Utah Department of Administrative Services

Division of Archives & Records Service

School District Schedule 14 Personnel Records

 

 

AMERICANS WITH DISABILITIES ACT (ADA) ACCOMMODATION REQUESTS (Item 14-6)

These requests are made by individuals for disability accommodations. They include medical data about the person, accommodations made, denials, appeals, and other information about accommodation requests from service, program, or activity recipients, including applicants, employees and volunteers.

Retention

Retain for 5 years after termination or retirement and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

CAREER LADDER REPORTS (Item 14-35)

This report is completed once a year by each district. Plans for the Career Ladder program and funds are reported and approved by the State Board of Education in the summer and fall and end-of-year reports made in June. The databases compiled from these reports record district comparisons on both district plans and end of year report.

Retention

Permanent. May be transferred to the State Archives.

Suggested Primary Designation

Public.

(Approved 05/98)

 

CERTIFIED EMPLOYEE CONTRACTS (Item 14-11)

These are employment contracts between the district and individual certified employees. Contracts are signed by both the individual employee and the superintendent, assistant superintendent, or business administrator. They may include the following: the agreement, name of certified employee, step and lane, basic salary, social security number, total compensation, number of years in district, number of years out of district, whether payments are made in ten or twelve month increments, payments for extra periods, and date.

Retention

Retain for 6 years after expiration of contract and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

CERTIFIED EMPLOYEE HISTORY CARDS (Item 14-3)

These cards provide an employment history summary of certified district employees. They are used exclusively for easy reference, and are part of the employee's personnel file. They contain the basic employment history, past and current of all district certified employees. The card includes name, home address and telephone number, social security number, date hired, work and salary history (year, school, assignment, step and lane, salary), education (dates, degrees, major, minor, college/university), and certification (date, title of certification, and date of expiration). This information has been computerized in many districts.

Retention

Permanent.

Suggested Primary Designation

Private.

Suggested Secondary Designation

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

(Approved 06/11)

 

CERTIFIED PERSONNEL FILES (Item 14-1)

These are the personnel files for all certified district employees. They are used to document employment. The files include the employment applications, authorizations for hire forms, placement records, employee history card, copies of school transcripts, pay and leave history, work performance, in-service training completion certificates and credits, evaluation records, teaching certificates, previous teaching experience, contracts, lane change requests, and related correspondence. May also include fingerprints and verification of the criminal background check.

Retention

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

Suggested Primary Designation

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

Suggested Secondary Designation

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

(Approved 07/04)

 

CLASSIFIED EMPLOYEE HISTORY CARD (Item 14-4)

These cards provide an employment history summary of classified district employees. They are used exclusively for easy reference, and are part of the employee's personnel file. They include employee name, home address and telephone number, social security number, birth date, date hired, work and salary history (date, name of school or department assigned, position, step, lane, number of days worked, number of hours per day worked, hourly rate, and annual salary), and if applicable, date terminated. This information has been computerized in many districts.

Retention

Retain for 5 years after separation and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

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

(Approved 05/98)

 

CLASSIFIED PERSONNEL FILES (Item 14-2)

These are the personnel files for all classified district employees. They are used to document employment. The files usually contain the employment applications, authorization for hire forms, employee history card, pay and leave history, work performance and evaluation records, reassignment of personnel forms, termination forms and related correspondence. May also include fingerprint records and verification of a criminal background check.

Retention

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

Suggested Primary Designation

Private.

Suggested Secondary Designation

Public:UCA 63G-2-201(1)(b)

(Approved 07/04)

 

CONTRACT NEGOTIATION RECORDS (Item 14-10)

These files document wage and benefit negotiations between the district and local labor representatives for both certified and classified employees. They include each proposal and counter-proposal, requests and response, final charge, negotiated agreement and salary and benefit package.

Retention

Retain for 6 years after expiration of contracts and then destroy.

Suggested Primary Designation

Protected.

(Approved 05/98)

 

COURSE ANNOUNCEMENT FILES (Item 14-19)

These are informational files on 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 district employees by government agencies and non-governmental agencies.

Retention

Retain until end of school year and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

ELIGIBILITY REGISTER (Item 14-22)

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

Retention

Retain for 1 year and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

EMPLOYEE TRAINING FILES (Item 14-14)

These files document course availability and school district personnel participation in training programs sponsored by the district, other government agencies, and non-governmental agencies. 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

Private.

(Approved 05/98)

 

EMPLOYMENT APPLICATIONS (NOT HIRED) (Item 14-23)

These are application forms completed by persons seeking school district employment who were not hired. An applicant may update the application and request it be retained longer. They include the name, address, and phone number of the applicant, employment history, education, and a list of references.

Retention

Retain for 2 years or 1 year after being updated.

Suggested Primary Designation

Private.

(Approved 05/98)

 

EMPLOYMENT ELIGIBILITY RECORDS (I-9) (Item 14-7)

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

Retention

Retain for 3 years after date of hire or one year after termination date, whichever is longer (8 CFR 274a.2) and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) DISCRIMINATION COMPLAINTS (Item 14-24)

These files document official discrimination complaints received and resolved by the school district. 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 05/98)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) PROGRAM FILES (Item 14-25)

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

Retention

Retain for 1 year or until audited and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

EQUAL EMPLOYMENT OPPORTUNITY (EEO) REPORTS (Item 14-32)

These reports are required to be filed with the Equal Employment Opportunity Commission (EEOC) in accordance with the provisions of Title VII and 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 05/98)

 

Equal Employment Opportunity (EEO) Statistics Files (Item 14-26)

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

Retention

Retain for 5 years and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

FAMILY MEDICAL LEAVE APPLICATIONS (Item 14-16)

These applications document employee requests to take leave in accordance with the Family and Medical Leave Act of 1993. They include employee name, address, occupation, rate or basis for pay in terms of compensation, daily and weekly hours worked per pay period, additions to or deductions from wages, dates (or hours) leave taken by employee, information regarding employee benefits, and data regarding any dispute between the employer and employee over the leave designation as Family and Medical Leave Act leave.

Retention

Retain for 3 years and then destroy.

Suggested Primary Designation

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

(Approved 05/98)

 

GRIEVANCE AND DISCIPLINARY FILES (Item 14-27)

These files document the review of grievances and appeals raised by school district 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) (2008)

(Approved 05/98)

 

INTERVIEW RECORDS (Item 14-28)

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

Retention

Retain for 6 months after hiring decision is made and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

JOB DESCRIPTIONS (Item 14-17)

These are job descriptions for classified and certified positions within the school district. They may include job title, job site, duties, educational requirements, step and salary ranges.

Retention

Retain for 1 year after superseded and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

JOB OPENING FILES (Item 14-29)

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

Retention

Retain for 3 years or until updated and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

LANE CHANGE RECORDS (Item 14-12)

These records document requests for lane changes for additional training received. Guidelines have been established providing specific criteria for course acceptance. Prior approval is required for unauthorized classes or seminars. The requests are reviewed by a district committee and are either approved, denied or request additional information. The records include the request, the committee review and decision, and if approved date training completed. These records may be filed in the personnel file.

Retention

Retain for 5 years and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

MEDICAL FILES (Item 14-5)

These files document the medical conditions of both certified and classified employees. They include Family and Medical Leave Act (FMLA) request forms, vaccination forms, critical family illness forms, tuberculosis test results, sick bank requests, requests for sick leave, physician's notes for employee absence , and related correspondence.

Retention

Retain for 1 year after termination and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

NEW HIRE REGISTRY REPORT (Item 14-37)

This report is required to be submitted to the Utah State Department of Workforce Services on all district new hires in accordance with the Personal Responsibility and Work Opportunity Act (UCA 35a-11-101 (1996)). This information is used to create a State New Hire Registry to match against existing child support records to locate parents, establish an order or enforce an existing order. Once these matches are made, the State will transmit the New Hire reports to the National Directory of New Hires (NDDH) which allows the Office of Child Support Enforcement to be able to assist States in locating parents on a national level. The reports include employee name, social security number, mailing address; employer name, federal employer identification number, mailing number; employee date of hire or rehire; employee occupational title; and full-time or part-time employment status. The report is submitted with the employee's W-4 form within twenty days of new employment. The report may be submitted by paper or electronic medium.

Retention

Retain for 1 year and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

PERFORMANCE RELATED RECORDS (Item 14-30)

These records document the evaluation of employee performance. They include appraisals and job standards upon which they are based, and any supporting documentation. These records are normally part of the personnel file.

Retention

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

Suggested Primary Designation

Private.

(Approved 05/98)

 

PERSONNEL REPORT (Item 14-15)

This is a weekly or biweekly report submitted by the Personnel Department to the School Board. It is used to update and inform the board members on the status of employment within the school district. It includes the names of individuals being hired, as well as their position and location of work. The report also gives the names of people who have left the district as well as their position, school, and reason for leaving.

Retention

Retain for 1 year and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

RECRUITMENT FILES (Item 14-36)

These files document the recruitment of applicants for vacant district positions. They include the job announcement, eligibility lists, copies of recruitment request, possible interview questions, and notes.

Retention

Retain for 2 years after position filled and resolution of any related litigation and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

SALARY SCHEDULES (Item 14-20)

These are the official salary records. They are used to document each individual salary scale and to determine salaries for specific categories of employee. Each schedule includes a printed schedule divided into steps, lanes, and categories indicating specific assigned salaries. Footnotes may explain increases or calculation formulas.

Retention

Retain for 5 years after being superseded and then destroy.

Suggested Primary Designation

Public.

(Approved 05/98)

 

STUDENT EMPLOYEE FILES (Item 14-9)

These files document students temporarily hired by the school district for groundskeeping, building maintenance, answering telephones, and office assistance. They include application, evaluation, work schedule,and related correspondence.

Retention

Retain for 1 year after student graduates or leaves school and then destroy.

Suggested Primary Designation

Private.

Suggested Secondary Designation

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

(Approved 05/98)

 

SUBSTITUTE TEACHER FILES (Item 14-8)

These files document persons eligible to be hired as substitute teachers. They include an application form, fingerprints and criminal history check, some transcripts (or other verification of credit hours), and a record of previous substitute teaching.

Retention

Retain for 3 years after termination as a substitute teacher and then destroy.

Suggested Primary Designation

Private.

(Approved 05/98)

 

SUMMER YOUTH PROGRAM FILES (Item 14-31)

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 office or 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)

(Approved 05/98)

 

TEACHER CERTIFICATION SYSTEM (Item 14-13)

This computer system documents all teachers certified to teach in the State of Utah. The Utah State Office of Education (USOE) adds basic information on certified teachers including degrees, state in-service training, certificates, and endorsements while the district is responsible for keeping employment information current. The district adds current assignments including an accurate specific percentage breakdown (e.g., 50 percent physical education, 25 percent teaching history, 25 percent teaching English), salary, lane and step, number of days working, and credit summary. The information is updated monthly and is audited by the USOE. When the teacher moves from one district to another, the employee must be terminated before the new district can add current information. The system includes demographic data (i.e., name, social security number, date of birth, home address), certificates and endorsements, criminal history (if any), in-service training received, and a listing of professional teaching experience.

Retention

Retain until updated or teacher leaves district and then delete obsolete data.

Suggested Primary Designation

Private.

(Approved 05/98)

 

TEACHING AIDS TRAINING RECORDS (Item 14-33)

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

Retention

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

Suggested Primary Designation

Public.

(Approved 05/98)

 

TEMPORARY EMPLOYEES PERSONNEL FILES (Item 14-34)

These are files maintained on temporary employees which were provided no benefits by the school district. 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 05/98)

 

UNIVERSITY RECOMMENDATION TEACHER PACKETS (Item 14-18)

These are informational packets sent by university and college placement centers on potential employees that have made application to teach in a school district. They are used in the hiring process. They include recommendations on teaching abilities, letters of recommendation, evaluations of student teaching, and statements from cooperating university supervisors.

Retention

Retain until candidate is hired or until application is no longer active and then destroy provided files are retained for no longer than 3 years.

Suggested Primary Designation

Protected.

(Approved 05/98)