Services for People with Disabilities Records

 

 

Accepted Title XIX Client Assessment Files (DHS 4-1)

These are health assessments performed on new or current clients to determine whether they qualify for Title XIX programs.

Retention
Retain for 7 years and then destroy.

Appraisal

This disposition is based on the administrative needs expressed by the agency for the purpose of conducting audits.

Approved: 06/1995

 

Administrative Reference and Reading Files (DHS 4-2)

These are memoranda and correspondence generated by another agency for general reference by all agency employees.

Retention
Retain for 5 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Adult Client Case Files (DHS 4-3)

These files document the movement of adults from the Utah State Developmental Center to placement in other state or private facilities upon consultation and recommendation of the Division of Services for People with Disabilities (DSPD). Similar records are retained by the Developmental Center and duplicates are weeded from the DSPD files.

Retention
Retain for 10 years after the age of majority and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Agency Personnel Records (DHS 4-4)

These are complete work histories of individuals while employed by the State. Refer to Utah Code 67-18-1, et. seq. (1992). When and employee transfers to another state agency, the official personnel file must be sent to the new agency. The file should include current information on performance evaluations, performance plans, position descriptions, career mobility agreements, insurance benefits notifications (ADNT-1), job swap agreements, and overtime agreements.

Retention
Retain for 65 years after retirement or separation of employee and then destroy.

Appraisal
This disposition is based on 1993 Utah General Retention Schedule, Schedule 11, Item 2.

Approved: 06/1995

 

Agency Written History (DHS 4-5)

Scrapbooks, photographs, articles, program notes and events sponsored or funded by the Division of Services for People with Disabilities. May also included are narrative audio or audiovisual agency histories.

Retention
Permanent.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 1, Item 2 (1993).

Approved: 06/1995

 

American Express Monitoring Report (DHS 4-6)

These reports are generated by American Express and show expenditures made by state employees on agency American Express credit cards.

Retention
Retain by Division of Finance for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 5 (1993).

Approved: 06/1995

 

Assessment and Development Procedure Files (DHS 4-9)

These are policies and procedures for the development of assessment plans and assessment advisory training counsels to meet the assessment and health plan certification needs for clients who are developmentally disabled.

Retention
Retain for 1 year or until administrative need ends or superseded and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Building and Equipment Service Files (DHS 4-7)

These are requests for building and equipment maintenance services, excluding fiscal copies.

Retention
Retain by Division of Facilities Construction Management for 3 years after fiscal year ends and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Children's Client Case Files (DHS 4-8)

These files document assistance given to children through the Division of Services for People with Disabilities (DSPD). DSPD places physically challenged children in small group homes as part of a federal program to integrate them into the larger society. Participating children are under the age of twenty-two.

Retention
Retain for 10 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Client and Agency Planning Inventories and Score Sheets (DHS 4-19)

These are computer-generated score sheets of data taken from booklets distributed to providers of services to the handicapped. After completing the booklets, providers submit them to the division for data to be entered into the computer, and are then returned to providers. The score sheets describe the condition and treatment of all clients in day treatment and residential clients who receive care or services from providers not in day-treatment. Clients also include those at the Utah State Training School and the Intermediate Care Facility/Mentally Retarded (ICF/MR). The information is used to plan programs and services for the clients and to chart their treatment and progress.

Retention
Retain for 7 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Committee and Conference Files (DHS 4-10)

These are records created by committees or conferences, including advisory committee's relating to executive establishments, organizations, memberships, and policies.

Retention
Permanent.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Construction Project Case Files (DHS 4-11)

These file document the construction of new buildings and the renovation of rented buildings for state use.

Retention
Permanent.

Appraisal
This disposition is based on the Utah General Retention Schedule, Schedule 6, Item 6 (1993).

Approved: 06/1995

 

Control Files (DHS 4-12)

These files document control registers that pertain to requisitions and work orders for printing, binding and duplicating services.

Retention
Retain for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 12, Item 1 (1993).

Approved: 06/1995

 

Employee Travel Reimbursement Files (DHS 4-13)

These records document reimbursements to individuals, such as travel orders and authorizations, per diem vouchers, transportation requests, hotel reservations,and all supporting records documenting official travel by officers, employees, dependents, or others authorized by law to travel.

Retention
Retain for 5 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 18 (1993).

Approved: 06/1995

 

***Executive Correspondence (DHS 4-14)*** UPDATED

Please refer to the state schedule for Executive Correspondence. SG 4-10

 

Human Resource Management Rules (DHS 4-15)

These are files that outline policies and procedures to be followed in the Department of Human Resources Management and throughout state government.

Retention
Retain for 1 year or until superseded and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Inactive Small Group Home Files (DHS 4-16)

These files document clients placed in small group homes by the Department of Human Services, Division of People with Disabilities. These children are placed in the small group homes from the Utah State Developmental Center and other institutional facilities.

Retention
Retain for 5 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Indexes and Check Lists (DHS 4-17)

These records document bibliographies, check lists, and indexes of agency publications and news releases, except those used as indexes to public relations files.

Retention
Retain for 2 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Interdepartmental Transfer Requests (DF 61) (DHS 4-18)

These records document accounting actions that request transfers of funds between agencies for services rendered or materials purchased.

Retention
Retain by Division of Finance for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 26 (1993).

Approved: 06/1995

 

Leave Adjustment Reports (DHS 4-20)

These reports show all leave adjustments made during a pay period. Information shows category of adjustment, amount, social security number and employee surname.

Retention
Retain by Division of Finance for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 10, Item 10 (1993).

Approved: 06/1995

 

Leave Application Files (DHS 4-21)

These records document applications for leave and include supporting papers relating to request for and approval of employee leave.

Retention
Retain for 1 year and then destroy.

Appraisal

This disposition is based on Utah General Retention Schedule, Schedule 10, Item 11 (1993), and the administrative needs expressed by the agency.

Approved: 06/1995

 

Length of Service Awards File (DHS 4-22)

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

Retention
Retain for 2 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule, Item 26.(1993).

Approved: 06/1995

 

Mail Control Records (DHS 4-23)

These are records of receipt and routing of incoming and outgoing mail and items handled by private delivery companies such as United Parcel Service, including statistical reports of postage used on outgoing mail and fees paid for private deliveries.

Retention
Retain for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 4, Item 1 (1993).

Approved: 06/1995

 

Performance Evaluation Ratings (DHS 4-24)

These records document files relating to performance rating reviews created by the agency and entered into the Department of Human Resource Management's automated system.

Retention
Retain by Human Services until until retirement or separation of employee and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 11, Item 2 (1993).

Approved: 06/1995

 

Periodic Budget Reports (DHS 4-25)

These are agency reports that document the status of appropriation accounts and apportionments at the end of the fiscal year.

Retention
Permanent.

Appraisal
This disposition is based on the secondary historical value to researchers interested in Human Services funding and budgeting programs and the administrative needs expressed by the agency.

Approved: 06/1995

 

Position Descriptions (DHS 4-26)

These files describe established positions including information on title, series, grade, duties, and responsibilities. Information also contains Position Description Questionnaire (PDQ).

Retention
Retain for 4 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 11, Item 42 (1993).

Approved: 06/1995

 

Private Vehicle Files (DHS 4-27)

These files document authorizations for employees to use private vehicles for state business when it is the most economical method of travel.

Retention
Retain for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 34 (1993).

Approved: 06/1995

 

Provider Certification and Licensing Files (DHS 4-43)

These files document providers licensed and certified by the State of Utah to provide services to individuals throughout the state. Information includes Medicaid applications and provider agreements, program certification applications, facility checklists, and copies of certifications and licenses.

Retention
Retain for 20 years and then destroy.

Appraisal
Approved: 06/1995

 

Provider Fact Finding Results and Investigative Reports (DHS 4-28)

These files report investigations of private providers of services to the handicapped. Providers are under contract with the state. The reports are classified as "private" in order to inform the providers of complaints made against them so that corrections may be made or other action taken.

Retention
Retain for 5 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Provider Files (DHS 4-29)

These are contracts awarded to providers for services rendered to the Division of Services for People with Disabilities.

Retention
Retain for 7 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Provider List (DHS 4-30)

These are current service providers on contract with the Department of Human Services. The information is used for internal contact and correspondence by agency personnel and also for public information referral.

Retention
Retain until superseded and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Publications (DHS 4-31)

These are publications created by the agency and include reports, leaflets, pamphlets, file manuals, annual reports, processed documents, and the last manuscript report, if not published, relating to management projects.

Retention
Permanent.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 1, Item 25 (1993).

Approved: 06/1995

 

Purchase Requisition Files (DHS 4-32)

These are requisitions for supplies and equipment for current inventory.

Retention
Retain by Division of Purchasing for 4 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 13, Item 10 (1993).

Approved: 06/1995

 

Schedule Six Planning Reports (DHS 4-33)

These are reports from the Division of Finance indicating the status of agency payroll transactions.

Retention
Retain by Division of Finance for 2 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 10, Item 23.(1993).

Approved: 06/1995

 

Technical Reference Files (DHS 4-34)

These are documents retained strictly for reference and informational purposes which are not part of any other official files.

Retention
Retain until administrative need ends and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 1, Item 29 (1993).

Approved: 06/1995

 

Telephone Bills (DHS 4-35)

These are bills that document calls from state offices.

Retention
Retain for 3 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 43 (1993).

Approved: 06/1995

 

Temporary Personnel Files (DHS 4-36)

These are copies of correspondence and forms maintained in the personnel files of temporary employees.

Retention
Retain for 1 year and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 11, Item 3.(1993).

Approved: 06/1995

 

Title XIX Waiting List Files (DHS 4-37)

This is a listing of prospective clients waiting for services provided by the Division of Services for People with Disabilities.

Retention
Retain for 5 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Tracker Trainer Files (DHS 4-38)

This is an active list of people who are hired to go into small group homes to teach and/or consult with group home parents. They can also relieve home parents of duties for a short period of time.

Retention
Retain for 3 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Transitory Files (DHS 4-39)

These are papers of short-term interest which have no documentary or evidential value.

Retention
Retain for 3 months and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 1, Item 30 (1993).

Approved: 06/1995

 

Unaccepted Title XIX Client Assessment Files (DHS 4-40)

These are files of clients who do not meet the qualifications for services stipulated under the Title XIX program guidelines.

Retention
Retain for 2 years and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

 

Warrant Requests (DHS 4-41)

These are requests from state agencies to the Division of Finance to pay vendors for supplies and/or services vendors have provided to agencies.

Retention
Retain by Division of Finance for 7 years and then destroy.

Appraisal
This disposition is based on Utah General Retention Schedule, Schedule 7, Item 49 (1993).

Approved: 06/1995

 

Word Processing Files (DHS 4-42)

These are letters, messages, memoranda, reports, handbooks, directives, and manuals recorded on electronic media such as hard or floppy disks and are used to produce a hard copy which is then maintained in organized files.

Retention
Retain until administrative need ends and then destroy.

Appraisal
This disposition is based on the administrative needs expressed by the agency.

Approved: 06/1995

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