Utah Department of Administrative Services

Division of Archives & Records Service

State Agency Schedule 11 Human Resource Records

 

ADVERSE ACTION FILES (Item 11-1)

Case files and related records created in reviewing an adverse action (disciplinary or non-disciplinary separation, suspension 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; and appeal of records.

RETENTION

Record copy: Retain by agency for 5 years or until case is resolved, whichever is greater and then destroy.

Duplicate copies: Retain for 5 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected.

SUGGESTED SECONDARY DESIGNATION

Private.

(Approved 02/06)

AMERICANS WITH DISABILITIES ACT (ADA) REQUESTS FOR ACCOMMODATION (Item 11-58)

Requests made by an employee for disability accommodations. Information includes medical data about the requestor, accommodations made, denials, appeals, and any other information about accommodation requests from applicants, employees, and volunteers.

RETENTION

Record copy:

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

SUGGESTED PRIMARY DESIGNATION

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

(Approved 06/97)

CONFLICT OF INTEREST FILES (Item 11-6)

Conflict of interest documentation concerning any employment or activity outside State of Utah employment that may or may not present a conflict of interest.

RETENTION

Record copy: Retain until reviewed and place in agency personnel file.

Duplicate copies: Retain until superseded and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

Public:UCA_63G-2-301_(1)(b)_(2008)

(Approved 10/01)

DRUG TEST NEGATIVE RESULTS (Item 11-56)

Records of employee drug or alcohol tests, the results of which were found to be negative. Information may include the identity of the person performing the test and the date and location of the test.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 1 year and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

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

(Approved 06/96)

DRUG TEST POSITIVE RESULTS (Item 11-55)

Records of employee drug or alcohol tests which were found to be positive and any records that demonstrate rehabilitation. Information may include the functions performed by each employee who failed the test, the prohibited drugs used, the disposition of the employees (e.g. separation or rehabilitation), the person or entity performing the test, and the date and location of test.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 5 years and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

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

(Approved 06/96)

EMPLOYEE ASSISTANCE PROGRAM FILES (Item 11-8)

Records documenting the frequency and other statistical information relating to the number of employees using the Employee Assistance Program (EAP) vendor. This record contains statistical reports submitted by the vendor, but does not contain names or other personal information on individual employees.

RETENTION

Retain by Department of Human Resource Management field locations until administative need ends and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

EMPLOYEE AWARDS (Item 11-9)

Case files which document all employee awards, including recommendations, approved nominations, memoranda, correspondence, reports, and related policies pertaining to agency-sponsored cash and non-cash awards. These files may also document awards from other government agencies or private organizations.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 3 years and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/92)

EMPLOYEE PERFORMANCE-RELATED RECORDS (Item 11-30)

Records documenting performance of merit employees. Records include summary performance appraisal records, which may contain job elements, standards used to base the appraisal, performance plans, and any supporting documentation.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 3 years as part of employee personnel file and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

Public.

(Approved 02/06)

EMPLOYEE TRAINING RECORDS (Item 11-11)

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 Human Resource Management automated system.

RETENTION

Record copy: Retain until made part of employee personnel file.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

EQUAL EMPLOYMENT OPPORTUNITY (EEO) AFFIRMATIVE ACTION PLANS (Item 11-13)

Equal Employment Opportunity (EEO) Affirmative Action Plans (AAP) include both the agency copies of consolidated AAP's developed by the Department of Human Resource Management, and the agency feeder plans which are used to develop a larger affirmative action strategy.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 7 years and then destroy.

Duplicate copies: Retain for 2 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

EQUAL EMPLOYMENT OPPORTUNITY (EEO) COMPLIANCE REVIEW FILES (Item 11-14)

Review files containing background papers, etc., relating to contractor employment practices.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 7 years and then destroy.

Duplicate copies: Retain for 3 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

EQUAL EMPLOYMENT OPPORTUNITY (EEO) DISCRIMINATION COMPLAINT CASE FILES (Item 11-15)

Official complaint files containing complaints, related correspondence, reports, exhibits, withdrawal notices, copies of decisions, and other records as described in 29 CFR 1613.222.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 5 years or until case is resolved, whichever is greater and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

Public:UCA_63G-2-301_(1)(b)_(2008)

(Approved 02/06)

EQUAL EMPLOYMENT OPPORTUNITY (EEO) STATISTICS FILES (Item 11-16)

Employment statistics relating to race and gender.

RETENTION

Record copy: Permanent. Retain by Department of Human Resource Management for 3 years and then transfer to the State Archives with authority to weed.

Duplicate copies: Retain for 3 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 10/01)

FAMILY MEDICAL LEAVE APPLICATIONS (Item 11-57)

This record contains applications for an employee to take leave based on the Family and Medical Leave Act of 1993. Information includes payroll and identifying employee data such as name, address, and occupation; rate or basis of pay in terms of compensation; daily and weekly hours worked per pay period; additions to or deductions from wages; total compensation paid; dates (or hours) leave is taken by employee; information regarding employee benefits or employer leave policies; premium payments of employee benefits, and data regarding any dispute between the employer and the employee over the designation of leave as Family and Medical Leave Act leave.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 3 years and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Exempt:29 CFR 825.500(g) (2008).

(Approved 06/96)

FINANCIAL DISCLOSURE REPORTS (Item 11-18)

Reports and related documents submitted by individuals as required under the Public Officers' and Employees' Ethics Act, UCA 67-16-7.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 5 years and then destroy.

Duplicate copies: Retain by agency for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

SUGGESTED SECONDARY DESIGNATION

Private:If disclosure has no bearing on state employment

(Approved 07/90)

FITNESS FOR DUTY EVALUATIONS (Item 11-59)

Records which contain any medical or psychological information used to determine an employee's fitness for duty.

RETENTION

Retain by Department of Human Resource Management field locations for 5 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Controlled:63G-2-304 (2008).

(Approved 02/06)

GRIEVANCE/APPEAL FILES (Item 11-19)

Records originating with the review of grievance and appeals raised by agency employees, except Equal Employment Opportunity (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 for 5 years or until case is resolved, whichever is greater and then destroy.

Duplicate copies: Retain for 4 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected:UCA 63G-2-305.

SUGGESTED SECONDARY DESIGNATION

Exempt:UCA 67-19a-101 and 303(4), R137

(Approved 02/06)

HUMAN RESOURCE MANAGEMENT RULES (Item 11-20)

Document which outlines policies and procedures to be followed by state agencies in the administration of the state human resource management system.

RETENTION

Record copy: Permanent. Retain by the Department of Human Resource Management until superseded and then transfer to State Archives with authority to weed.

Duplicate copies: Retain by agency until superseded and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

INCENTIVE AWARDS PROGRAM RECORDS (Item 11-21)

Records containing Department of Human Resource Management approved incentive awards policies and approval forms along with incentive awards criteria.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 5 years and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

INDIVIDUAL HEALTH RECORD FILES (Item 11-22)

Records which contain any medical or psychological information that could be used in the following areas: health, accident, and life insurance requests, long term disability applications, Disabled Veterans DD 2-14s, and reports from physicians, etc.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 5 years and then destroy.

Duplicate copies: Retain for 2 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Controlled.

SUGGESTED SECONDARY DESIGNATION

Private.

(Approved 04/06)

INTERVIEW RECORDS (Item 11-23)

Correspondence, reports, notes, and other records relating to interviews with prospective employees as described in 29 CFR 1602.14 (2004).

RETENTION

Retain by agency for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected:Interview notes UCA 63G-2-305(25)(2008).

SUGGESTED SECONDARY DESIGNATION

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

(Approved 10/01)

LABOR-MANAGEMENT RELATIONS FILES (Item 11-25)

Records and case files of labor-management relations such as UPEA, AFCME, UHEE, etc. Includes correspondence, memoranda, reports, and other records relating to the relationship between management and employee associations or other groups.

RETENTION

Record copy: Retain by Department of Human Resource Management for 5 years and then destroy.

Duplicate copies: Retain until superseded or obsolete and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

LENGTH OF SERVICE AWARD FILES (Item 11-26)

Records include correspondence, memoranda, reports, computations of service documentation, and lists of awardees. This information is entered into the Department of Human Resource Management automated system.

RETENTION

Record copy: Retain by agency as part of employee personnel file for 2 years and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

OFFICIAL EMPLOYEE PERSONNEL FILE (Item 11-2)

Complete work history of an individual (excluding medical/psychological information) while employed by the State. Refer to UCA 67-18-1 (2005), et seq. and DHRM rules on accessing, maintaining, and managing employee personnel files. The employee's personnel file shall be considered a supplement to the DHRM computerized file and shall be subject to the rules governing personnel files. When an employee transfers to another state agency, the employees's personnel file must be sent to the new agency. The file typically includes applications for employment, career mobility documents, Memorandums of Understanding (MOU's), Employment Eligibility Certification records, Form 1-9 and other documents required by the U.S. Citizenship and Immigration Services; employee signed overtime agreements, personnel actions, corrective action plans, notices of disciplinary action, new employee orientation form checklists, performance plans and evaluations, letters of appreciation/commendation, separation and leave without pay records, employee benefits notification forms for PEHP and URS; references, copies of transcripts, training certifications or preparations, copies of items recorded in the DHRM computerized file, leave and time records; copies of any documents affecting the employee's conduct, status or salary, etc.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 2 years after separation of employee and then transfer to the State Records Center for 63 years and then destroy.

Duplicate copies: Retain until administrative need end

POSITION MANAGEMENT REQUEST FILES (Item 11-37)

These documents are used to create new positions, abolish old positions, or change existing state employment positions. They include department/division name, effective date, justification statement, position control number, signature of Human Resource Analyst or Specialist, and any additional documentation that is provided such as organizational charts, performance plans, job descriptions/job analysis, position analysis, etc.

RETENTION

Record copy: Retain by Department of Human Resource Management field locations for 3 years Transfer to State Records Center for 7 years and then destroy.

Duplicate copies: Retain for 3 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

RECRUITMENT FILES (Item 11-43)

Records contain applications and resumes for employment, recruiter evaluations, testing and examination materials, scores, transcripts, certifications, licenses, hiring lists, correspondence, notes, reports, etc. relating to interviews with prospective employees. Files also include offers that are declined (offers accepted are maintained in the employee personnel file) and related documents.

RETENTION

Retain by Department of Human Resource Management field locations for 3 years after hiring decision is made or until pending complaint or litigation is resolved and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 02/06)

TESTING MATERIALS (Item 11-4)

Tests taken by applicants who have met the minimum requirements for a state position. Includes tests, test keys, applicants' answer sheets, test scores, and any other documents related to the testing process.

RETENTION

Record copy: Retain for 3 years as part of recruitment file.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected.

SUGGESTED SECONDARY DESIGNATION

Private.

(Approved 04/06)

TRAINING AIDS (Item 11-48)

One copy of each syllabus, manual, textbook, videos/DVDs, and any other training materials created by the agency.

RETENTION

Record copy: Permanent. Retain by agency until training program is obsolete and then transfer to State Archives with authority to weed.

Duplicate copies: Retain until superseded or obsolete and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

TRAINING CONFERENCE AND COURSES FILES (Item 11-49)

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.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

TRAINING CONTRACTS (Item 11-50)

Contracts between state agencies and the Department of Human Resource Management to administer agreed-upon training programs.

RETENTION

Record copy: Retain by the Department of Human Resource Management for 3 years after the end of contract and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

UTAH JOB MATCH POSITION ANALYSIS (Item 11-53)

Electronic document which describes the duties and other position classification information pertinent to a specific position or employee. This is a computerized report used to express more detailed information about a position than is generally provided in a Job Description.

RETENTION

Record copy: Retain for 10 years and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

VERIFICATION OF EMPLOYMENT ELIGIBILITY (Item 11-51)

Employment documentation required to comply with the Immigration Reform and Control Act, 1986.

RETENTION

Record copy: Retain until made part of agency personnel file.

Duplicate copies: Retain for 1 year after termination and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 07/90)

VOLUNTEER AND CONTRACTOR PERSONNEL FILES (Item 11-3)

Files intended for personnel who are not paid through the state payroll system (i.e. volunteers, contract personnel, board members, etc.). Records may include copies of correspondence, forms, agreements, or other documents related to employment with the State.

RETENTION

Retain by Department of Human Resource Management field locations for 1 year after separation and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 02/06)

WORKERS COMPENSATION CASE FILES (Item 11-35)

Forms, first report of injury, reports, correspondence, and related medical and investigative records regarding on-the-job injuries, whether or not a claim for compensation was made.

RETENTION

Record copy: Retain by agency for 5 years and then destroy.

Duplicate copies: Retain for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private.

(Approved 07/90)