Utah Department of Administrative Services

Division of Archives & Records Service

State Agency Schedule 11 Human Resource Records

 

Contents (or view active schedules only)

 

***Adverse Action files (Item 11-1) OBSOLETE

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

 

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 requester, accommodations made, denials, appeals, and any other information about accommodation requests from applicants, employees, and volunteers.

Retention

Retain for 5 years after termination, retirement, or reasonable accommodation, whichever is first, and then destroy.

Suggested Primary Designation

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

(Approved 06/97)

 

Complaint Investigation Files (11-66)

Initial documentation of complaints that result in an investigation but do not result in disciplinary action.

Retention

Retain for 7 years after end of employment or case closed, whichever is greater, and then destroy.

Suggested Primary Designation

Private: Utah Code 63G-2-302(2)(a) (2015)

(Approved 07/15)

 

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

Retain until reviewed and place in agency personnel file.

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:Utah Code_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

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

Suggested Primary Designation

Private:Utah Code 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

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

Suggested Primary Designation

Private:Utah Code 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 administrative need ends and then destroy.

Suggested Primary Designation

Public.

(Approved 02/06)

 

***Employee Awards (Item 11-9) OBSOLETE

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

 

Employee Health and Medical Records (Item 11-65)

These records document an employee's fitness for duty. Documentation for health-related leave is included.

Retention

Retain 3 years after end of employment.

Suggested Primary Designation

Private: Utah Code 63G-2-302 (3)(a)(2014).

(Approved 9/14)

 

***Employee Performance-Related Records (Item 11-30) OBSOLETE

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

 

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

Retain until made part of employee personnel file.

Suggested Primary Designation

Public.

(Approved 07/90)

 

Employment History Records (Item 11-62)

Employment history documents a person's application, hiring, and employment with a governmental entity, including all records necessary to calculate benefits. Final actions taken as a result of disciplinary action or grievances are included in this schedule.

Retention

Retain 65 years from date of employment or 7 years after retirement or death and then destroy (UC 49-11-602(2014)).

Suggested Primary Designation

Private: Utah Code 63G-2-302(2)(a)(2014)

(Approved 11/14)

 

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

Retain by Department of Human Resource Management field locations for 7 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

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

Suggested Primary Designation

Public.

(Approved 07/90)

 

***Equal Employment Opportunity (DDO) Discrimination Complaint Case Files (Item 11-15) OBSOLETE

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

 

Equal Employment Opportunity (EEO) Statistics Files (Item 11-16)

Employment statistics relating to race and gender.

Retention

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

Suggested Primary Designation

Public.

(Approved 10/01)

 

***Family Medical Leave Applications (Item 11-57) OBSOLETE

Please refer to the state schedule for Employment Health and Medical Records, SG 11-65.

 

Financial Disclosure Reports (Item 11-18)

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

Retention

Retain by Department of Human Resource Management field locations for 5 years 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) OBSOLETE

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

 

Grievance Records (Item 11-64)

Initial documentation responding to working condition grievances that result in any type of investigation for possible personnel or administrative action.

Retention: Retain for 3 years and then destroy.

(Approved 07/15)

 

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

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

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

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

Suggested Primary Designation

Public.

(Approved 02/06)

 

***Individual Health Record Files (Item 11-22) OBSOLETE

Please refer to the state schedule for Employment Health and Medical Records, SG 11-65.

 

***Interview Records (Item 11-23) OBSOLETE

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

 

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

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

Suggested Primary Designation

Public.

(Approved 07/90)

 

***Length of Service Award Files (Item 11-26) OBSOLETE

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

 

***Official Employee Personnel File (Item 11-2) OBSOLETE

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

 

Performance Plans and Evaluations (Item 11-63)

This information documents an employee's performance, including awards, performance plans, and evaluations.

Retention

Retain 7 years after end of employment and then destroy.

Suggested Primary Designation

Private: Utah Code 63G-2-302(2)(a)(2014)

(Approved 11/14)

 

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

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

Suggested Primary Designation

Public.

(Approved 02/06)

 

***Recruitment Files (Item 11-43) OBSOLETE

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

 

Staff Acquisition Records (Item 11-61)

Records related to the recruiting and hiring of employees, including candidates not hired. The resume and application of hired individuals are part of the Employee History Records.

Retention

Retain 2 years from application and then destroy.

Suggested Primary Designation

Private: Utah Code 63G-2-302(2)(a) (2014)

(Approved 05/15)

 

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

Retain for 3 years as part of recruitment file.

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

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

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

Retain by agency until superseded or obsolete 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

Retain by the Department of Human Resource Management for 3 years after the end of contract 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

Retain for 10 years 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

Retain until made part of agency personnel file.

Suggested Primary Designation

Private.

Suggested Secondary Designation

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

(Approved 02/06)

 

Worker's Compensation Case Files (Item 11-35)

Records include 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. See Utah Code 34A-2 for Worker's Compensation Act.

Retention

Retain by agency for 75 years from date of incident and then destroy.

Suggested Primary Designation

Private.

(Approved 09/13)