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AppendixF. Utah State Court Records Retention Schedule




(A)(1) Appellate proceedings. As applicable to the particular case:


(A)(1)(a) expirationof the time in which to file an appeal;


(A)(1)(b) completionof the initial appeal of right;


(A)(1)(c) completionof discretionary appeals; or


(A)(1)(d) completionof trial court proceedings after remittitur.


Appellate proceedings do not includecollateral review, such as a petition for post convictionrelief or a petition for writ of habeas corpus, although these petitions maythemselves be the subject of appellate proceedings.


(A)(2) Case file. The compilation of documentspertaining to a case in the district court and justice court. The compilation of documents pertaining to an individual under thejurisdiction of the juvenile court.


(A)(3) Case history. Includes the docket, judgment docket, registry ofjudgments, register of actions and other terms used torefer to a summary of the parties and events of a case.


(A)(4) Clerk of the court. Includes all deputy clerks.


(A)(5) Confidential records. Records classified in accordance with theTitle 63G, Chapter 2, Government Records Access and Management Act and Rule4-202 et seq. of the Judicial Council as private, protected, juvenile, orsealed.


(A)(6) Critical documents. As applicable to the particular case:


(A)(6)(a)Civil. Final amended complaint orpetition; final amended answer or response; final amended counterclaims, crossclaims, and third party claims and defenses; home study or custody evaluation;jury verdict; final written opinion of the court, including any findings offact and conclusions of law; final trial court order, judgment or decree;interlocutory order only if reviewed by an appellate court; orders supplementalto the judgment and writs that have not expired; notice of appeal; transcripts;appellate briefs; final order, judgment or decree or any appellate court; casehistory.


(A)(6)(b)Child abuse, neglect or dependency.In addition to that which is required of civil cases, shelter hearing order;adjudication orders; disposition orders; reports of the Division of Child andFamily Services; psychological evaluations; reports from treatment providers;motion for permanency hearing; response to motion for permanency hearing;petition for termination of parental rights; and response to petition fortermination of parental rights.


(A)(6)(c)Divorce and domestic relations. Inaddition to that which is required of civil cases, petitions to modify orenforce a final order, judgment or decree and the final order entered as aresult of that petition.


(A)(6)(d)Felonies, including offenses by a minorin juvenile court. All documents other than duplicates, subpoenas,warrants, orders to show cause, presentence investigation reports and noticesof hearings.


(A)(6)(e)Misdemeanors and infractions, includingoffenses by a minor in juvenile court. Final amended citation orinformation; jury verdict; final written opinion of the court, including anyfindings of fact and conclusions of law; final trial court order, judgment ordecree; notice of appeal; appellate briefs; final order, judgment or decree orany appellate court; case history.


(A)(6)(f)Probate. In addition to that whichis required of civil cases, will admitted to probate; trust instrument; finalaccounting; reports, findings and orders regarding the mental competence of aperson.


(A)(7) Document. Any pleading or other paper filed with or created by thecourt for a particular case, regardless of medium.


(A)(8) Off-site storage. Storage at the State RecordsCenter under the control of the Division of State Archives.


(A)(9) On-site storage. Storage at the courthouse or anysecure storage facility under the control of the court.


(A)(10) Retention period. The time that a record must bekept. The retention period is either permanent or for a designated termof months or years.


(B)Case Records.


(B)(1) Objectives. The objective of the records retention schedule is tomaintain convenient access to the documents of the case and to the case historyas necessary to the activity in the case. Even in a case in which judgment hasbeen entered there may be substantial activity. In criminal cases, the courtcan expect affidavits alleging violations of probation and petitions for post conviction relief. In civil cases, the court canexpect to issue writs, orders supplemental to the judgment and to conduct otherproceedings to collect the judgment. In divorce cases, the court can expectpetitions to modify the decree or to enforce visitation and support. This maymean more immediate access in particular cases. The objective of the recordsretention schedule is to guide the transfer of permanent records to off-sitestorage and the destruction on non-permanent records.


(B)(2) Storage medium. The decisions of what storage medium to use andwhen to use it are left to local discretion, needs and resources of the clerkof the court.


With proper training or by theDivision of State Archives the clerk of the court may microfilm records. Giventhe sensitive nature of identifying information contained in court records,such as name, address, telephone number, and social security number of parties,witnesses and jurors, microfilming of court records by Utah CorrectionalIndustries is prohibited. All microfilming shall be in accordance with thestandards adopted by the Division. All microfilm developing and qualityassurance checks shall be done by the Division. The Division of State Archivesshall keep the original film and return a copy to the court.


The clerk of the court may scandocuments to a digital image based on local needs and resources. Once scannedto a digital image, the document may be destroyed. Electronic documents may beprinted and maintained in the case file.


(B)(3) Storage location. The Administrative Office of the Courts shallmaintain all computer records. The clerk of the court shall store on sitepending cases, closed cases with significant post judgment activity, and caseswith a retention period of less than permanent.


The clerk of the court shall not storecase files with significant activity off-site. Records in which there is anorder of alimony or child support, visitation or custody shall not be storedoff-site until at least three years has expired from the date of the lastactivity in the case. Within these parameters, the decision to store permanentrecords on-site or off-site is left to local discretion, needs and resources.The state court records officer and the Division of State Archives may evaluateexceptions for courthouses with critically short storage problems. Recordsstored off-site shall be prepared in accordance with standards and instructionsof the Division of State Archives. If a record stored off-site is needed at thecourthouse, the record will be returned to the court for the duration of theneed. The clerk of the court shall not return a record in which there is anorder of alimony or child support, visitation or custody to off-site storageuntil at least three years after the last activity in the case.


(B)(4) Critical documents. At any time after the completion of appellateproceedings, the clerk of the court may remove from the case file and destroyall documents other than critical documents.


(B)(5) Retention Period. The retention period in a criminal case begins asof the completion of the sentence. The level of offense is determined by theoffense of which the defendant is convicted or to which the offense is reducedunder Utah Code Section 76-3-402. The retention period in a civil or smallclaims case begins as of the expiration or satisfaction of the judgment. Theretention periods are for the following terms.


(B)(5)(a) Permanent. All case types not governedby a more specific designation; prosecution as a serious youth offender.


(B)(5)(b)10 years. Third degree felonies;violations of Utah Code Section 41-6a-502 or Section 41-6a-503, or of Section41-6a-512 if the conviction is to a reduced charge as provided in that section;hospital liens; domestic violence misdemeanors within the scope of Utah CodeSection 77-36-1.


(B)(5)(c)5 years. Administrative agencyreview; civil and small claims cases dismissed with prejudice; forcible entryand detainer; investigative subpoenas; post convictionrelief or habeas corpus other than capital offenses and life without parole;tax liens; temporary separation; worker?s compensation; probable causestatements and search and arrest warrants not associated with a case.


(B)(5)(d)3 years. Violationsof Utah Code Section 53-3-231; violations of Utah Code Section 76-5-303.


(B)(5)(e)1 year. Civil cases with a judgmentof money only; extraditions; misdemeanors and infractions classified as?mandatory appearance? by the Uniform Fine Schedule; petitions to expunge anarrest record in which no charges have been filed.


(B)(5)(f)6 months. Civil and small claimscases dismissed without prejudice; misdemeanors and infractions classified as?non-mandatory appearance? by the Uniform Fine Schedule; small claims caseswith a judgment of money only.


(B)(6) Retention period in Juvenile Court. The retention period in adelinquency petition or referral begins as of the completion of the sentence.The retention period in other cases begins as of the expiration of thejudgment. The retention periods are for the following terms.


(B)(6)(a) Permanent. Adoptions;civil cohabitant abuse; orders terminating parental rights; prosecution asserious youth offender; substantiation.


(B)(6)(b)Until the youngest subject of thepetition reaches age 28. Abuse, neglect and dependency;felonies.


(B)(6)(c)Until the subject of the petitionreaches age 18 and jurisdiction of the court is terminated. Misdemeanors and infractions other than non-judicial adjustments;interstate compact.


(B)(6)(d)10 years. Violationsof Utah Code Section 41-6a-502 or Section 41-6a-503, or of Section 41-6a-512 ifthe conviction is to a reduced charge as provided in that section.


(B)(6)(e)3 years. Violationsof Utah Code Section 53-3-231.


(B)(6)(f)1 year. Petitions to expunge anarrest record in which no charges have been filed.


(B)(6)(g)6 months. Non-judicial adjustment ofreferrals; misdemeanors and infractions classified as ?non-mandatoryappearance? by the Uniform Fine Schedule, such as fish and game violations;cases dismissed without prejudice.


(B)(7) Retention period in Supreme Court and Court of Appeals. Theretention period for records in the Supreme Court and Court of Appeals ispermanent.


(B)(8) Special cases.


(B)(8)(a)The retention period for foreign judgments, abstracts of judgment andtranscripts of judgment is the same as for a case of the same type filedoriginally in Utah.


(B)(8)(b)The retention period for contempt of court is the same as for the underlyingcase in which the contempt occurred.


(B)(8)(c)The retention period in the juvenile court for records of the prosecution ofadults is the same as for the corresponding offense in district or justicecourt.


(B)(9) Case related records. If the record is filed with the case file, itis treated as a non-critical document unless it is specifically included withinthe definition of a critical document. If the record is not filed with the casefile then its retention period is determined in accordance with the followingschedule:


(B)(9)(a)Audio and video tapes and tape logs;court reporter notes. For misdemeanors, infractions and small claims, 3years from the date the record is created. Otherwise, 9 years from the date therecord is created. Tapes shall not be reused.


(B)(9)(b)Court calendars. As determined bythe clerk of the court based on local needs.


(B)(9)(c)Confidential records. Confidentialrecords are retained for the same period as the case to which they apply, butthey are filed and stored in such a manner as to protect their confidentiality.


(B)(9)(d)Depositions. 6 months after theclose of appellate proceedings.


(B)(9)(e)Exhibits. Three months afterdisposition of the exhibit in accordance with Code of Judicial Administration4-206.


(B)(9)(f)Expunged records. For the same timeas though the record had not been expunged.


(B)(9)(g)Indexes. Permanent.


(B)(9)(h)Jury lists and juror qualificationquestionnaires. 4 years from completion of term of availability.


(B)(9)(i) Case history. Permanent.


(B)(10) Record destruction. Court records 50 years of age or older shall bereviewed for historical significance by the Division of State Archives prior todestruction. If a record is of historical significance, the Division will takepossession. If a record is not of historical significance, the court shallmanage the record in accordance with this schedule.


Paper documents shall be destroyedafter expiration of the retention period or after copying the document tomicrofilm, digital image, or electronic medium. If documents are copied tomicrofilm, digital image, or electronic medium, the court may maintain thepaper documents until such later time that convenient access to the case filecan be achieved by means of microfilm or digital image. Each court isresponsible for destroying records or making arrangements for destroyingrecords. The court must comply with all laws applicable to the method ofdestruction. Confidential records must be shredded prior to destruction.Recycling is the preferred method of destruction. In addition, the court maydestroy records by incineration or deposit in a landfill. If the court isunable to destroy records by these means, the court may arrange through thestate court records officer to have records destroyed by the State RecordsCenter, which may charge a fee.


(C)Administrative Records.


(C)(1) Record storage, microfilming, imaging and destruction.Administrative records shall be stored on-site. Administrative records may bemicrofilmed or scanned to a digital image based on local needs and resources.


(C)(2) Retention period. The retention period for administrative recordsis in accordance with the following schedule.


(C)(2)(a)Accounting, audit, budget, and financerecords. 4 years from the date the record is created.


(C)(2)(b)Final reports approved by the JudicialCouncil. Permanent.


(C)(2)(c) General counsel legal files. 10 years fromdate the record is created.


(C)(2)(d)Juror fee and witness fee paymentrecords. 4 years from date of payment.


(C)(2)(e)Meeting minutes. Permanent.


(C)(3) Other Record Retention. All administrative records not specificallylisted in this record retention schedule will be retained, transferred ordestroyed according to the appropriate court policy and procedure manual or the?Utah State Agency General Retention Schedule.?


(D)Email retention.


(D)(1) Incidental Personal Correspondence. Correspondencethat does not relate to the business of the courts. The sender andrecipient should delete the email as soon as s/he has no more need for it.


(D)(2) Transitory Correspondence. Court-relatedcorrespondence that is transitory in nature and does not offer uniqueinformation about court functions or programs. These records includeacknowledgment files and most day-to-day office and housekeeping correspondence.The sender and recipient should delete the email as soon as s/he has no moreneed for it.


(D)(3) Policy and Program Correspondence. Court-relatedcorrespondence that provides unique information about court functions,policies, procedures, or programs. These records document materialdiscussions and decisions made regarding all court interests. The recipientshould delete the email as soon as s/he has no more need for it. The sendermust retain policy and program email for the same duration as the Utah StateArchives Record Retention Schedule for a record of that type.


(D)(4) Reproducible Medium. The sender must retain policy and programcorrespondence in a reproducible medium separate from transitory messages. Thesender can do this by moving the email message to an electronic folder in theemail system with an appropriate retention period or by copying thecorrespondence to another medium for retention, such as a web page, a savedfile, or a printed document. If the sender copies the email to another mediumfor retention, s/he should delete the email.


(D)(5) Email records of a terminated or transferred employee.


(D)(5)(a)Supervisor?s or designee?sresponsibility. If an employee is scheduled for termination or transfer,the employee?s supervisor or designee will notify the Help Desk of the ITDivision using the form provided by the Division. Upon termination or transfer,the supervisor or designee will review the employee?s email. The supervisor ordesignee will retain policy and program correspondence of which the employeewas the sender in accordance with paragraph (D)(3).


(D)(5)(b)IT Division?s responsibility. If theemployee is transferred, the IT Division will maintain the employee?s emailaccount at the new location. If the employee is terminated, the IT Divisionwill:


(D)(5)(b)(i)?? De-provision theuser id and email account of the employee;


(D)(5)(b)(ii)?? Remove authority to sign on to the court?scomputing network;


(D)(5)(b)(iii)?? Remove authority to access the court?s emailaccount;


(D)(5)(b)(iv)?? Remove the employee from group emaillists; and


(D)(5)(b)(v)?? Remove authority to access personal andnetwork drives.


Uponreceipt of notice of termination or transfer, the IT Division will retain theemployee?s email in its original form for 180 days from the date of terminationor transfer. After 180 days, the IT Division may back up the employee?s email,delete the email account and recover and reuse the disk space. The IT Divisionwill retain the back-up off site for one year from the date of deletion. If aterminated or transferred employee returns within 180 days after the date oftermination, the IT Division will reactivate the employee?s email account.


(D)(6) Litigation. Upon notice of pending or potential litigation, the ITDivision will retain the employee?s email in the current format until noticethat the litigation is complete or is no longer contemplated. At such time, theemployee?s email will be subject to this section (D).


Effective:May 12, 2020