Contents

Accepted Title XIX Client Assessment Files

• Administrative Reference and Reading Files
• Adult Client Case Files
• Agency Personnel Records
• Agency Written History
• American Express Monitoring Report
• Assessment and Development Procedure Files
• Building and Equipment Service Files
• Children's Client Case Files
• Client and Agency Planning Inventories and Score Sheets
• Committee and Conference Files
• Construction Project Case Files
• Control Files
• Employee Travel Reimbursement Files
• Executive Correspondence
• Human Resource Management Rules
• Inactive Small Group Home Files
• Indexes and Check Lists
• Interdepartmental Transfer Requests (DF 61)
• Leave Adjustment Reports
• Leave Application Files
• Length of Service Awards File
• Mail Control Records
• Performance Evaluation Ratings
• Periodic Budget Reports
• Position Descriptions
• Private Vehicle Files
• Provider Certification and Licensing Files
• Provider Fact Finding Results and Investigative Reports
• Provider Files
• Provider List
• Publications
• Purchase Requisition Files
• Schedule Six Planning Reports
• Technical Reference Files
• Telephone Bills
• Temporary Personnel Files
• Title XIX Waiting List Files
• Tracker Trainer Files
• Transitory Files
• Unaccepted Title XIX Client Assessment Files
• Warrant Requests
• Word Processing Files

  4-1. ACCEPTED TITLE XIX CLIENT ASSESSMENT FILES

  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. .

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-2. ADMINISTRATIVE REFERENCE AND READING FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-3. ADULT CLIENT CASE FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-4. AGENCY PERSONNEL RECORDS

  These are complete work histories of individuals while employed by the State. Refer to UCA 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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public: UCA 63G-2-301 (1) (b) (1992).

  SUGGESTED SECONDARY CLASSIFICATION

  Private: UCA 63G-2-302 (1) (e) (1992)

  4-5. AGENCY WRITTEN HISTORY

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-6. AMERICAN EXPRESS MONITORING REPORT

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

  RETENTION

  Record copy: Retain by Division of Finance for 3 years and then destroy. Duplicate copies: Retain for 2 years and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-7. BUILDING AND EQUIPMENT SERVICE FILES

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

  RETENTION

  Record copy: Retain by Division of Facilities Construction Management for 3 years after fiscal year ends and then destroy. Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-8. CHILDREN'S CLIENT CASE FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-9. ASSESSMENT AND DEVELOPMENT PROCEDURE FILES

  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 superceded and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-10. COMMITTEE AND CONFERENCE FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-11. CONSTRUCTION PROJECT CASE FILES

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-12. CONTROL FILES

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

  RETENTION

  Record copy: Retain for 3 years and then destroy. Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-13. EMPLOYEE TRAVEL REIMBURSEMENT FILES

  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

  Record copy: Retain for 5 years and then destroy.

  Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-14. EXECUTIVE CORRESPONDENCE

  These are records not duplicated elsewhere that document how the office is organized and how it functions, its pattern of action, its policies, procedures, and achievements.

  RETENTION

  Permanent.

  APPRAISAL

  This disposition is based on Utah General Retention Schedule, Schedule 1, Item 9 (1993).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-15. HUMAN RESOURCE MANAGEMENT RULES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-16. INACTIVE SMALL GROUP HOME FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

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

  4-17. INDEXES AND CHECK LISTS

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-18. INTERDEPARTMENTAL TRANSFER REQUESTS (DF 61)

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

  RETENTION

  Record copy: Retain by Division of Finance for 3 years and then destroy.

  Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-19. CLIENT AND AGENCY PLANNING INVENTORIES AND SCORE SHEETS

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  4-20. LEAVE ADJUSTMENT REPORTS

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

  RETENTION

  Record copy: Retain by Division of Finance for 3 years and then destroy.

  Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-21. LEAVE APPLICATION FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  4-22. LENGTH OF SERVICE AWARDS FILE

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-23. MAIL CONTROL RECORDS

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-24. PERFORMANCE EVALUATION RATINGS

  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

  Record copy: Retain by Human Services until until retirement or separation of employee and then destroy.

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

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  4-25. PERIODIC BUDGET REPORTS

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

  RETENTION

  Record copy: Permanent.

  Duplicate copies: Retain for 5 years and then destroy.

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-26. POSITION DESCRIPTIONS

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-27. PRIVATE VEHICLE FILES

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-28. PROVIDER FACT FINDING RESULTS AND INVESTIGATIVE REPORTS

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

  Protected: UCA 63G-2-305(8) (2008)

  4-29. PROVIDER FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-30. PROVIDER LIST

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-31. PUBLICATIONS

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-32. PURCHASE REQUISITION FILES

  These are requisitions for supplies and equipment for current inventory.

  RETENTION

  Record copy: Retain by Division of Purchasing for 4 years and then destroy.

  Duplicate copies: Retain for 3 years and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-33. SCHEDULE SIX PLANNING REPORTS

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

  RETENTION

  Record copy: Retain by Division of Finance for 2 years and then destroy.

  Duplicate copies: Retain for 6 months or until administrative need ends and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-34. TECHNICAL REFERENCE FILES

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

  RETENTION

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

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

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-35. TELEPHONE BILLS

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-36. TEMPORARY PERSONNEL FILES

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-37. TITLE XIX WAITING LIST FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  4-38. TRACKER TRAINER FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  4-39. TRANSITORY FILES

  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).

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  4-40. UNACCEPTED TITLE XIX CLIENT ASSESSMENT FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-41. WARRANT REQUESTS

  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

  Record copy: Retain by Division of Finance for 7 years and then destroy.

  Duplicate copies: Retain for 1 year and then destroy.

  APPRAISAL

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

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

  4-42. WORD PROCESSING FILES

  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.

  SUGGESTED PRIMARY CLASSIFICATION

  Public.

  SUGGESTED SECONDARY CLASSIFICATION

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

• Controlled: UCA 63G-2-304 (2008)

  4-43. PROVIDER CERTIFICATION AND LICENSING FILES

  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

  SUGGESTED PRIMARY CLASSIFICATION

  Private.

  SUGGESTED SECONDARY CLASSIFICATION

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

  Page Last Updated August 1, 2008