INJURY FILES (Item 9-11) OBSOLETE

Please refer to the state schedule for Worker's Compensation Files. SG 11-35

 

***PERSONNEL FILES (Item 9-12) OBSOLETE

Please refer to the state schedule for Employment History Records, SG 11-62, or Performance Plans & Evaluations, SG 11-63.

 

***PERSONNEL REQUISITION AND ANALYSIS FILES (Item 9-28) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***POSITION DESCRIPTION FILES (Item 9-13) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***POSITION SURVEY FILES (Item 9-14) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

***PRE-EMPLOYMENT TESTS (Item 9-38) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

PROMOTIONAL TESTS (Item 9-39)

These are tests taken by municipal employees to determine eligibility for promotion. They include the actual tests, answer keys, individual test scores, and the results from oral interviews.

Retention

Retain for 2 years and then destroy.

Suggested Primary Designation

Protected.

Suggested Secondary Designation

Private:name and score

(Approved 11/96)

 

QUARTERLY WAGE LIST REPORTS (Item 9-29)

These are reports submitted quarterly to the State Department of Employment Security. They include the quarterly wage list (the name and address of employer, registration number, quarter ending date, employee social security number, name of employee, hire date of new employees, and total wages for quarter, the reimbursable employment, payrolls, and new hires report form (name and address of organization, non-insured workers, individual amount for the first, second, third and fourth quarters, insured workers' names; telephone number, and department of person completing form)).

Retention

Retain for 3 years and then destroy.

Suggested Primary Designation

Private.

(Approved 06/97)

 

***RECRUITMENT FILES (Item 9-30) OBSOLETE

Please refer to the state schedule for Staff Acquisition Records, SG 11-61.

 

SALARY SURVEYS (Item 9-40)

These are salary survey reports on various municipal positions. They are used to compare salary ranges, benefits, education, and required experience. They include positions, grades, salaries, benefits, education, and experience.

Retention

Retain for 3 years and then destroy.

Suggested Primary Designation

Public.

Suggested Secondary Designation

Private:UCA 63G-2-302 (2008)

(Approved 11/96)

 

SUMMER YOUTH PROGRAM FILES (Item 9-31)

These files document participation in the summer youth program. The summer youth program provides employment with government agencies for youth between the ages of fourteen and eighteen. The files include time cards, copies of labor training/modification form, employment applications, and related correspondence.

Retention

Retain for 3 years after termination of employment and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 12/97)

 

TEACHING AIDS TRAINING RECORDS (Item 9-15)

These are records of teaching aids which include manuals, syllabi, textbooks, and other training aids developed by the agency.

Retention

Permanent. Retain training aids created by agency; retain training aids from other agencies or private institutions until obsolete or superseded and then destroy.

Suggested Primary Designation

Public.

(Approved 11/96)

 

TEMPORARY EMPLOYEES PERSONNEL FILES (Item 9-32)

These are files maintained on temporary employees who were not provided benefits by the municipality. They include copies of correspondence and employment forms. They do not include personnel records created for specific federal programs.

Retention

Retain for 1 year after separation and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-301(1)(b) (2008)

(Approved 11/96)