Utah Department of Administrative Services

Division of Archives & Records Service

State Agency Schedule 1 Administrative Records

 

Contents

 

Acknowledgment Files (Item 1-1)

Acknowledgment records, transmittal inquiries, and requests that have been referred elsewhere for reply.

RETENTION

Record copy: Retain for 3 months after acknowledgment and/or referral and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

SUGGESTED SECONDARY DESIGNATION

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

(Approved 07/90)

 

Activity Reports (Item 1-48)

Reports documenting work productivity of employees or an office. Includes weekly activity or production reports, monthly activity reports, etc.

RETENTION

Retain by agency for 1 year or until administrative need ends, whichever is first, and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/05)

 

Administrative Correspondence (Item 1-63)

Incoming and outgoing business-related correspondence, regardless of format or mode of transmission, created in the course of administering agency functions and programs. Administrative correspondence documents work accomplished, transactions made, or actions taken. This correspondence documents the implementation of agency functions rather than the creation of functions or policies. Business-related correspondence that is related to a core function with an associated retention schedule should follow the associated schedule.

RETENTION

Retain for 7 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 06/14)

 

Administrative Hearing Records (Item 1-2)

Records of hearings conducted as part of the regulatory process and hearings on proposed rules and changes; they may be maintained with related information including meeting notices, proofs of publications, meeting minutes, and the conclusions reached. UCA 52-4-7 (2005) requires that written minutes be kept of all open meetings. May include audio and video recordings.

RETENTION

Record copy: Permanent. Retain by agency for 5 years and then transfer to State Archives with authority to weed.

Duplicate copies: Retain by agency for 5 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Administrative Policy and Program Records (Item 1-24)

Records created by agency administration to document the research, creation and application of agency programs, policies and procedures. May include correspondence, policy and program case files, and executive files documenting leadership roles and decision making processes.

RETENTION

Record copy: Permanent. Retain by agency for 3 years and then transfer to Archives with authority to weed.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 01/04)

 

Administrative Reference/Reading Files (Item 1-3)

Record of all memoranda and correspondence generated by an agency and retained only for reference purposes.

RETENTION

Record copy: Retain for 1 year or until administrative need ends, whichever is first, and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Administrative Rule Records (Item 1-42)

Also known as the administrative record. Information an agency relies upon when making a rule under UCA 63-45a-1 et seq. (2004), including copies of the proposed rule, change in the proposed rule, and the rule analysis; the public comment received and recorded by the agency during the public comment period; the agency's response to the public comment; the agency's analysis of the public comment; and the agency's report of its decision-making process. Also may include records and other information used by agencies to support rulemaking decisions. Agencies are required to file the administrative record along with their responsive pleadings with the court when the rule is challenged.

RETENTION

Record copy: Retain by Agency for 6 years after effective date and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

 

Agency Histories (Item 1-4)

Records which document an agency's history. Includes scrapbooks, photographs, articles, program notes and information about events and programs sponsored or funded by an agency. May also include narrative audio and audiovisual agency histories.

RETENTION

Record copy: Permanent. Retain by agency for 10 years and then transfer to State Archives with authority to weed.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Americans with Disabilities Act Requests for Accommodations (Item 1-49)

Requests received from the public for disability accommodations for state sponsored events. Information includes the requests for accommodations and the agency's response including accommodations made and other related documentation. For accommodation requests received from employees refer to Human Resource Section, ADA requests for accommodations.

RETENTION

Retain by agency for 1 year and then destroy.

SUGGESTED PRIMARY DESIGNATION

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

(Approved 10/01)

 

Attorneys General Opinions (Item 1-5)

Copies of legal interpretations of the Attorney General's office written at the request of an agency asking for guidance in enforcing, obeying, and/or interpretation of the law. The Attorney General's Office maintains the record copy of all official opinions.

RETENTION

Retain by the agency until administrative need ends and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/05)

 

Closed Meeting Records (Item 1-60)

Recordings are required for the closed portion of meetings of a public body, except as provided by statute. The recording is the official record of a closed meeting (Utah Code 52-4-206(2)(2014)).

RETENTION

Permanent. May be transferred to the Archives.

SUGGESTED PRIMARY DESIGNATION

Protected: UC 63G-2-305(32) and UC 52-4-206(5) (2010)

(Approved 07-14)

 

***Committee and Board Files (Item 1-6) OBSOLETE

For meeting records, please refer to the state schedule forĀ Open Meeting Minutes and Public Materials. SG 1-59

For meeting recordings, please refer to the state schedule for Open Meeting Recordings, SG 1-65 or Closed Meeting Records, SG 1-60.

 

Communication Logs (Item 1-15)

Records which provide detailed information on incoming and/or outgoing documents, data, and other communications that require distribution or action.

RETENTION

Record copy: Retain by agency for 1 year and then destroy.

Duplicate copies: Retain by agency for 6 months and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Conference Sponsorship Files (Item 1-50)

Records created by an agency sponsoring a conference, workshop, or seminar. Information may include copies of conference agenda, programs, brochures, reports, advertising information for the conference, presentations, speeches, significant correspondence, and related material.

RETENTION

Record copy: Permanent. May be transferred to the State Archives.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 10/01)

 

***Electronic Publications (Item 1-44) OBSOLETE

Please refer to the state schedule for Publications. SG 1-25

 

Executive Correspondence (Item 1-61)

Incoming and outgoing business-related correspondence, regardless of format or mode of transmission, that provides unique information relating to the functions, policies, procedures or programs of an agency. These records document executive decisions made regarding agency interests. Executive decision makers may include the Director, Chief Administrative Officer, Public Information Officer or other internal administrators as identified by the executive office.

RETENTION

Permanent. May be transferred to the State Archives.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 05/14)

 

Finding Aids (Item 1-11)

Indices, lists, catalogs, registers, guides, and other aids necessary for the efficient use of other records.

RETENTION

Record copy: Retain until records to which they pertain are destroyed or destroy when no longer needed for reference.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Forms Files (Item 1-13)

A clean copy of each form created by an agency with related instructions and documentation showing the creation, development, scope, and purpose of the form.

RETENTION

Record copy: Retain for 1 month after form is discontinued, superseded or cancelled and then destroy.

Duplicate copies: Retain until form is discontinued and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Interim Verification Files (Item 1-55)

Records documenting the interim verification of a license, certification, eligibility, or other temporary authorization until a final authorization can be produced. Records are used to verify authorization during the interim period. Information includes the period of interim authorization, names, addresses, identification numbers, official signatures, dates, verification numbers, and other relevant information.

RETENTION

Record Copy: Retain 6 months after final authorization has been provided and then destroy.

PRIMARY SUGGESTED DESIGNATION

Private.

(Approved 4/10)

 

Internal and Staff Committee Files (Item 1-17)

Records documenting the actions, the establishment, the organization, membership, and policies of committees and other staff non-policy making groups to handle problems or issues within an agency. They include agenda, internal memoranda, notes, and informal minutes,

RETENTION

Record copy: Retain for 2 years and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/05)

 

Mailing Lists (Item 1-46)

Lists of individuals, companies, or other entities with which the agency corresponds. Information includes street addresses, electronic mail addresses, and phone and FAX numbers.

RETENTION

Retain by agency until superseded and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 08/96)

 

Management Analysis/Feasibility Studies (Item 1-10)

Studies and system analyses conducted before program change, the purchase, installation, or replacement of any technology or equipment. May include studies and systems analyses for the initial establishment, major changes for program, equipment, or technology changes.

RETENTION

Record copy: Retain by agency for 5 years or until system updated and then destroy.

Duplicate copies: Retain by agency for 2 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Protected:UCA 63G-2-305 (11) (2008).

(Approved 02/06)

 

***Meeting Recordings (Item 1-41) OBSOLETE

For open meetings, please refer to the state schedule for Open Meeting Recordings. SG 1-65

For closed meetings, please refer to the state schedule for Closed Meeting Records. SG 1-60

 

***Minutes (Item 1-51) OBSOLETE

Please refer to the state schedule for Open Meeting Minutes and Public Materials. SG 1-59

 

Open Meeting Minutes and Public Materials (Item 1-59)

Approved minutes of an open meeting are the official record of the meeting of a public body. Contained in or with the minutes shall be the substance of all matters proposed, discussed or decided and votes taken (Utah Code 52-4-203(2014)). This includes the agenda, notices, and any public materials distributed at the meeting.

RETENTION

Permanent. May be transferred to the State Archives.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/14)

 

Open Meeting Recordings (Item 1-65)

Audio or video recordings document what transpired in open meetings of public bodies and are the official record of the meeting until the meeting minutes are approved (Utah Code 52-4-203(2014)).

RETENTION

Retain 3 years after official written minutes are approved and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/2014)

 

Organizational Files (Item 1-19)

Records detailing an organization, which could include charts, functional statements, reorganization studies. Also administrative maps that show regional boundaries and headquarters of decentralized agencies or that show the geographic extent or limits of an agency's programs and projects.

RETENTION

Record copy: Permanent. Retain by agency for 3 years 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)

 

Patient and Client Case Files (item 1-56)

Documentation relating to client or patient medical information. Includes physical, psychiatric, dental, pharmaceutical, medical history, treatments, notes, reports, forms, memorandums, examinations, physical therapy, assessments, and all other related materials.

RETENTION

Record copy: Retain 7 years past last visit unless patient is under 18, then four years past 18th birthday and seven years after last visit, whichever is greater, and then destroy.

SUGGESTED PRIMARY DESIGNATION

Private: 63G-2-302(1)(b)

SUGGESTED SECONDARD DESIGNATION

Protected: 63G-2-304

(Approved 06/13)

 

Pending Files (Item 1-21)

Papers arranged in chronological order as a reminder that action is required on a given date or that a reply to action is expected and, if not received, should be traced on a given date. May also be called a "tickler" or "chron file."

RETENTION

Record copy: Retain until until action taken and then incorporate into official files.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Performance Audit (Item 1-22)

These are reports written and prepared as a result of a performance audit on state agencies by an outside agency. They contain summary documentation on agency programs, operations and productivity.

RETENTION

Record copy: Permanent. Retain by agency for 3 years and then transfer to State Archives with authority to weed.

Duplicate copies: Retain by agency for 3 years and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

***Policies and Procedures Manuals (Item 1-23) OBSOLETE

Please refer to the state schedule for Publications. SG 1-25

 

***Policy and Program Correspondence (Item 1-9) Obsolete

Please refer to the state schedule for Executive Correspondence. SG 1-61

 

Proposed Legislation Records (Item 1-40)

Records created by governmental agencies for the purpose of proposing legislation. They contain correspondence, memoranda, research information on proposed legislation, fiscal notes, summaries, estimated cost reports, impact statements, and other information documenting the proposed legislation.

RETENTION

Record copy: Permanent. Retain by agency for 5 years and then transfer to the State Archives with.

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

SUGGESTED PRIMARY DESIGNATION

Public.

SUGGESTED SECONDARY DESIGNATION

Protected:UCA_63G-2-305_(19)_(2008)

(Approved 12/92)

 

Publications (Item 1-25)

Any record, regardless of format, that is issued by a governmental entity for public distribution at the total or partial expense of that governmental entity. See Utah Code Section 9-7-101 8(a)(b) (2010) and 9-7-208 (2006).

RETENTION

Permanent. Creating agency shall transfer preservation copy(ies) to State Archives and access copy(ies) to the State Library.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 10/13)

 

***Records Access Request and Appeals Files (Item 1-34) OBSOLETE

Please refer to the state schedule for Records Access Requests and Appeals. SG 1-64

 

Records Access Requests and Appeals (Item 1-64)

These records are access requests as provided under the Government Records Access and Management Act (GRAMA) (Utah Code 63G-2-204(2011)). Included with the access requests are any notices of denial, appeals or any other records related to the request. This schedule excludes record access requests appealed to a local appeals board.

RETENTION

Retain 2 years if all appeals are exhausted and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 06/14)

 

***Records Amendment Request Files (Item 1-35) OBSOLETE

Please refer to the state schedule for Records Access Requests and Appeals. SG 1-64

 

Records Destruction Files (Item 1-38)

Records which document the destruction of a governmental agency's records, such as destruction letters or destruction logs. May also contain documentation of records maintained and destroyed by the State Archives.

RETENTION

Record copy: Retain by agency for 5 years after destruction of records and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 02/06)

 

Records Management Files (Item 1-37)

Records used in creating and establishing records management programs. They may contain records inventories, related correspondence, classification designations, records control, equipment, filing procedures/manuals, training information, and other documents created by the State Archives and other agencies to facilitate records management practices. May also contain information on records management equipment and/or computer software.

RETENTION

Record copy: Retain by agency until updated or superseded and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/92)

 

Records Transfer Sheets (RTS) (Item 1-26)

Descriptive listings of agency records transferred to the State Records Center. Information includes record series number, agency name and address, records officer's name and signature, Chief administrative Officer's name, record series title and inclusive dates, classification information, accession number, agency box number, description of box contents, and records center box location.

RETENTION

Record copy: Retain by agency for 5 years after records are destroyed or transferred to the State Archives and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 12/05)

 

Technical Reference Files (Item 1-29)

Records retained strictly for reference and informational purposes which are not part of any other official files. They include copies of reports, studies, special compilations of data, drawings, periodicals, books, clippings, extra (non-record) copies of policy and procedure files, brochures, catalogs, vendor price lists, and publications prepared internally and externally.

RETENTION

Record copy: Retain by agency until administrative need ends and then destroy.

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

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

***Transitory Correspondence (Item 1-47) OBSOLETE

Please refer to the state schedule for Transitory Correspondence. SG 1-62

 

Transitory Correspondence (ITEM 1-62)

Incoming and outgoing correspondence, regardless of format or mode of transmission, related to matters of short term interest. Transmittal correspondence between individuals, departments or external parties containing no final contractual, financial or policy information. This correspondence does not impact agency functions. When resolved, there is no further use or purpose.

RETENTION

Retain until administrative need ends and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 05/14)

 

Transitory Files (Item 1-30)

Papers of short-term interest which have no documentary or evidential value. Includes quasi-official notices such as for holidays, charity, and fund appeals, bond campaigns, and other similar papers.

RETENTION

Retain by agency for 3 months or until administrative need ends and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 07/90)

 

Visitor Registration Records (Item 1-52)

Records documenting visits to agencies, usage of materials, and other information about the public's contact with government. Information may include names, home city and state, number in party, and purpose of visit.

RETENTION

Retain for 6 months and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 01/02)

 

Working Files (Item 1-33)

These records contain unique information in rough notes or drafts assembled or created and used to prepare or analyze other documents. The information adds proper understanding to the formulation and execution of policies, decisions, actions, or responsibilities.

RETENTION

Record copy: Retain 1 year after project closed and then destroy.

SUGGESTED PRIMARY DESIGNATION

Public.

(Approved 06/13)