Utah Department of Administrative Services

Division of Archives & Records Service

Municipal Schedule 9 Personnel Records

 

Contents

 

ADVERSE ACTION FILES (Item 9-16)

These are case files and related records created in reviewing an adverse action (disciplinary or nondisciplinary removal, suspension, leave without pay, or reduction in force) against an 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; and a record of appeals, excluding letters of reprimand which are normally filed in the official personnel files.

RETENTION

Retain for 3 years after case is closed and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 11/96)

 

COMPREHENSIVE EMPLOYMENT AND TRAINING ACT (CETA) PERSONNEL FILES (Item 9-3)

These personnel files contain information on all persons (full-time, part-time, and temporary employees) hired through federally funded CETA programs. These employees were not later hired as full-time regular municipal employees (20 CFR 678 (1990)). CETA is an obsolete federally funded employment program.

RETENTION

Retain for 5 years from the date of enrollment and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 03/88)

 

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Retain until superseded or obsolete and then destroy.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)

These are certificates of eligibility with related requests, forms, correspondence, and statement of reasons for passing over a "preference eligible" and selecting a "non-preference eligible."

RETENTION

Retain for 4 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

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

SUGGESTED SECONDARY DESIGNATION

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

(Approved 03/88)

 

ELIGIBILITY REGISTER (Item 9-4)

This a a register of persons identified as qualified (eligible) to fill specific municipal positions. The municipality hires from this register.

RETENTION

Retain for 2 years after expiration of eligibility and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 06/97)

 

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)

These cards provide a summary of individual employee municipal employment. They are used exclusively for easy reference. The cards include the employee's name, date service began, social security number, birth date, health certificates and dates, work experience, salaries, and special assignments.

RETENTION

Retain for 7 years after separation or 2 years after retirement and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 11/96)

 

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)

These are unacceptable performance appraisals where a notice of proposed demotion or removal is issued but not effected, along with all related documents.

RETENTION

Retain for 2 years after employee completes an acceptable performance review from the date of the written notice of proposed removal or reduction in grade and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 06/97)

 

EMPLOYMENT APPLICATIONS (HIRED) (Item 9-1)

These are application forms completed by persons seeking municipal employment who were subsequently hired. They include the name, address, and telephone number of the applicant, employment history, education, and a list of references. This should be filed in the Personnel file.

RETENTION

Retain in Personnel file.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 03/88)

 

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

These are application forms completed by persons seeking municipal employment who were not hired. They include the name, address, and telephone number of the applicant, employment history, education, and a list of references.

RETENTION

Retain for 2 years after application deadline and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 06/97)

 

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

This form is required by the U.S. Immigration and Naturalization Service to be completed by all employers when hiring, when recruiting for a fee, or when continuing to employ individuals in accordance with 8 CFR 274a.2 (1993)). It is used to verify the prospective employee is a U.S. citizen, resident alien, or legal immigrant eligible to be hired in the United States.

RETENTION

Retain for 3 years after date of hire or 1 year after date the individual's employment is terminated, whichever is longer (8 CFR 274a.2 (1993)) and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 12/97)

 

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)

 

GREEN THUMB 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)

These files document the review of grievances and appeals raised by municipal employees, except EEO complaints. These case files include witnesses' statements, reports of interviews; and hearings, examiner's findings, recommendations and exhibits; and records relating to a reconsideration request.

RETENTION

Retain for 3 years after case is closed and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private:unsubstantiated.

SUGGESTED SECONDARY DESIGNATION

Public:substantiated (UCA 63G-2-301(2)(o) (2008))

(Approved 03/88)

 

INTERVIEW RECORDS (Item 9-25)

These are records described in 29 CFR 1602.14 (1992) relating to interviews with prospective employees. They include correspondence, reports, lists of questions, notes, and test scores.

RETENTION

Retain for 2 years after hiring decision is made and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 06/97)

 

JOB OPENING FILES (Item 9-10)

These files contain a listing of all current municipal job openings with job descriptions.

RETENTION

Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 03/88)

 

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)

These are performance-related records pertaining to summary performance appraisal, including appraisals and job element standards upon which they are based; and any supporting documentation.

RETENTION

Retain for 3 years after date of appraisal and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 06/97)

 

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

These records are legal/disclosure forms and council disclosure forms used by elected or appointed municipal officials to disclose any actual or potential conflict of interest in accordance with UCA 10-3-1302 through 10-3-1312 (1997) (Municipal Officers' and Employees' Ethics Act). The disclosures are made to the mayor. Includes personal benefits, special privileges or compensation received for assisting any person or business in transactions involving the city; disclosure of any officer, director, or agent employee of a substantial interest in a business entity regulated by or doing business with the city; and any personal interest or investment which creates a conflict between public duties and personal interest.

RETENTION

Retain for 10 years after termination of municipal employment/appointment and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 11/96)

 

***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)

These files are the official employment files for all municipal employees and usually include the original employment application, correspondence, credential files, letters of commendation, pay and leave history, work performance, training certificates, and evaluation forms.

RETENTION

Retain for 65 years from date of employment or 3 years after retirement or death, whichever is earliest, and destroy (UCA 49-11-602 (2004)).

SUGGESTED PRIMARY DESIGNATION

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

SUGGESTED SECONDARY DESIGNATION

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

(Approved 07/04)

 

PERSONNEL REQUISITION AND ANALYSIS FILES (Item 9-28)

These forms are used by municipal departments to fill vacant positions and to request new positions. The forms include position title, whether exempt or nonexempt, grade, step, classification, part or full-time, replacement or new position, reasons for replacement, requesting department, whether municipal employees will be considered for position, educational requirements, specialized training and experience required, and a section to be completed if requesting new positions (special functions, how those functions are currently being performed, why position is required, and signature of department head or elected official).

RETENTION

Retain for 5 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 11/96)

 

POSITION DESCRIPTION FILES (Item 9-13)

These files describe established positions including information on title, grade, duties, and agency responsibilities.

RETENTION

Retain for 5 years after position is abolished or description is superseded and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 03/88)

 

POSITION SURVEY FILES (Item 9-14)

These are survey reports on various positions prepared by classification specialists determining accuracy of position description, grade, and salary. They may also include periodic reports.

RETENTION

Retain for 3 years or until position is resurveyed, whichever occurs first and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 03/88)

 

PRE-EMPLOYMENT HEALTH RECORDS (Item 9-37)

These health records document pre-employment physicals for municipal positions which provide the baseline health data on municipal employees who qualified for the specific positions, particularly for police department and fire department positions. These records are used to limit liability in deployment of workers, to establish the health status of potential workers, and to limit the effect of occupational related diseases and conditions that might limit an employee's ability to perform assigned duties. These records include chest and back x-rays, hypertension screenings, blood series, and medical histories.

RETENTION

Retain for 30 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 11/96)

 

PRE-EMPLOYMENT TESTS (Item 9-38)

These examinations are required of applicants for specific municipal positions. They include date, position tested for, employee name, social security number, the actual test questions and applicant's answers, and scores.

RETENTION

Retain for 3 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected.

SUGGESTED SECONDARY DESIGNATION

Private:applicant's name and score

(Approved 11/96)

 

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)

These files document the offering of municipal positions to potential employees. These files contain job offers which were declined. The accepted offers are maintained in individual personnel files.

RETENTION

Retain for 2 years after hiring decision is made and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/97)

 

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)