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UtahState Court Records Retention Schedule

(A) Definitions.

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

(A)(1)(a) expiration of the time in which tofile an appeal;

(A)(1)(b) completion of the initial appealof right;

(A)(1)(c) completion of discretionaryappeals; or

(A)(1)(d) completion of trial courtproceedings after remittitur.

Appellate proceedings do not includecollateral review, such as a petition for post conviction relief or a petitionfor writ of habeas corpus, although these petitions may themselves be thesubject of appellate proceedings.

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

(A)(3) Case history. Includes the docket,judgment docket, registry of judgments, register of actions and other termsused to refer to a summary of the parties and events of a case.

(A)(4) Clerk of the court. Includes alldeputy clerks.

(A)(5) Confidential records. Recordsclassified in accordance with the Title 63G, Chapter 2, Government RecordsAccess and Management Act and Rule 4-202 et seq. of the Judicial Council asprivate, protected, juvenile, or sealed.

(A)(6) Critical documents. As applicable tothe 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 ordependency. In addition to that which is required of civil cases, shelter hearingorder; adjudication orders; disposition orders; reports of the Division ofChild and Family Services; psychological evaluations; reports from treatmentproviders; motion for permanency hearing; response to motion for permanencyhearing; petition for termination of parental rights; and response to petitionfor termination 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 aminor in 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,including offenses 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 paperfiled with or created by the court for a particular case, regardless of medium.

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

(A)(9) On-site storage. Storage at thecourthouse or any secure storage facility under the control of the court.

(A)(10) Retention period. The time that arecord must be kept. The retention period is either permanent or for adesignated term of months or years.

(B) Case Records.

(B)(1) Objectives. The objective of therecords retention schedule is to maintain convenient access to the documents ofthe case and to the case history as necessary to the activity in the case. Evenin a case in which judgment has been entered there may be substantial activity.In criminal cases, the court can expect affidavits alleging violations ofprobation and petitions for post conviction relief. In civil cases, the courtcan expect to issue writs, orders supplemental to the judgment and to conductother proceedings to collect the judgment. In divorce cases, the court canexpect petitions to modify the decree or to enforce visitation and support.This may mean more immediate access in particular cases. The objective of therecords retention schedule is to guide the transfer of permanent records tooff-site storage and the destruction on non-permanent records.

(B)(2) Storage medium. The decisions of whatstorage medium to use and when to use it are left to local discretion, needsand resources of the clerk of the court.

With proper training or by the Division ofState Archives the clerk of the court may microfilm records. Given thesensitive nature of identifying information contained in court records, such asname, 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 scan documents toa digital image based on local needs and resources. Once scanned to a digitalimage, the document may be destroyed. Electronic documents may be printed andmaintained in the case file.

(B)(3) Storage location. The AdministrativeOffice of the Courts shall maintain all computer records. The clerk of thecourt shall store on site pending cases, closed cases with significant postjudgment activity, and cases with a retention period of less than permanent.

The clerk of the court shall not store casefiles with significant activity off-site. Records in which there is an order ofalimony or child support, visitation or custody shall not be stored off-siteuntil at least three years has expired from the date of the last activity inthe case. Within these parameters, the decision to store permanent recordson-site or off-site is left to local discretion, needs and resources. The statecourt 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 afterthe completion of appellate proceedings, the clerk of the court may remove fromthe case file and destroy all documents other than critical documents.

(B)(5) The retention period in a criminalcase begins as of the completion of the sentence. The level of offense isdetermined by the offense of which the defendant is convicted or to which theoffense is reduced under Utah Code Section 76-3-402. The retention period in acivil or small claims case begins as of the expiration or satisfaction of thejudgment. The retention periods are for the following terms.

(B)(5)(a) Permanent. All case types notgoverned by a more specific designation; the record of arraignment andconviction required by Rule 9-301; 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.

(B)(5)(c) 5 years. Administrative agencyreview; civil and small claims cases dismissed with prejudice; forcible entryand detainer; investigative subpoenas; domestic violence misdemeanor within thescope of Utah Code Section 77-36-1; post conviction relief or habeas corpusother than capital offenses and life without parole; tax liens; temporaryseparation; worker?s compensation; probable cause statements and search andarrest warrants not associated with a case.

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

(B)(5)(e) 1 year. Civil cases with ajudgment of money only; extraditions; misdemeanors and infractions classifiedas ?mandatory appearance? by the Uniform Fine and Bail Schedule; petitions toexpunge an arrest 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 and Bail Schedule; small claimscases with a judgment of money only.

(B)(6) Retention period in Juvenile Court.The retention period in a delinquency petition or referral begins as of thecompletion of the sentence. The retention period in other cases begins as ofthe expiration of the judgment. The retention periods are for the followingterms.

(B)(6)(a) Permanent. Adoptions; civilcohabitant abuse; orders terminating parental rights; prosecution as seriousyouth 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 andinfractions other than non-judicial adjustments; interstate compact.

(B)(6)(d) 10 years. Violations of Utah CodeSection 41-6a-502 or Section 41-6a-503, or of Section 41-6a-512 if theconviction is to a reduced charge as provided in that section.

(B)(6)(e) 3 years. Violations of Utah CodeSection 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 adjustmentof referrals; misdemeanors and infractions classified as ?non-mandatoryappearance? by the Uniform Fine and Bail Schedule, such as fish and game violations;cases dismissed without prejudice.

(B)(7) Retention period in Supreme Court andCourt of Appeals. The retention period for records in the Supreme Court andCourt of Appeals is permanent.

(B)(8) Special cases.

(B)(8)(a) The retention period for foreignjudgments, abstracts of judgment and transcripts of judgment is the same as fora case of the same type filed originally in Utah.

(B)(8)(b) The retention period for contemptof court is the same as for the underlying case in which the contempt occurred.

(B)(8)(c) The retention period in thejuvenile court for records of the prosecution of adults is the same as for thecorresponding offense in district or justice court.

(B)(9) Case related records. If the recordis filed with the case file, it is treated as a non-critical document unless itis specifically included within the definition of a critical document. If therecord is not filed with the case file then its retention period is determinedin accordance with the following schedule:

(B)(9)(a) Audio and video tapes and tapelogs; 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 sametime as 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) Casehistory. Permanent.

(B)(10) Record destruction. Court records 50years of age or older shall be reviewed for historical significance by theDivision of State Archives prior to destruction. If a record is of historicalsignificance, the Division will take possession. If a record is not ofhistorical significance, the court shall manage the record in accordance withthis schedule.

Paper documents shall be destroyed afterexpiration of the retention period or after copying the document to microfilm,digital image, or electronic medium. If documents are copied to microfilm,digital image, or electronic medium, the court may maintain the paper documentsuntil such later time that convenient access to the case file can be achievedby means of microfilm or digital image. Each court is responsible fordestroying records or making arrangements for destroying records. The courtmust comply with all laws applicable to the method of destruction. Confidentialrecords must be shredded prior to destruction. Recycling is the preferredmethod of destruction. In addition, the court may destroy records byincineration or deposit in a landfill. If the court is unable to destroyrecords by these means, the court may arrange through the state court recordsofficer to have records destroyed by the State Records Center, which may chargea fee.

(C) Administrative Records

(C)(1) Record storage, microfilming, imagingand destruction. Administrative records shall be stored on-site. Administrativerecords may be microfilmed or scanned to a digital image based on local needsand resources.

(C)(2) Retention period. The retentionperiod for administrative records is in accordance with the following schedule.

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

(C)(2)(b) Final reports approved by theJudicial Council. Permanent.

(C)(2)(c) General counsel legal files. 10years from date 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. Alladministrative records not specifically listed in this record retentionschedule will be retained, transferred or destroyed according to theappropriate court policy and procedure manual or the ?Utah State Agency GeneralRetention Schedule.?

(D) Email retention.

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

(D)(2) Transitory Correspondence.Court-related correspondence that is transitory in nature and does not offerunique information 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-related correspondence that provides unique information about courtfunctions, 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) The sender must retain policy andprogram correspondence in a reproducible medium separate from transitorymessages. The sender can do this by moving the email message to an electronicfolder in the email system with an appropriate retention period or by copyingthe correspondence 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 ortransferred employee.

(D)(5)(a) Supervisor?s or designee?sresponsibility. If an employee is scheduled for termination or transfer, theemployee?s supervisor or designee will notify the Help Desk of the IT Divisionusing the form provided by the Division. Upon termination or transfer, thesupervisor 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. Ifthe employee is transferred, the IT Division will maintain the employee?s emailaccount at the new location. If the employee is terminated, the IT Divisionwill:

1)?? De-provisionthe user id and email account of the employee;

2)?? Removeauthority to sign on to the court?s computing network;

3)?? Removeauthority to access the court?s email account;

4)?? Removethe employee from group email lists; and

5)?? Removeauthority to access personal and network drives.

Upon receipt of notice of termination ortransfer, the IT Division will retain the employee?s email in its original formfor 180 days from the date of termination or transfer. After 180 days, the ITDivision may back up the employee?s email, delete the email account and recoverand reuse the disk space. The IT Division will retain the back-up off site forone year from the date of deletion. If a terminated or transferred employeereturns within 180 days after the date of termination, the IT Division willreactivate the employee?s email account.

(D)(6) Litigation. Upon notice of pending orpotential litigation, the IT Division will retain the employee?s email in thecurrent format until notice that the litigation is complete or is no longercontemplated. At such time, the employee?s email will be subject to thissection (D).